Victor Nesi - Mar 2, 2023 Form 4 Insider Report for STIFEL FINANCIAL CORP (SF)

Role
Co-President
Signature
/s/ Victor Nesi
Stock symbol
SF
Transactions as of
Mar 2, 2023
Transactions value $
-$1,015,364
Form type
4
Date filed
3/6/2023, 04:01 PM
Previous filing
Feb 23, 2023
Next filing
May 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SF Common Stock Options Exercise $0 +6K +4.21% $0.00 149K Mar 2, 2023 Direct
transaction SF Common Stock Options Exercise $0 +23.9K +16.06% $0.00 172K Mar 2, 2023 Direct
transaction SF Common Stock Tax liability -$1.02M -15.2K -8.84% $66.59 157K Mar 2, 2023 Direct
holding SF Common Stock 22.6K Mar 2, 2023 by Trust
holding SF Common Stock 28.4K Mar 2, 2023 GRAT trust
holding SF Common Stock 31K Mar 2, 2023 Family Trust
holding SF Common Stock 69K Mar 2, 2023 Children's Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SF Phantom Stock Units Award $0 +29.8K +33.31% $0.00 119K Mar 2, 2023 Common Stock 29.8K $0.00 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -6K -5.03% $0.00 113K Mar 2, 2023 Common Stock 6K $0.00 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -23.9K -21.05% $0.00 89.5K Mar 2, 2023 Common Stock 23.9K $0.00 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These units are being issued based on the PRSU award agreement dated March 1, 2019. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 1, 2024.
F2 No expiration date for these Units.
F3 Currently exercisable.