0001209191-20-015532.txt : 20200303 0001209191-20-015532.hdr.sgml : 20200303 20200303175740 ACCESSION NUMBER: 0001209191-20-015532 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200228 FILED AS OF DATE: 20200303 DATE AS OF CHANGE: 20200303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fisher Mark P CENTRAL INDEX KEY: 0001345807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 20684350 MAIL ADDRESS: STREET 1: C/O THOMAS WEISEL PARTNERS GROUP, INC. STREET 2: ONE MONTGOMERY STREET, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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 2020-02-28 0 0000720672 STIFEL FINANCIAL CORP SF 0001345807 Fisher Mark P ONE MONTGOMERY STREET SUITE 3700 SAN FRANCISCO CA 94104 0 1 0 0 SENIOR VP & GENERAL COUNSEL Common Stock 2020-03-03 4 M 0 29644 63.23 A 55398 D Common Stock 2020-03-03 4 F 0 13636 63.23 D 41762 D Common Stock 2020-03-03 4 D 0 16008 63.23 D 25754 D Phantom Stock Units 0.00 2020-03-03 4 A 0 37056 0.00 A Common Stock 37056 58622 D Phantom Stock Units 0.00 2020-03-03 4 M 0 29644 63.23 D Common Stock 29644 28978 D 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. From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability. From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person. Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21. No expiration date for these Units. Currently exercisable. /s/ Mark Fisher 2020-03-03