Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| STIFEL FINANCIAL CORPSF · Entity 3461 | Senior Vice President | 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 | 95,177 |
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 112,964 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 8,590 · Balance 104,374 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 9,197 · Balance 95,177 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 | 24,016 |
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 24,016 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 | 6,229 |
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 6,229 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 23:14 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: 0001209191-20-015587 · doc4.xml · derivative · entry 5 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,229 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 23:14 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 22,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015587 · doc4.xml · derivative · entry 4 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,016 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 23:14 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Disposition to issuerCommon Stock | 9,197 | $63.23 | $581,526.31 |
DisclosureSEC source: 0001209191-20-015587 · doc4.xml · nonDerivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,177 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 23:14 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 8,590 | $63.23 | $543,145.70 |
DisclosureSEC source: 0001209191-20-015587 · doc4.xml · nonDerivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,374 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 23:14 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 17,787 | $63.23 | $1,124,672.01 |
DisclosureSEC source: 0001209191-20-015587 · doc4.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,964 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 17, 2020 Filed Jan 22, 2020 21:25 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 10,000 | $65.07 | $650,700.00 |
DisclosureSEC source: 0001209191-20-004476 · doc4.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,177 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 as amended. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:36 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 2,161 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001855 · doc4.xml · derivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,783 Underlying: Common Stock · 2,161 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 21:36 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 758 | $61.44 | $46,571.52 |
DisclosureSEC source: 0001209191-20-001855 · doc4.xml · nonDerivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,177 Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:36 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 2,161 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001855 · doc4.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,935 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 07, 2019 Filed Nov 8, 2019 21:19 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 10,000 | $60.75 | $607,500.00 |
DisclosureSEC source: 0001209191-19-055815 · doc4.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,774 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 2,625 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001947 · doc4.xml · derivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,944 Underlying: Common Stock · 2,625 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 1,014 | $41.42 | $41,999.88 |
DisclosureSEC source: 0001209191-19-001947 · doc4.xml · nonDerivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,774 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 2,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001947 · doc4.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,788 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 21:28 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 17 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063188 · doc4.xml · derivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,569 Underlying: Common Stock · 17 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 20:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 14 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 15, 2018 Filed Jun 19, 2018 19:49 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 13 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:27 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 7 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000044 · edgardoc.xml · derivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,525 Underlying: Common Stock · 7 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, 2018 Filed Mar 6, 2018 21:45 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,938 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000038 · edgardoc.xml · derivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,518 Underlying: Common Stock · 1,938 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 22:03 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 6,189 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000004 · edgardoc.xml · derivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,505 Underlying: Common Stock · 6,189 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 22:03 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 2,320 | $59.56 | $138,179.20 |
DisclosureSEC source: 0000720672-18-000004 · edgardoc.xml · nonDerivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,163 Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:03 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 6,189 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000004 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,483 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 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 8,994 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000099 · edgardoc.xml · derivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,694 Underlying: Common Stock · 8,994 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. F2 · derivative.exercise_date: Currently convertible. Units vest in 20% increments over a five year period from original grant date. F3 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Tax withholdingCommon Stock | 4,866 | $60.13 | $292,592.58 |
DisclosureSEC source: 0000720672-17-000099 · edgardoc.xml · nonDerivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,294 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 8,994 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000099 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,160 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 in 20% increments over a 5 year period from original grant date of the phantom stock unit. Read SEC document |
| December 15, 2017 Filed Feb 13, 2018 21:58 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 34 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000025 · edgardoc.xml · derivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,763 Underlying: Common Stock · 34 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 10, 2017 Filed Nov 14, 2017 20:39 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 30,000 | $52.41 | $1,572,300.00 |
DisclosureSEC source: 0000720672-17-000091 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,166 Read SEC document |
| September 15, 2017 Filed Feb 13, 2018 21:58 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 41 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000025 · edgardoc.xml · derivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,729 Underlying: Common Stock · 41 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 21:40 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 69 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000041 · edgardoc.xml · derivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,688 Underlying: Common Stock · 69 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 21:40 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 277 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000041 · edgardoc.xml · derivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,619 Underlying: Common Stock · 277 shares Expires not disclosed F1 · derivative.exercise_date: Fully vested. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 21:20 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 35,000 | $53.38 | $1,868,300.00 |
DisclosureSEC source: 0000720672-17-000029 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,166 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:15 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 7,276 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000720672-17-000004 · edgardoc.xml · derivative · entry 3 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,342 Underlying: Common Stock · 7,276 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, 7,276 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, 7,276 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 | 7,276 | $49.95 | $363,436.20 |
DisclosureSEC source: 0000720672-17-000004 · edgardoc.xml · nonDerivative · entry 2 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,166 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:15 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 7,276 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000004 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,442 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. F1 · price: Each phantom stock unit was the economic equivalent of one share of Stifel Financial Corp. common stock. On December 30, 2016, 7,276 of the reporting person's phantom stock units were settled for cash. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 21:59 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | OtherCommon Stock | 8,836 | $51.02 | $450,808.30 |
DisclosureSEC source: 0000720672-16-000189 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,166 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:05 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 20,000 | $50.20 | $1,004,000.00 |
DisclosureSEC source: 0000720672-16-000175 · edgardoc.xml · nonDerivative · entry 1 HIMELFARB RICHARD J · CIK 0001206663 · Director · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,497 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.