Plotkin Ben A 4

4 · STIFEL FINANCIAL CORP · Filed Mar 3, 2020

Form 4

Period: 2020-02-28

DirectorVice Chairman

Transactions

Disposition to Issuer
Common Stock
2020-03-03$63.23/sh−11,034$697,680→ 98,933 total
Tax Payment
Common Stock
2020-03-03$63.23/sh−6,753$426,992→ 109,967 total
Exercise/Conversion
Phantom Stock Units
2020-03-03$63.23/sh−17,787$1,124,672→ 8,880 total
Exercise: $0.00→ Common Stock (17,787 underlying)
Exercise/Conversion
Common Stock
2020-03-03$63.23/sh+17,787$1,124,672→ 116,720 total
Award
Phantom Stock Units
2020-03-03+22,233→ 26,667 total
Exercise: $0.00→ Common Stock (22,233 underlying)

Footnotes (6)

[F1]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.
[F2]From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.
[F3]From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.
[F4]Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.
[F5]No expiration date for these Units.
[F6]Currently exercisable.

Documents

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