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