0001209191-20-015580.txt : 20200303 0001209191-20-015580.hdr.sgml : 20200303 20200303181238 ACCESSION NUMBER: 0001209191-20-015580 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: Plotkin Ben A CENTRAL INDEX KEY: 0001392580 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 20684482 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-28 0 0000720672 STIFEL FINANCIAL CORP SF 0001392580 Plotkin Ben A 787 7TH AVENUE NEW YORK NY 10019 0 1 0 0 Vice Chairman and SVP Common Stock 2020-03-03 4 M 0 17787 63.23 A 116720 D Common Stock 2020-03-03 4 F 0 6753 63.23 D 109967 D Common Stock 2020-03-03 4 D 0 11034 63.23 D 98933 D Phantom Stock Units 0.00 2020-03-03 4 A 0 22233 0.00 A Common Stock 22233 26667 D Phantom Stock Units 0.00 2020-03-03 4 M 0 17787 63.23 D Common Stock 17787 8880 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/ Ben Plotkin 2020-03-03