Welcome to our dedicated page for Stifel Fin SEC filings (Ticker: SF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Stifel Financial Corp. filings document formal disclosures for a financial-services company with common stock, preferred depositary shares, and senior notes registered on the New York Stock Exchange. Recent 8-K reports furnish quarterly results, financial supplements, conference-call materials, selected operating results, and Regulation FD disclosures covering client assets, banking balances, loans, and other operating metrics.
The filing record also includes proxy materials and capital-structure disclosures. Stifel reports depositary shares representing interests in Series B, Series C, and Series D preferred stock, 5.20% Senior Notes due 2047, common stock, and credit arrangements involving Stifel Nicolaus & Company, Incorporated and bank lenders, alongside governance and shareholder-meeting materials filed on Schedule 14A.
Stifel Financial Corp. reported results of its June 9, 2026 annual shareholder meeting. Shareholders approved amendments to the certificate of incorporation increasing total authorized stock from 197,000,000 to 294,000,000 shares, including an increase in authorized common stock from 194,000,000 to 291,000,000 shares.
They also approved amendments to the 2001 Incentive Stock Plan (2018 Restatement) to add capacity for 9,000,000 shares, including 175,000 reserved for non-employee directors. Twelve directors were elected, executive compensation received advisory approval, and KPMG LLP was ratified as independent auditor. There were 153,794,394 common shares outstanding as of the record date, with 142,320,057 shares represented, constituting a quorum.
Stifel Financial Corp director Michael W. Brown exercised 2,812 Phantom Stock Units into an equal number of Common Stock shares on June 4, 2026. Following this derivative exercise, he directly holds 103,264 Common Stock shares. Footnotes note this total reflects the 3-for-2 stock split payable on February 26, 2026.
Stifel Financial Corp director Michael J. Zimmerman exercised 2,812 Phantom Stock Units into Common Stock on June 4, 2026. The derivative exercise converted units at a stated price of $0.00 per unit, and Zimmerman now directly holds 71,562 shares of Common Stock.
A footnote states that this total share amount has been adjusted for a 3-for-2 stock split payable on February 26, 2026. The filing shows a routine compensation-related derivative conversion with no open-market buying or selling.
STIFEL FINANCIAL CORP director Maura A. Markus exercised phantom equity into common shares. On June 4, 2026, she converted 2,812 Phantom Stock Units into 2,812 shares of Common Stock at a stated price of $0.00 per share.
Following the exercise, her direct Common Stock holdings increased to 44,688 shares, and the Phantom Stock Units position related to this award was reduced to zero. A footnote states that this total has been adjusted for a 3-for-2 stock split payable on February 26, 2026.
STIFEL FINANCIAL CORP director David A. Peacock exercised 2,812 Phantom Stock Units into an equal number of Common Stock shares on June 4, 2026. The transaction was recorded at $0.00 per share and is held indirectly by a trust, bringing that trust’s holdings to 13,764 Common Stock shares. The phantom units position of 2,812 units was fully converted and now shows zero remaining. Reported totals reflect a 3-for-2 stock split payable on February 26, 2026.
Stifel Financial Corp director Adam T. Berlew exercised equity units into common stock. On June 4, 2026, he converted 2,812 phantom stock units into an equal number of Stifel common shares at a stated price of $0.00 per share, reflecting a compensation-related, non-cash transaction. Following these conversions and related adjustments, Berlew directly holds 24,475 shares of Stifel common stock. The reported share total has been adjusted for a 3-for-2 stock split payable on February 26, 2026, indicating the figures reflect the post-split share count.
STIFEL FINANCIAL CORP director James P. Kavanaugh converted deferred compensation into common stock in a routine, non-market transaction. On June 4, 2026, 2,812 phantom stock units tied to common stock were disposed to the issuer and a matching 2,812 shares of common stock were acquired at no cash cost. Following these transactions, Kavanaugh directly holds 13,626 shares of common stock, with this total adjusted for the 3-for-2 stock split payable on February 26, 2026. The filing shows no remaining phantom stock units or other derivative positions.
STIFEL FINANCIAL CORP director Maryam S. Brown exercised phantom stock units into common shares. On this Form 4, she converted 2,812 Phantom Stock Units into 2,812 shares of Common Stock at a stated price of $0.00 per share.
Following the transaction, her directly owned Common Stock holdings increased to 10,429 shares. The filing notes that this total has been adjusted to reflect the 3-for-2 stock split payable on February 26, 2026. No derivative positions remain listed after this exercise.
Stifel Financial Corp director Lisa Landau Carnoy exercised 2,812 Phantom Stock Units into an equal number of common shares on June 4, 2026. The units converted at $0.00 per unit, reflecting a compensation-related derivative exercise rather than an open‑market purchase.
After the transaction, she directly holds 10,611 shares of Stifel common stock. The reported totals have been adjusted to reflect the company’s 3-for-2 stock split payable on February 26, 2026, and the exercised Phantom Stock Units balance is now zero.
Stifel Financial Corp. reported selected operating results for April 30, 2026, highlighting growth in client assets, loans, and treasury deposits. Management noted that these figures are limited indicators and should not be directly linked to full earnings.
Total client assets reached $568.9 billion, up 17% from April 30, 2025 and 6% from March 31, 2026. Fee-based client assets were $232.4 billion, rising 22% year over year and 6% sequentially, with Private Client Group fee-based assets matching that 22% annual and 6% quarterly growth.
Bank loans, net, increased to $23.4 billion, 9% above the prior year and 6% above March 31, 2026, reflecting stronger loan activity, including fund banking. Treasury deposits climbed to $11.1 billion, up 88% year over year and 7% sequentially, supported by strong venture banking growth, while client money market and insured product balances declined 4% year over year and 7% from March 31, 2026.