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Bradford (SF) receives new phantom stock unit awards at Stifel Financial

Filing Impact
(High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Stifel Financial Corp insider Raymond Charles Bradford reported awards of phantom stock units tied to the company’s common stock. On February 27, 2026, he acquired 12,694 and 13,504 phantom stock units at a reference price of $74.05 per unit through grant or award transactions.

After these grants, his reported phantom stock unit holdings increased to 70,083 and then 83,587 units. Footnotes state these totals were adjusted for a 3-for-2 stock split payable on February 26, 2026. One grant vests in 20% increments over five years and another in 10% increments over ten years, with no expiration date for the units. A separate line reflects 64,539 shares of common stock held directly.

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Insider Raymond Charles Bradford
Role Insider
Type Security Shares Price Value
Grant/Award Phantom Stock Unit 12,694 $74.05 $940K
Grant/Award Phantom Stock Unit 13,504 $74.05 $1000K
holding Common Stock -- -- --
Holdings After Transaction: Phantom Stock Unit — 70,083 shares (Direct); Common Stock — 64,539 shares (Direct)
Footnotes (1)
  1. This total has been adjusted to reflect the 3-for-2 stock split payable on February 26, 2026. Units vest in 20% increments over a five year period. No expiration date for these Units Units vest in 10% increments over a 10 year period.
Form 4 Insider Transactions: What Each Field Means →
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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Raymond Charles Bradford
(Last) (First) (Middle)
787 7TH AVENUE
(Street)
NEW YORK NY
(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
Officer (give title below) X Other (specify below)
Co-Head Global Instl Eqty Adv
3. Date of Earliest Transaction (Month/Day/Year)
02/27/2026
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)
Code V Amount (A) or (D) Price
Common Stock 64,539(1) 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Phantom Stock Unit $0 02/27/2026 A 12,694 (2) (3) Common Stock 12,694 $74.05 70,083(1) D
Phantom Stock Unit $0 02/27/2026 A 13,504 (4) (3) Common Stock 13,504 $74.05 83,587(1) D
Explanation of Responses:
1. This total has been adjusted to reflect the 3-for-2 stock split payable on February 26, 2026.
2. Units vest in 20% increments over a five year period.
3. No expiration date for these Units
4. Units vest in 10% increments over a 10 year period.
/s/ Charles Bradford Raymond 03/03/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did Raymond Charles Bradford report for SF on February 27, 2026?

Raymond Charles Bradford reported awards of phantom stock units on February 27, 2026. Two grants of 12,694 and 13,504 units were recorded, both classified as grant or award acquisitions rather than open-market purchases or sales of Stifel Financial common stock.

How many phantom stock units does Raymond Charles Bradford hold after the latest SF grants?

Following the February 27, 2026 awards, Bradford’s reported phantom stock unit holdings increased to 70,083 units after the first grant and 83,587 units after the second. These totals reflect adjustment for Stifel Financial’s 3-for-2 stock split payable February 26, 2026.

What are the vesting terms of Raymond Charles Bradford’s SF phantom stock units?

Bradford’s phantom stock units vest over extended periods. One award vests in 20% increments over five years, while another vests in 10% increments over ten years. The footnotes specify there is no expiration date for these phantom stock unit awards.

How does the 3-for-2 stock split affect the SF phantom stock units reported?

The reported totals for Bradford’s phantom stock units were adjusted for Stifel Financial’s 3-for-2 stock split payable February 26, 2026. This means the unit counts shown already reflect the post-split amounts rather than the pre-split figures originally granted.

Did Raymond Charles Bradford buy or sell SF common stock in this Form 4 filing?

The Form 4 shows no open-market buys or sells of SF common stock by Bradford. It primarily reports grant or award acquisitions of phantom stock units and lists a direct holding of 64,539 common shares without indicating a new purchase or sale transaction.

What direct SF common stock holdings does Raymond Charles Bradford report?

Bradford reports holding 64,539 shares of Stifel Financial common stock directly. This figure appears as a position line item rather than a new trade, indicating his direct equity stake separate from the phantom stock unit awards disclosed in the same Form 4 filing.