Stifel Financial Form 4 / James M Marischen ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Marischen James M

(Last)

(First)

(Middle)

ONE FINANCIAL PLAZA

501 N. BROADWAY

(Street)

ST. LOUIS

63102-2102

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
STIFEL FINANCIAL CORP [ SF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SENIOR VP & CHIEF RISK OFFICER

3. Date of Earliest Transaction (Month/Day/Year)
12/27/2017

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	12/27/2017		M		456⁽¹⁾	A	$0	9,525	D
Common Stock	12/27/2017		F		219	D	$60.13	9,306	D
Common Stock	12/27/2017		M		456⁽²⁾	A	$0	9,762	D
Common Stock	12/27/2017		F		219	D	$60.13	9,543	D
Common Stock	12/27/2017		M		456⁽³⁾	A	$0	9,999	D
Common Stock	12/27/2017		F		219	D	$60.13	9,780	D
Common Stock	12/27/2017		M		331⁽⁴⁾	A	$0	10,111	D
Common Stock	12/27/2017		F		158	D	$60.13	9,953	D
Common Stock	12/27/2017		M		346⁽⁵⁾	A	$0	10,299	D
Common Stock	12/27/2017		F		165	D	$60.13	10,134	D
Common Stock	12/27/2017		M		255⁽⁵⁾	A	$0	10,389	D
Common Stock	12/27/2017		F		124	D	$60.13	10,265	D
Common Stock	12/27/2017		M		8,432⁽⁶⁾	A	$0	18,697	D
Common Stock	12/27/2017		F		4,044	D	$60.13	14,653	D
Common Stock	12/27/2017		M		1,124⁽⁵⁾	A	$0	15,777	D
Common Stock	12/27/2017		F		537	D	$60.13	15,240	D
Common Stock	12/27/2017		M		1,540⁽⁵⁾	A	$0	16,780	D
Common Stock	12/27/2017		F		738	D	$60.13	16,042	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Phantom Stock Units	$0	12/27/2017		M			456	⁽⁷⁾	⁽⁸⁾	Common Stock	456	$0	34,052	D
Phantom Stock Units	$0	12/27/2017		M			456	⁽⁹⁾	⁽⁸⁾	Common Stock	456	$0	33,596	D
Phantom Stock Units	$0	12/27/2017		M			456	⁽¹⁰⁾	⁽⁸⁾	Common Stock	456	$0	33,140	D
Phantom Stock Units	$0	12/27/2017		M			331	⁽¹¹⁾	⁽⁸⁾	Common Stock	331	$0	32,809	D
Phantom Stock Units	$0	12/27/2017		M			346	⁽¹²⁾	⁽⁸⁾	Common Stock	346	$0	32,463	D
Phantom Stock Units	$0	12/27/2017		M			255	⁽¹²⁾	⁽⁸⁾	Common Stock	255	$0	32,208	D
Phantom Stock Units	$0	12/27/2017		M			8,432	⁽¹³⁾	⁽⁸⁾	Common Stock	8,432	$0	23,776	D
Phantom Stock Units	$0	12/27/2017		M			1,124	⁽¹²⁾	⁽⁸⁾	Common Stock	1,124	$0	22,652	D
Phantom Stock Units	$0	12/27/2017		M			1,540	⁽¹²⁾	⁽⁸⁾	Common Stock	1,540	$0	21,112	D

Explanation of Responses:

1. Shares represent a grant of restricted stock which vest 100% ten years from the original grant date of the phantom stock unit.

2. Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit.

3. Shares represent a grant of restricted stock which vest 100% nine years from the original grant date of the phantom stock unit.

4. Shares represent a grant of restricted stock which vest 100% five years from the original grant date of the phantom stock unit.

5. Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit.

6. Shares represent a grant of restricted stock which vest in 10% increments over a 10 year period from original grant date of the phantom stock unit.

7. Currently convertible. Units vest 100% ten years from the original grant date.

8. No expiration date for these Units.

9. Currently convertible. Units vest 100% eight years from the original grant date.

10. Currently convertible. Units vest 100% nine years from the original grant date.

11. Currenlty convertible. Units vest 100% five years from the original grant date.

12. Currently convertible. Units vest in 20% increments over a five year period from original grant date.

13. Currently convertible. Units vest in 10% increments over ten years from the original grant date.

	JAMES M MARISCHEN	12/29/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Stifel Financial (SF) Form 4STIFEL FINANCIAL / James M Marischen ownership change