SF

SEC source: 0001209191-18-056955 · doc4.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Chief Fincial & Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,485

SEC source: 0001209191-18-052452 · doc4.xml · derivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,900

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052451 · doc4.xml · derivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052450 · doc4.xml · derivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,851

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052449 · doc4.xml · derivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052447 · doc4.xml · derivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,346

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052445 · doc4.xml · derivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,907

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052443 · doc4.xml · derivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,901

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-052442 · doc4.xml · derivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 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.

SEC source: 0001209191-18-051649 · doc4.xml · derivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,896

Underlying: Common Stock · 60 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051644 · doc4.xml · derivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Chief Fincial & Admin Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,749

Underlying: Common Stock · 70 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051643 · doc4.xml · derivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,113

Underlying: Common Stock · 13 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051642 · doc4.xml · derivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Dir Strategic Planning & Tech

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,311

Underlying: Common Stock · 24 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051641 · doc4.xml · derivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,542

Underlying: Common Stock · 23 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051639 · doc4.xml · derivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,193

Underlying: Common Stock · 84 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051638 · doc4.xml · derivative · entry 1

Marischen James M · CIK 0001638499 · Senior VP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,559

Underlying: Common Stock · 42 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051636 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,051

Underlying: Common Stock · 297 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051635 · doc4.xml · derivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,552

Underlying: Common Stock · 14 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051634 · doc4.xml · nonDerivative · entry 2

HANSER FREDERICK O · CIK 0001188881 · Director of a Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,905

SEC source: 0001209191-18-051634 · doc4.xml · nonDerivative · entry 1

HANSER FREDERICK O · CIK 0001188881 · Director of a Subsidiary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,905

SEC source: 0001209191-18-051633 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,794

Underlying: Common Stock · 39 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-18-051632 · doc4.xml · derivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,839

Underlying: Common Stock · 19 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connection with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-on basis.

SEC source: 0001209191-19-010189 · doc5.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,306

SEC source: 0001209191-18-047373 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,780

SEC source: 0001209191-18-045702 · doc4.xml · derivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045701 · doc4.xml · derivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045700 · doc4.xml · derivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,951

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045699 · doc4.xml · derivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045698 · doc4.xml · derivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,446

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045697 · doc4.xml · derivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,007

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045696 · doc4.xml · derivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,001

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0001209191-18-045695 · doc4.xml · derivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.

F2 · derivative.exercise_date: Units vest quarterly over a one year period.

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

SEC source: 0000720672-18-000076 · edgardoc.xml · derivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · CHIEF FIN'L & ADMIN OFFCR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,679

Underlying: Common Stock · 66 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000075 · edgardoc.xml · derivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,100

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000074 · edgardoc.xml · derivative · entry 1

SLINEY DAVID D · CIK 0001203692 · Dir Strategic Planning & Tech

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,287

Underlying: Common Stock · 23 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000073 · edgardoc.xml · derivative · entry 1

Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,519

Underlying: Common Stock · 22 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000072 · edgardoc.xml · derivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,836

Underlying: Common Stock · 56 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000071 · edgardoc.xml · derivative · entry 1

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,109

Underlying: Common Stock · 79 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000069 · edgardoc.xml · derivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,754

Underlying: Common Stock · 277 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000070 · edgardoc.xml · derivative · entry 1

Marischen James M · CIK 0001638499 · SENIOR VP & CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,517

Underlying: Common Stock · 39 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000068 · edgardoc.xml · derivative · entry 1

HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,538

Underlying: Common Stock · 13 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000067 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,755

Underlying: Common Stock · 36 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000066 · edgardoc.xml · derivative · entry 1

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,820

Underlying: Common Stock · 18 shares

Expires not disclosed

F1 · derivative.exercise_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

F1 · derivative.expiration_date: Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.

SEC source: 0000720672-18-000065 · edgardoc.xml · derivative · entry 3

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,900

Underlying: Common Stock · 1,900 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.

SEC source: 0000720672-18-000065 · edgardoc.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,694

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.

SEC source: 0000720672-18-000063 · edgardoc.xml · derivative · entry 4

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

Underlying: Common Stock · 1,900 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.

SEC source: 0000720672-18-000063 · edgardoc.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

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.

SEC source: 0000720672-18-000062 · edgardoc.xml · derivative · entry 3

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,851

Underlying: Common Stock · 1,900 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.

SEC source: 0000720672-18-000062 · edgardoc.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,786

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.

SEC source: 0000720672-18-000061 · edgardoc.xml · derivative · entry 3

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 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.