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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

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
March 08, 2021 Filed Mar 10, 2021 21:45 UTC
Marischen James MChief Financial Officer
Exercise / conversionPhantom Stock Units · Derivative 6,670 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019503 · doc4.xml · derivative · entry 3

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,932

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.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:45 UTC
Marischen James MChief Financial Officer
Tax withholdingCommon Stock 2,877 $64.76 $186,314.52
Disclosure

SEC source: 0001209191-21-019503 · doc4.xml · nonDerivative · entry 2

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,532

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:45 UTC
Marischen James MChief Financial Officer
Exercise / conversionCommon Stock 6,670 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019503 · doc4.xml · nonDerivative · entry 1

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,409

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 21:42 UTC Exercise / conversionPhantom Stock Units · Derivative 8,747 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019499 · doc4.xml · derivative · entry 6

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,786

Underlying: Common Stock · 8,747 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 21:42 UTC Exercise / conversionPhantom Stock Units · Derivative 6,670 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019499 · doc4.xml · derivative · entry 5

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,533

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.

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 21:42 UTC GrantPhantom Stock Units · Derivative 10,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019499 · doc4.xml · derivative · entry 4

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,203

Underlying: Common Stock · 10,934 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 21:42 UTC Tax withholdingCommon Stock 7,088 $64.76 $459,018.88
Disclosure

SEC source: 0001209191-21-019499 · doc4.xml · nonDerivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,169

Read SEC document
March 08, 2021 Filed Mar 10, 2021 21:42 UTC Exercise / conversionCommon Stock 8,747 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019499 · doc4.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,257

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 21:42 UTC Exercise / conversionCommon Stock 6,670 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-019499 · doc4.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,510

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
February 26, 2021 Filed Mar 1, 2021 21:30 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
SaleCommon Stock 3,070 $62.00 $190,340.00
Disclosure

SEC source: 0001209191-21-015234 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,623

Read SEC document
February 26, 2021 Filed Mar 1, 2021 21:30 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
SaleCommon Stock 6,930 $61.50 $426,195.00
Disclosure

SEC source: 0001209191-21-015234 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,693

Read SEC document
February 26, 2021 Filed Mar 1, 2021 21:19 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 11,117 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-015211 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,679

Underlying: Common Stock · 11,117 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
February 26, 2021 Filed Mar 1, 2021 21:19 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
SaleCommon Stock 10,000 $61.40 $614,000.00
Disclosure

SEC source: 0001209191-21-015211 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,792

Read SEC document
February 26, 2021 Filed Mar 1, 2021 21:19 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Tax withholdingCommon Stock 5,840 $63.01 $367,978.40
Disclosure

SEC source: 0001209191-21-015211 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,792

Read SEC document
February 26, 2021 Filed Mar 1, 2021 21:19 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionCommon Stock 11,117 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-015211 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,632

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
February 25, 2021 Filed Mar 1, 2021 21:33 UTC
ZEMLYAK JAMES MCo-President
Disposition to issuerCommon Stock 4,329 $63.01 $272,770.29
Disclosure

SEC source: 0001209191-21-015239 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,152,725

F1 · kind: Sale of shares to the company to satisfy tax obligations associated with 83(b) elections made by the reporting person.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 21:27 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Disposition to issuerCommon Stock 14,289 $63.01 $900,349.89
Disclosure

SEC source: 0001209191-21-015223 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,202,246

F1 · kind: Sale of shares to the company to satisfy tax obligations associated with 83(b) elections made by the reporting person.

Read SEC document
February 22, 2021 Filed Feb 24, 2021 21:40 UTC
SLINEY DAVID DChief Operating Officer
SaleCommon Stock 20,000 $60.96 $1,219,200.00
Disclosure

SEC source: 0001209191-21-013825 · doc4.xml · nonDerivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,545

Read SEC document
February 22, 2021 Filed Feb 24, 2021 21:37 UTC SaleCommon Stock 10,000 $60.63 $606,300.00
Disclosure

SEC source: 0001209191-21-013807 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,842

Read SEC document
February 18, 2021 Filed Feb 18, 2021 22:10 UTC
ZEMLYAK JAMES MCo-President
SaleCommon Stock 3,000 $58.00 $174,000.00
Disclosure

SEC source: 0001209191-21-011946 · doc4.xml · nonDerivative · entry 3

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,157,054

Read SEC document
February 17, 2021 Filed Feb 18, 2021 22:10 UTC
ZEMLYAK JAMES MCo-President
SaleCommon Stock 35,742 $58.21 $2,080,541.82
Disclosure

SEC source: 0001209191-21-011946 · doc4.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,160,054

Read SEC document
February 17, 2021 Filed Feb 18, 2021 22:09 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
SaleCommon Stock 35,742 $58.21 $2,080,541.82
Disclosure

SEC source: 0001209191-21-011942 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,216,535

Read SEC document
February 16, 2021 Filed Feb 18, 2021 22:10 UTC
ZEMLYAK JAMES MCo-President
SaleCommon Stock 64,258 $58.66 $3,769,374.28
Disclosure

SEC source: 0001209191-21-011946 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,195,796

Read SEC document
February 16, 2021 Filed Feb 18, 2021 22:09 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
SaleCommon Stock 64,258 $58.66 $3,769,374.28
Disclosure

SEC source: 0001209191-21-011942 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,252,277

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:17 UTC
SLINEY DAVID DChief Operating Officer
GrantPhantom Stock Units · Derivative 7,196 $50.03 Strike: $0.00 $360,015.88
Disclosure

SEC source: 0001209191-21-006529 · doc4.xml · derivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,135

Underlying: Common Stock · 7,196 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:15 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
GrantPhantom Stock Units · Derivative 4,997 $50.03 Strike: $0.00 $249,999.91
Disclosure

SEC source: 0001209191-21-006525 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,926

Underlying: Common Stock · 4,997 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:11 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
GrantPhantom Stock Units · Derivative 5,497 $50.03 Strike: $0.00 $275,014.91
Disclosure

SEC source: 0001209191-21-006515 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,796

Underlying: Common Stock · 5,497 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:13 UTC
Marischen James MChief Financial Officer
GrantPhantom Stock Units · Derivative 4,997 $50.03 Strike: $0.00 $249,999.91
Disclosure

SEC source: 0001209191-21-006518 · doc4.xml · derivative · entry 2

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,602

Underlying: Common Stock · 4,997 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:09 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 8,495 $50.03 Strike: $0.00 $425,004.85
Disclosure

SEC source: 0001209191-21-006508 · doc4.xml · derivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,851

Underlying: Common Stock · 8,495 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

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

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:07 UTC
ZEMLYAK JAMES MCo-President
GrantCommon Stock 17,989 $50.03 $899,989.67
Disclosure

SEC source: 0001209191-21-006503 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,280,869

F1 · shares: Grant of restricted stock. The restricted stock vests in 20% increments over a five year period.

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:04 UTC
Nesi VictorCo-President
GrantCommon Stock 21,987 $50.03 $1,100,009.61
Disclosure

SEC source: 0001209191-21-006500 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,249

F1 · shares: Grant of restricted stock. The restricted stock vests in 20% increments over a five year period.

Read SEC document
January 28, 2021 Filed Feb 1, 2021 22:01 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
GrantCommon Stock 39,976 $50.03 $1,999,999.28
Disclosure

SEC source: 0001209191-21-006490 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,316,535

F1 · shares: Grant of restricted stock. The restricted stock vests in 20% increments over a five year period.

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:52 UTC Exercise / conversionPhantom Stock Units · Derivative 5,625 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003639 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,766

Underlying: Common Stock · 5,625 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 12, 2021 Filed Jan 14, 2021 21:52 UTC Exercise / conversionCommon Stock 5,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003639 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,616

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 12, 2021 Filed Jan 14, 2021 21:50 UTC Exercise / conversionPhantom Stock Units · Derivative 6,004 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003635 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,427

Underlying: Common Stock · 6,004 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 12, 2021 Filed Jan 14, 2021 21:50 UTC Exercise / conversionCommon Stock 6,004 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003635 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,004

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 12, 2021 Filed Jan 14, 2021 21:48 UTC Exercise / conversionPhantom Stock Units · Derivative 5,625 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003632 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,771

Underlying: Common Stock · 5,625 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 12, 2021 Filed Jan 14, 2021 21:48 UTC Exercise / conversionCommon Stock 5,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003632 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,776

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 12, 2021 Filed Jan 14, 2021 21:46 UTC Exercise / conversionPhantom Stock Units · Derivative 6,004 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003630 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,184

Underlying: Common Stock · 6,004 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 12, 2021 Filed Jan 14, 2021 21:46 UTC Exercise / conversionCommon Stock 6,004 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003630 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,842

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 12, 2021 Filed Jan 14, 2021 21:43 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionPhantom Stock Units · Derivative 12,177 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003625 · doc4.xml · derivative · entry 3

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,356

Underlying: Common Stock · 12,177 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 12, 2021 Filed Jan 14, 2021 21:43 UTC
Michaud Thomas B.Senior Vice President
Tax withholdingCommon Stock 4,285 $50.46 $216,221.10
Disclosure

SEC source: 0001209191-21-003625 · doc4.xml · nonDerivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,688

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:43 UTC
Michaud Thomas B.Senior Vice President
Exercise / conversionCommon Stock 12,177 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003625 · doc4.xml · nonDerivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,973

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 12, 2021 Filed Jan 14, 2021 21:40 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Exercise / conversionPhantom Stock Units · Derivative 1,877 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003621 · 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: 22,929

Underlying: Common Stock · 1,877 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 12, 2021 Filed Jan 14, 2021 21:40 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Tax withholdingCommon Stock 666 $50.46 $33,606.36
Disclosure

SEC source: 0001209191-21-003621 · 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: 42,944

Read SEC document
January 12, 2021 Filed Jan 14, 2021 21:40 UTC
REICHERT CHRISTOPHER KCEO of Stifel Bank & Trust
Exercise / conversionCommon Stock 1,877 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003621 · 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: 43,610

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 12, 2021 Filed Jan 14, 2021 21:37 UTC Exercise / conversionPhantom Stock Units · Derivative 23 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003617 · doc4.xml · derivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,269

Underlying: Common Stock · 23 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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January 12, 2021 Filed Jan 14, 2021 21:37 UTC Tax withholdingCommon Stock 10 $50.46 $504.60
Disclosure

SEC source: 0001209191-21-003617 · doc4.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,310

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January 12, 2021 Filed Jan 14, 2021 21:37 UTC Exercise / conversionCommon Stock 23 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003617 · doc4.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,320

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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January 12, 2021 Filed Jan 14, 2021 21:34 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
Exercise / conversionPhantom Stock Units · Derivative 2,168 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-003612 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,299

Underlying: Common Stock · 2,168 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.