0000720672-14-000027.txt : 20140305 0000720672-14-000027.hdr.sgml : 20140305 20140305164906 ACCESSION NUMBER: 0000720672-14-000027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140303 FILED AS OF DATE: 20140305 DATE AS OF CHANGE: 20140305 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 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: 14669923 MAIL ADDRESS: STREET 1: 168 WESTERN DRIVE CITY: SHORT HILLS STATE: NJ ZIP: 07078 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2014-03-03 0 0000720672 STIFEL FINANCIAL CORP SF 0001392580 Plotkin Ben A 225 REGATTA DRIVE JUPITER FL 33477 1 1 0 0 Vice Chairman Common Stock 2014-03-04 4 S 0 11000 48.53 D 147992 D Phantom Stock Units 0 2014-03-03 4 A 0 11092 0 A Common Stock 11092 54281 D Phantom Stock Units 0 2014-03-03 4 A 0 2773 0 A Common Stock 2773 57054 D Phantom Stock Units 0 2014-03-03 4 A 0 2218 0 A Common Stock 2218 59272 D Phantom Stock Units 0 2014-03-03 4 A 0 554 0 A Common Stock 554 59826 D This transaction was executed in multiple trades at prices ranging from $48.49 to $48.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Units vest in 20% increments over a five year period. No expiration date for these Units. Units vest 100% after five years. Fully vested. Ben A. Plotkin 2014-03-05