Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STIFEL FINANCIAL CORPSF · Entity 3461 | Director | June 03, 2020 | June 04, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
STIFEL FINANCIAL CORP
Report date June 03, 2020 · Filed June 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,281 |
Reported balance
After 2020-06-03 transaction · row 1
1 source rowRow 1 · 2020-06-03 · Sale · Disposed 2,400 · Balance 16,281 |
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 03, 2020 Filed Jun 4, 2020 20:42 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 2,400 | $51.55 | $123,720.00 |
DisclosureSEC source: 0001209191-20-034448 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,281 Read SEC document |
| May 26, 2020 Filed May 26, 2020 20:54 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 3,000 | $48.04 | $144,120.00 |
DisclosureSEC source: 0001209191-20-032053 · doc4.xml · nonDerivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,681 Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:54 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 4,000 | $46.19 | $184,760.00 |
DisclosureSEC source: 0001209191-20-032053 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,681 Read SEC document |
| May 15, 2020 Filed May 19, 2020 21:32 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 9,400 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030609 · doc4.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,400 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 15, 2020 Filed May 19, 2020 21:32 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 9,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-030609 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,681 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 08, 2020 Filed May 11, 2020 20:29 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 12,775 | $44.55 | $569,126.25 |
DisclosureSEC source: 0001209191-20-028278 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,281 Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:58 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001935 · doc4.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,407 Underlying: Common Stock · 3,750 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 02, 2020 Filed Jan 6, 2020 21:58 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001935 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,056 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 10, 2019 Filed Sep 11, 2019 20:19 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 2,150 | $56.79 | $122,098.50 |
DisclosureSEC source: 0001209191-19-049158 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,306 Read SEC document |
| September 05, 2019 Filed Sep 5, 2019 20:53 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 1,500 | $54.71 | $82,065.00 |
DisclosureSEC source: 0001209191-19-048563 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,456 Read SEC document |
| June 19, 2019 Filed Jun 21, 2019 20:38 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 2,000 | $57.25 | $114,500.00 |
DisclosureSEC source: 0001209191-19-038484 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,956 Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:40 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035580 · doc4.xml · derivative · entry 3 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,157 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. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:40 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035580 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,956 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 05, 2019 Filed Jun 7, 2019 20:40 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035580 · doc4.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,057 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. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:24 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001936 · doc4.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,157 Underlying: Common Stock · 3,750 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 02, 2019 Filed Jan 4, 2019 21:24 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001936 · doc4.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,056 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:21 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 21, 2018 Filed Feb 14, 2019 21:35 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| August 07, 2018 Filed Aug 7, 2018 20:49 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | OtherPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000058 · edgardoc.xml · derivative · entry 3 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 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000058 · edgardoc.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,306 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 06, 2018 Filed Jun 8, 2018 20:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000058 · edgardoc.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,807 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. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:14 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000013 · edgardoc.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,907 Underlying: Common Stock · 3,750 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 convertible. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:14 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000013 · edgardoc.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,406 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 |
| November 21, 2017 Filed Nov 22, 2017 15:45 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 4,537 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000095 · edgardoc.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,656 Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 19:39 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000066 · edgardoc.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,657 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. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,375 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000019 · edgardoc.xml · derivative · entry 2 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,757 Underlying: Common Stock · 3,375 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.expiration_date: No expiration date for these Units. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,375 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000019 · edgardoc.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,193 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 |
| November 22, 2016 Filed Nov 23, 2016 19:10 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 5,000 | $50.20 | $251,000.00 |
DisclosureSEC source: 0000720672-16-000184 · edgardoc.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,818 Read SEC document |
| November 21, 2013 Filed Jan 4, 2017 22:33 UTC Amendment | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 4,000 | $45.15 | $180,600.00 |
DisclosureSEC source: 0000720672-17-000020 · edgardoc.xml · nonDerivative · entry 1 DUBINSKY JOHN P · CIK 0001181348 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,193 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.