Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
STIFEL FINANCIAL CORP
Report date January 06, 2017 · Filed January 06, 2017
Section 16 reporting ended · disclosed 2017-01-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-01-06 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2017-01-06 · Gift · Disposed 13 · Balance 104 Row 2 · 2017-01-06 · Gift · Disposed 104 · Balance 0 Row 3 · 2017-01-06 · Exercise / conversion · Acquired 47 · Balance 47 F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Row 4 · 2017-01-06 · Exercise / conversion · Acquired 7,061 · Balance 7,108 F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Row 5 · 2017-01-06 · Disposition to issuer · Disposed 47 · Balance 7,061 F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Row 6 · 2017-01-06 · Disposition to issuer · Disposed 7,061 · Balance 0 F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 7,061 |
Reported balance
After 2017-01-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-01-06 · Exercise / conversion · Disposed 47 · Balance 7,061 F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. F2: Units vest 100% three years from the grant date. F3: No expiration date for these Units. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2017-01-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-01-06 · Exercise / conversion · Disposed 7,061 · Balance 0 F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. F2: Units vest 100% three years from the grant date. F3: No expiration date for these Units. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units.
F2: Units vest 100% three years from the grant date.
F3: No expiration date for these Units.
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 |
|---|---|---|---|---|---|---|
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 7,061 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · derivative · entry 8 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,061 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: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. F1 · price: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. F2 · derivative.exercise_date: Units vest 100% three years from the grant date. F3 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 47 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · derivative · entry 7 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,061 Underlying: Common Stock · 47 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: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. F1 · price: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. F2 · derivative.exercise_date: Units vest 100% three years from the grant date. F3 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Disposition to issuerCommon Stock | 7,061 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · nonDerivative · entry 6 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Disposition to issuerCommon Stock | 47 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · nonDerivative · entry 5 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,061 F1 · price: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 7,061 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · nonDerivative · entry 4 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,108 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: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 47 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · nonDerivative · entry 3 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47 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: On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 104 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · nonDerivative · entry 2 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 20:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000024 · edgardoc.xml · nonDerivative · entry 1 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,424 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · derivative · entry 7 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,108 Underlying: Common Stock · 3,424 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, 3,424 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, 3,424 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 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Disposition to issuerCommon Stock | 3,424 | $49.95 | $171,028.80 |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · nonDerivative · entry 6 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,424 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · nonDerivative · entry 5 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,589 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, 3,424 of the reporting person's phantom stock units were settled for cash. Read SEC document |
| December 20, 2016 Filed Dec 20, 2016 21:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 1,000 | $52.00 | $52,000.00 |
DisclosureSEC source: 0000720672-16-000191 · edgardoc.xml · nonDerivative · entry 3 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 475 Read SEC document |
| December 16, 2016 Filed Dec 20, 2016 21:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | OtherCommon Stock | 318 | $50.62 | $16,098.62 |
DisclosureSEC source: 0000720672-16-000191 · edgardoc.xml · nonDerivative · entry 2 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,475 Read SEC document |
| December 16, 2016 Filed Dec 20, 2016 21:26 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 2,400 | $51.17 | $122,808.00 |
DisclosureSEC source: 0000720672-16-000191 · edgardoc.xml · nonDerivative · entry 1 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,793 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:08 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 10,000 | $50.20 | $502,000.00 |
DisclosureSEC source: 0000720672-16-000180 · edgardoc.xml · nonDerivative · entry 1 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,193 Read SEC document |
| April 04, 2016 Filed Jan 6, 2017 20:55 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000023 · edgardoc.xml · nonDerivative · entry 5 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,993 Read SEC document |
| January 07, 2016 Filed Jan 6, 2017 20:55 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000023 · edgardoc.xml · nonDerivative · entry 4 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,776 Read SEC document |
| January 07, 2016 Filed Jan 6, 2017 20:55 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000023 · edgardoc.xml · nonDerivative · entry 3 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,126 Read SEC document |
| January 07, 2016 Filed Jan 6, 2017 20:55 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000023 · edgardoc.xml · nonDerivative · entry 2 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,476 Read SEC document |
| January 07, 2016 Filed Jan 6, 2017 20:55 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000023 · edgardoc.xml · nonDerivative · entry 1 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,826 Read SEC document |
| January 26, 2015 Filed Jan 6, 2017 20:55 UTC Amendment | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000022 · edgardoc.xml · nonDerivative · entry 1 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,176 F1 · kind: On the December 31, 2015 Form 5, gifts totaling 1,250 shares were erroneously repoted. These gifts had previously been reported on a Form 4 dated January 22, 2015. Read SEC document |
| February 27, 2014 Filed Jan 4, 2017 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 60 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · nonDerivative · entry 4 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,774 Read SEC document |
| February 26, 2014 Filed Jan 4, 2017 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · nonDerivative · entry 3 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,834 Read SEC document |
| May 16, 2013 Filed Jan 4, 2017 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · nonDerivative · entry 2 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,767 Read SEC document |
| June 21, 2012 Filed Jan 4, 2017 22:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000008 · edgardoc.xml · nonDerivative · entry 1 Minnick David M · CIK 0001307666 · General Counsel & Senior VP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,552 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.