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STIFEL FINANCIAL CORP

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Tapewire entity
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

Insider transactions

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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
June 03, 2021 Filed Jun 7, 2021 20:37 UTC Exercise / conversionPhantom Stock Units · Derivative 3,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038622 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 3,144 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
June 03, 2021 Filed Jun 7, 2021 20:37 UTC Exercise / conversionCommon Stock 3,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038622 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,845

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
June 03, 2021 Filed Jun 7, 2021 20:34 UTC Exercise / conversionPhantom Stock Units · Derivative 3,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038617 · 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 · 3,144 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
June 03, 2021 Filed Jun 7, 2021 20:34 UTC Exercise / conversionCommon Stock 3,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038617 · doc4.xml · nonDerivative · entry 1

Ludeman Daniel J. · CIK 0001785311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,994

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
June 03, 2021 Filed Jun 7, 2021 20:31 UTC Exercise / conversionPhantom Stock Units · Derivative 3,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038611 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,283

Underlying: Common Stock · 3,144 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
June 03, 2021 Filed Jun 7, 2021 20:31 UTC Exercise / conversionCommon Stock 3,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038611 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,148

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
June 03, 2021 Filed Jun 7, 2021 20:29 UTC Exercise / conversionPhantom Stock Units · Derivative 3,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038605 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,627

Underlying: Common Stock · 3,144 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
June 03, 2021 Filed Jun 7, 2021 20:29 UTC Exercise / conversionCommon Stock 3,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038605 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,920

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
June 03, 2021 Filed Jun 7, 2021 20:25 UTC Exercise / conversionPhantom Stock Units · Derivative 3,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038599 · doc4.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 3,144 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
June 03, 2021 Filed Jun 7, 2021 20:25 UTC Exercise / conversionCommon Stock 3,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038599 · doc4.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,845

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
June 03, 2021 Filed Jun 7, 2021 20:22 UTC Exercise / conversionPhantom Stock Units · Derivative 3,144 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038593 · 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 · 3,144 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
June 03, 2021 Filed Jun 7, 2021 20:22 UTC Exercise / conversionCommon Stock 3,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-038593 · doc4.xml · nonDerivative · entry 1

Berlew Adam T. · CIK 0001785308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,994

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
June 02, 2021 Filed Jun 3, 2021 21:35 UTC SaleCommon Stock 20,000 $68.64 $1,372,800.00
Disclosure

SEC source: 0001209191-21-037805 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,996

Read SEC document
June 01, 2021 Filed Jun 2, 2021 20:41 UTC
Nesi VictorCo-President
SaleCommon Stock 10,000 $69.94 $699,400.00
Disclosure

SEC source: 0001209191-21-037224 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,074

F1 · shares: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 26, 2021 Filed May 28, 2021 19:59 UTC Exercise / conversionPhantom Stock Units · Derivative 22,154 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-036506 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,154 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 26, 2021 Filed May 28, 2021 19:59 UTC Exercise / conversionCommon Stock 22,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-036506 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,996

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 18, 2021 Filed Mar 19, 2021 20:40 UTC SaleCommon Stock 5,413 $68.20 $369,166.60
Disclosure

SEC source: 0001209191-21-022102 · doc4.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,427

Read SEC document
March 12, 2021 Filed Mar 16, 2021 20:24 UTC SaleCommon Stock 8,329 $67.11 $558,959.19
Disclosure

SEC source: 0001209191-21-020792 · doc4.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,840

Read SEC document
March 12, 2021 Filed Mar 16, 2021 20:20 UTC
Michaud Thomas B.Senior Vice President
SaleCommon Stock 43,719 $66.80 $2,920,429.20
Disclosure

SEC source: 0001209191-21-020783 · doc4.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,811

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
Exercise / conversionPhantom Stock Units · Derivative 15,745 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · derivative · entry 9

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,424

Underlying: Common Stock · 15,745 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.

F5 · derivative.exercise_date: Currently exercisable.

F4 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
Exercise / conversionPhantom Stock Units · Derivative 35,351 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · derivative · entry 8

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,169

Underlying: Common Stock · 35,351 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.

F5 · derivative.exercise_date: Currently exercisable.

F4 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 19,681 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · derivative · entry 7

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,520

Underlying: Common Stock · 19,681 shares

Expires not disclosed

F3 · derivative.exercise_date: These units are being issued based on the PRSU award agreement dated March 2, 2017. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2022.

F4 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
Tax withholdingCommon Stock 25,022 $64.76 $1,620,424.72
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · nonDerivative · entry 4

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,074

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
Exercise / conversionCommon Stock 15,745 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · nonDerivative · entry 3

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,096

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.

F2 · shares: On March 8, 2021, the shares indicated in this row were delivered to the reporting person based on the PRSU award agreement dated March 2, 2017.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
Exercise / conversionCommon Stock 35,351 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · nonDerivative · entry 2

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,351

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 08, 2021 Filed Mar 10, 2021 22:05 UTC
Nesi VictorCo-President
SaleCommon Stock 11,249 $64.42 $724,660.58
Disclosure

SEC source: 0001209191-21-019531 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,000

F1 · shares: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:01 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionPhantom Stock Units · Derivative 13,896 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019529 · doc4.xml · derivative · entry 3

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,239

Underlying: Common Stock · 13,896 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
March 08, 2021 Filed Mar 10, 2021 22:01 UTC
SLINEY DAVID DChief Operating Officer
Tax withholdingCommon Stock 6,219 $64.76 $402,742.44
Disclosure

SEC source: 0001209191-21-019529 · doc4.xml · nonDerivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,222

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:01 UTC
SLINEY DAVID DChief Operating Officer
Exercise / conversionCommon Stock 13,896 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019529 · doc4.xml · nonDerivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,441

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 08, 2021 Filed Mar 10, 2021 21:59 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionPhantom Stock Units · Derivative 13,412 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019523 · doc4.xml · derivative · entry 6

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,378

Underlying: Common Stock · 13,412 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.

F4 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:59 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionPhantom Stock Units · Derivative 29,348 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019523 · doc4.xml · derivative · entry 5

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,790

Underlying: Common Stock · 29,348 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.

F4 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:59 UTC
ZEMLYAK JAMES MCo-President
GrantPhantom Stock Units · Derivative 16,765 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019523 · doc4.xml · derivative · entry 4

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,138

Underlying: Common Stock · 16,765 shares

Expires not disclosed

F2 · derivative.exercise_date: These units are being issued based on the PRSU award agreement dated March 2, 2017. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2022.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:59 UTC
ZEMLYAK JAMES MCo-President
Tax withholdingCommon Stock 19,135 $64.76 $1,239,182.60
Disclosure

SEC source: 0001209191-21-019523 · doc4.xml · nonDerivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,176,350

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:59 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionCommon Stock 13,412 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019523 · doc4.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,195,485

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 · shares: On March 8, 2021, the shares indicated in this row were delivered to the reporting person based on the PRSU award agreement dated March 2, 2017.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:59 UTC
ZEMLYAK JAMES MCo-President
Exercise / conversionCommon Stock 29,348 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019523 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,182,073

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 08, 2021 Filed Mar 10, 2021 21:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionPhantom Stock Units · Derivative 32,802 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019517 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,114

Underlying: Common Stock · 32,802 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.

F4 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionPhantom Stock Units · Derivative 66,700 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019517 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,916

Underlying: Common Stock · 66,700 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.

F4 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
GrantPhantom Stock Units · Derivative 41,002 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019517 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,616

Underlying: Common Stock · 41,002 shares

Expires not disclosed

F2 · derivative.exercise_date: These units are being issued based on the PRSU award agreement dated March 2, 2017. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2022.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Tax withholdingCommon Stock 44,528 $64.76 $2,883,633.28
Disclosure

SEC source: 0001209191-21-019517 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,257,220

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionCommon Stock 32,802 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019517 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,301,748

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 · shares: On March 8, 2021, the shares indicated in this row were delivered to the reporting person based on the PRSU award agreement dated March 2, 2017.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Exercise / conversionCommon Stock 66,700 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019517 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,268,946

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 08, 2021 Filed Mar 10, 2021 21:53 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 12,829 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019513 · doc4.xml · derivative · entry 6

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,044

Underlying: Common Stock · 12,829 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.

F4 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:53 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 28,014 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019513 · doc4.xml · derivative · entry 5

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,873

Underlying: Common Stock · 28,014 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.

F4 · derivative.exercise_date: Currently exercisable.

F3 · derivative.expiration_date: No expiration date for these Units.

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March 08, 2021 Filed Mar 10, 2021 21:53 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 16,036 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019513 · doc4.xml · derivative · entry 4

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,887

Underlying: Common Stock · 16,036 shares

Expires not disclosed

F2 · derivative.exercise_date: These units are being issued based on the PRSU award agreement dated March 2, 2017. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2022.

F3 · derivative.expiration_date: No expiration date for these Units.

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March 08, 2021 Filed Mar 10, 2021 21:53 UTC
Michaud Thomas B.Senior Vice President
Tax withholdingCommon Stock 20,001 $64.76 $1,295,264.76
Disclosure

SEC source: 0001209191-21-019513 · doc4.xml · nonDerivative · entry 3

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,530

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:53 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 12,829 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019513 · doc4.xml · nonDerivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,531

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 · shares: On March 8, 2021, the shares indicated in this row were delivered to the reporting person based on the PRSU award agreement dated March 2, 2017.

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March 08, 2021 Filed Mar 10, 2021 21:53 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 28,014 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019513 · doc4.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,702

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 08, 2021 Filed Mar 10, 2021 21:49 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Exercise / conversionPhantom Stock Units · Derivative 6,670 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019508 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,256

Underlying: Common Stock · 6,670 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.

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March 08, 2021 Filed Mar 10, 2021 21:49 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Tax withholdingCommon Stock 2,991 $64.76 $193,697.16
Disclosure

SEC source: 0001209191-21-019508 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 46,623

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:49 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Exercise / conversionCommon Stock 6,670 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019508 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 49,614

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

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