Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STIFEL FINANCIAL CORPSF · Entity 3461 | Vice Chairman and SVP | February 28, 2020 | March 03, 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 February 28, 2020 · Filed March 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 98,933 |
Ending reported balance
After 2020-03-03 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2020-03-03 · Exercise / conversion · Acquired 17,787 · Balance 116,720 F1: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement. Row 2 · 2020-03-03 · Tax withholding · Disposed 6,753 · Balance 109,967 F2: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability. Row 3 · 2020-03-03 · Disposition to issuer · Disposed 11,034 · Balance 98,933 F3: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 26,667 |
Reported balance
After 2020-03-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-03-03 · Grant · Acquired 22,233 · Balance 26,667 F4: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21. F5: No expiration date for these Units. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 8,880 |
Reported balance
After 2020-03-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-03-03 · Exercise / conversion · Disposed 17,787 · Balance 8,880 F6: Currently exercisable. F5: No expiration date for these Units. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.
F2: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.
F3: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.
F4: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.
F5: No expiration date for these Units.
F6: Currently exercisable.
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 |
|---|---|---|---|---|---|---|
| March 03, 2020 Filed Mar 3, 2020 23:12 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 17,787 | $63.23 Strike: $0.00 | $1,124,672.01 |
DisclosureSEC source: 0001209191-20-015580 · doc4.xml · derivative · entry 5 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,880 Underlying: Common Stock · 17,787 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. F6 · derivative.exercise_date: Currently exercisable. F5 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:12 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 22,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015580 · doc4.xml · derivative · entry 4 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,667 Underlying: Common Stock · 22,233 shares Expires not disclosed F4 · derivative.exercise_date: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21. F5 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:12 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Disposition to issuerCommon Stock | 11,034 | $63.23 | $697,679.82 |
DisclosureSEC source: 0001209191-20-015580 · doc4.xml · nonDerivative · entry 3 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,933 F3 · shares: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:12 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 6,753 | $63.23 | $426,992.19 |
DisclosureSEC source: 0001209191-20-015580 · doc4.xml · nonDerivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,967 F2 · shares: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:12 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 17,787 | $63.23 | $1,124,672.01 |
DisclosureSEC source: 0001209191-20-015580 · doc4.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,720 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: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:46 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 2,345 | $62.69 Strike: $0.00 | $147,008.05 |
DisclosureSEC source: 0001209191-20-006054 · doc4.xml · derivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,434 Underlying: Common Stock · 2,345 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 02, 2020 Filed Jan 6, 2020 21:47 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,714 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001900 · doc4.xml · derivative · entry 3 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,089 Underlying: Common Stock · 1,714 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 21:47 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 509 | $61.44 | $31,272.96 |
DisclosureSEC source: 0001209191-20-001900 · doc4.xml · nonDerivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,933 Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:47 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001900 · doc4.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,442 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 09, 2019 Filed Sep 9, 2019 20:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 9,012 | $55.73 | $502,238.76 |
DisclosureSEC source: 0001209191-19-048900 · doc4.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,728 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 6,766 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001972 · doc4.xml · derivative · entry 3 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,803 Underlying: Common Stock · 6,766 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 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 1,754 | $41.42 | $72,650.68 |
DisclosureSEC source: 0001209191-19-001972 · doc4.xml · nonDerivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,740 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 6,766 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001972 · doc4.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,494 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 |
| December 17, 2018 Filed Dec 18, 2018 21:38 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 27 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063212 · doc4.xml · derivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,569 Underlying: Common Stock · 27 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. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 20:25 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 23 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2018 Filed Jun 19, 2018 19:50 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 22 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:28 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 13 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000049 · edgardoc.xml · derivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,497 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. Read SEC document |
| March 05, 2018 Filed Mar 5, 2018 20:08 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 9,012 | $63.30 | $570,459.60 |
DisclosureSEC source: 0000720672-18-000037 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,728 Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 21:47 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 2,196 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000041 · edgardoc.xml · derivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,484 Underlying: Common Stock · 2,196 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 |
| December 29, 2017 Filed Jan 3, 2018 22:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 12,453 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000006 · edgardoc.xml · derivative · entry 3 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,174 Underlying: Common Stock · 12,453 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 22:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 3,441 | $59.56 | $204,945.96 |
DisclosureSEC source: 0000720672-18-000006 · edgardoc.xml · nonDerivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,740 Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 12,453 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000006 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,181 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 |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 6,745 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · derivative · entry 12 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,627 Underlying: Common Stock · 6,745 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date. F6 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 911 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · derivative · entry 11 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,372 Underlying: Common Stock · 911 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. F8 · derivative.exercise_date: Currently convertible. Units vest 100% nine years from the original grant date. F6 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 911 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · derivative · entry 10 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,283 Underlying: Common Stock · 911 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. F7 · derivative.exercise_date: Currently convertible. Units vest 100% eight years from the original grant date. F6 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 911 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · derivative · entry 9 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,194 Underlying: Common Stock · 911 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Currently convertible. Units vest 100% ten years from the original grant date. F6 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 2,830 | $60.13 | $170,167.90 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 8 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,728 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 6,745 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 7 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,558 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 · shares: Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 382 | $60.13 | $22,969.66 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 6 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,813 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 911 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 5 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,195 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 · shares: Shares represent a grant of restricted stock which vest 100% nine years from the original grant date of the phantom stock unit. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 382 | $60.13 | $22,969.66 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 4 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,284 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 911 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 3 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 382 | $60.13 | $22,969.66 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,755 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:33 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 911 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000103 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,137 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: Shares represent a grant of restricted stock which vest 100% ten years from the original grant date of the phantom stock unit. Read SEC document |
| December 15, 2017 Filed Feb 13, 2018 21:59 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 52 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000028 · edgardoc.xml · derivative · entry 2 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,219 Underlying: Common Stock · 52 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. Read SEC document |
| November 28, 2017 Filed Nov 28, 2017 22:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 20,000 | $53.70 | $1,073,932.00 |
DisclosureSEC source: 0000720672-17-000096 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,226 Read SEC document |
| September 15, 2017 Filed Feb 13, 2018 21:59 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 62 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000028 · edgardoc.xml · derivative · entry 1 Plotkin Ben A · CIK 0001392580 · Vice Chairman and SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,167 Underlying: Common Stock · 62 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. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 23:04 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 92 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000049 · edgardoc.xml · derivative · entry 3 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,105 Underlying: Common Stock · 92 shares Expires not disclosed F3 · derivative.exercise_date: Units vest 100% after five years. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 23:04 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 369 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000049 · edgardoc.xml · derivative · entry 2 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,013 Underlying: Common Stock · 369 shares Expires not disclosed F1 · derivative.exercise_date: Fully vested. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 20:08 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 7,083 | $55.40 | $392,398.20 |
DisclosureSEC source: 0000720672-17-000036 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,226 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:15 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 12,897 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000720672-17-000006 · edgardoc.xml · derivative · entry 3 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,644 Underlying: Common Stock · 12,897 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_price: Each phantom stock unit was the economic equivalent of one share of Stifel Financial Corp. common stock. On December 30, 2016, 12,897 of the reporting person's phantom stock units were settled for cash. F1 · price: Each phantom stock unit was the economic equivalent of one share of Stifel Financial Corp. common stock. On December 30, 2016, 12,897 of the reporting person's phantom stock units were settled for cash. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:15 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Disposition to issuerCommon Stock | 12,897 | $49.95 | $644,205.15 |
DisclosureSEC source: 0000720672-17-000006 · edgardoc.xml · nonDerivative · entry 2 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,309 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:15 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 12,897 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000006 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,206 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 · price: Each phantom stock unit was the economic equivalent of one share of Stifel Financial Corp. common stock. On December 30, 2016, 12,897 of the reporting person's phantom stock units were settled for cash. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:05 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 15,000 | $50.20 | $753,000.00 |
DisclosureSEC source: 0000720672-16-000176 · edgardoc.xml · nonDerivative · entry 1 Plotkin Ben A · CIK 0001392580 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,309 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.