0001209191-18-045700.txt : 20180807
0001209191-18-045700.hdr.sgml : 20180807
20180807165250
ACCESSION NUMBER: 0001209191-18-045700
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180807
FILED AS OF DATE: 20180807
DATE AS OF CHANGE: 20180807
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OATES JAMES M
CENTRAL INDEX KEY: 0001180238
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09305
FILM NUMBER: 18998796
MAIL ADDRESS:
STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP
STREET 2: 200 CLARENDON ST
CITY: BOSTON
STATE: MA
ZIP: 02116
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-08-07
0
0000720672
STIFEL FINANCIAL CORP
SF
0001180238
OATES JAMES M
501 NORTH BROADWAY
ST. LOUIS
MO
63102
1
0
0
0
Phantom Stock Units
0.00
2018-08-07
4
J
0
1900
0.00
D
Common Stock
1900
24951
D
The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.
Units vest quarterly over a one year period.
No expiration date for these Units.
/s/ James Oates
2018-08-07