0000720672-13-000041.txt : 20130312 0000720672-13-000041.hdr.sgml : 20130312 20130312154536 ACCESSION NUMBER: 0000720672-13-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130308 FILED AS OF DATE: 20130312 DATE AS OF CHANGE: 20130312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Plotkin Ben A CENTRAL INDEX KEY: 0001392580 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 13684075 MAIL ADDRESS: STREET 1: 168 WESTERN DRIVE CITY: SHORT HILLS STATE: NJ ZIP: 07078 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-03-08 0 0000720672 STIFEL FINANCIAL CORP SF 0001392580 Plotkin Ben A 225 REGATTA DRIVE JUPITER FL 33477 1 1 0 0 Vice Chairman Common Stock 184310 D Phantom Stock Units 0 2013-03-08 4 A 0 4070 0 A Common Stock 4070 40359 D Phantom Stock Units 0 2013-03-08 4 A 0 1017 0 A Common Stock 1017 41376 D Phantom Stock Units 0 2013-03-08 4 A 0 760 0 A Common Stock 760 42136 D Phantom Stock Units 0 2013-03-08 4 A 0 190 0 A Common Stock 190 42326 D Phantom Stock Units 0 2013-03-08 4 A 0 14312 0 A Common Stock 14312 56638 D Units vest in 20% increments over a five year period. No expiration date for these Units. Units vest 100% after five years. Fully vested. Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance. Ben A. Plotkin 2013-03-12