Victor Nesi - 02 Mar 2023 Form 4 Insider Report for STIFEL FINANCIAL CORP (SF)

Role
Co-President
Signature
/s/ Victor Nesi
Issuer symbol
SF
Transactions as of
02 Mar 2023
Net transactions value
-$1,015,364
Form type
4
Filing time
06 Mar 2023, 16:01:57 UTC
Previous filing
23 Feb 2023
Next filing
22 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SF Common Stock Options Exercise $0 +6,000 +4.2% $0.000000 148,628 02 Mar 2023 Direct
transaction SF Common Stock Options Exercise $0 +23,866 +16% $0.000000 172,494 02 Mar 2023 Direct
transaction SF Common Stock Tax liability $1,015,364 -15,248 -8.8% $66.59 157,246 02 Mar 2023 Direct
holding SF Common Stock 22,574 02 Mar 2023 by Trust
holding SF Common Stock 28,422 02 Mar 2023 GRAT trust
holding SF Common Stock 31,000 02 Mar 2023 Family Trust
holding SF Common Stock 69,000 02 Mar 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 +29,833 +33% $0.000000 119,387 02 Mar 2023 Common Stock 29,833 $0.000000 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -6,000 -5% $0.000000 113,387 02 Mar 2023 Common Stock 6,000 $0.000000 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -23,866 -21% $0.000000 89,521 02 Mar 2023 Common Stock 23,866 $0.000000 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.