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STIFEL FINANCIAL CORP

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3461
SEC CIK
0000720672
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202601
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202602
Aug 202600
Sep 202600
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 18, 2023 Filed Jan 20, 2023 21:37 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Tax withholdingCommon Stock 13,231 $58.37 $772,293.47
Disclosure

SEC source: 0001209191-23-004288 · doc4.xml · nonDerivative · entry 2

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,333,464

Read SEC document
January 18, 2023 Filed Jan 20, 2023 21:37 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionCommon Stock 35,370 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004288 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,346,695

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 18, 2023 Filed Jan 20, 2023 21:36 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 9,805 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004286 · doc4.xml · derivative · entry 3

Fisher Mark P · CIK 0001345807 · SENIOR VP & GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,923

Underlying: Common Stock · 9,805 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
January 18, 2023 Filed Jan 20, 2023 21:36 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 5,281 $58.37 $308,251.97
Disclosure

SEC source: 0001209191-23-004286 · doc4.xml · nonDerivative · entry 2

Fisher Mark P · CIK 0001345807 · SENIOR VP & GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,209

Read SEC document
January 18, 2023 Filed Jan 20, 2023 21:36 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 9,805 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-004286 · doc4.xml · nonDerivative · entry 1

Fisher Mark P · CIK 0001345807 · SENIOR VP & GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,490

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 19, 2022 Filed Sep 21, 2022 20:48 UTC
Nesi VictorCo-President
OtherCommon Stock 69,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-050921 · doc4.xml · nonDerivative · entry 4

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · Children's Trusts

Disclosed balance after: 69,000

F2 · kind: These shares are held in trust for the benefit of the reporting person's family members and beneficial ownership by the reporting person is disclaimed.

Read SEC document
September 19, 2022 Filed Sep 21, 2022 20:48 UTC
Nesi VictorCo-President
OtherCommon Stock 31,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-050921 · doc4.xml · nonDerivative · entry 3

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 31,000

F2 · kind: These shares are held in trust for the benefit of the reporting person's family members and beneficial ownership by the reporting person is disclaimed.

Read SEC document
September 19, 2022 Filed Sep 21, 2022 20:48 UTC
Nesi VictorCo-President
OtherCommon Stock 69,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-050921 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,707

F1 · kind: Transfer of shares made for estate planning purposes to family trusts, which transfers were made in satisfaction of intra-family promissory notes.

Read SEC document
September 19, 2022 Filed Sep 21, 2022 20:48 UTC
Nesi VictorCo-President
OtherCommon Stock 31,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-050921 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,707

F1 · kind: Transfer of shares made for estate planning purposes to family trusts, which transfers were made in satisfaction of intra-family promissory notes.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:16 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036941 · doc4.xml · derivative · entry 2

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:27 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036953 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:26 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036952 · doc4.xml · derivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:24 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036950 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:22 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036949 · doc4.xml · derivative · entry 2

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:19 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036946 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 20:18 UTC GrantPhantom Stock Units · Derivative 1,761 $56.78 Strike: $0.00 $99,989.58
Disclosure

SEC source: 0001209191-22-036943 · doc4.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761

Underlying: Common Stock · 1,761 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 21:12 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046376 · doc4a.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 21:10 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046373 · doc4a.xml · derivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 21:09 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046372 · doc4a.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 21:08 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046370 · doc4a.xml · derivative · entry 2

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 21:06 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046367 · doc4a.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 20:58 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046324 · doc4a.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 13, 2022 Filed Aug 17, 2022 20:55 UTC Amendment GrantPhantom Stock Units · Derivative 2,642 $56.78 Strike: $0.00 $150,012.76
Disclosure

SEC source: 0001209191-22-046313 · doc4a.xml · derivative · entry 2

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,642

Underlying: Common Stock · 2,642 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2022 Filed Feb 8, 2023 21:37 UTC GiftCommon Stock 1,143 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-007811 · doc5.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,913

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:12 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033502 · doc4.xml · derivative · entry 2

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:12 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033502 · doc4.xml · nonDerivative · entry 1

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,383

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:20 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033523 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:20 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033523 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,774

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:18 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033521 · doc4.xml · derivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:18 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033521 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 29,005

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:17 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033520 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:17 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033520 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,033

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:16 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033516 · doc4.xml · derivative · entry 2

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:16 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033516 · doc4.xml · nonDerivative · entry 1

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,383

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:15 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033513 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:15 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033513 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,934

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:13 UTC Exercise / conversionPhantom Stock Units · Derivative 1,389 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033504 · doc4.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,389 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:13 UTC Exercise / conversionCommon Stock 1,389 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033504 · doc4.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,033

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 29, 2022 Filed May 3, 2022 20:28 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
PurchaseCommon Stock 10,000 $61.94 $619,350.00
Disclosure

SEC source: 0001209191-22-026723 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,311,325

Read SEC document
March 02, 2022 Filed Mar 4, 2022 21:32 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionPhantom Stock Units · Derivative 6,857 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016271 · doc4.xml · derivative · entry 4

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,954

Underlying: Common Stock · 6,857 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 21:32 UTC
SLINEY DAVID DChief Operating Officer
GrantPhantom Stock Units · Derivative 8,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016271 · doc4.xml · derivative · entry 3

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,811

Underlying: Common Stock · 8,572 shares

Expires not disclosed

F1 · derivative.exercise_date: These units are being issued based on the PRSU award agreement dated March 2, 2018. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2023.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 21:32 UTC
SLINEY DAVID DChief Operating Officer
Tax withholdingCommon Stock 3,062 $71.70 $219,545.40
Disclosure

SEC source: 0001209191-22-016271 · doc4.xml · nonDerivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,535

Read SEC document
March 02, 2022 Filed Mar 4, 2022 21:32 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionCommon Stock 6,857 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016271 · doc4.xml · nonDerivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,597

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 22:05 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 13,715 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016377 · doc4.xml · derivative · entry 6

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,319

Underlying: Common Stock · 13,715 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 22:05 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 3,207 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016377 · doc4.xml · derivative · entry 5

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,034

Underlying: Common Stock · 3,207 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

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March 02, 2022 Filed Mar 4, 2022 22:05 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 17,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016377 · doc4.xml · derivative · entry 4

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,241

Underlying: Common Stock · 17,144 shares

Expires not disclosed

F1 · derivative.exercise_date: These units are being issued based on the PRSU award agreement dated March 2, 2018. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2023.

F2 · derivative.expiration_date: No expiration date for these Units.

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March 02, 2022 Filed Mar 4, 2022 22:05 UTC
Michaud Thomas B.Senior Vice President
Tax withholdingCommon Stock 8,639 $71.70 $619,416.30
Disclosure

SEC source: 0001209191-22-016377 · doc4.xml · nonDerivative · entry 3

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,225

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March 02, 2022 Filed Mar 4, 2022 22:05 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 13,715 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016377 · doc4.xml · nonDerivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,864

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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March 02, 2022 Filed Mar 4, 2022 22:05 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 3,207 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016377 · doc4.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,149

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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March 02, 2022 Filed Mar 4, 2022 21:44 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Exercise / conversionPhantom Stock Units · Derivative 3,429 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-016307 · doc4.xml · derivative · entry 5

REICHERT CHRISTOPHER K · CIK 0001203004 · CEO of Stifel Bank & Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,329

Underlying: Common Stock · 3,429 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: Currently exercisable.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.