Stifel Financial (NYSE: SF) GC granted phantom stock units after split

Filing Impact

(Very High)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Stifel Financial Corp senior vice president and general counsel Mark P. Fisher reported awards of phantom stock units tied to the company’s common stock. He acquired 9,723 phantom stock units and 5,402 phantom stock units on February 27, 2026 in grant or award transactions, each using a reference price of $74.05 per unit.

After these awards, his directly held phantom stock units increased to 43,652, and his directly held common stock position was 81,977 shares. Footnotes state that totals reflect a 3-for-2 stock split payable on February 26, 2026. One unit grant vests in 20% increments over five years with no expiration date, and another vests in 10% increments over ten years.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Fisher Mark P

Role Senior VP & General Counsel

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock Units	9,723	$74.05	$720K
Grant/Award	Phantom Stock Units	5,402	$74.05	$400K
holding	Common Stock	--	--	--

Holdings After Transaction: Phantom Stock Units — 38,250 shares (Direct); Common Stock — 81,977 shares (Direct)

Footnotes (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 →

03/03/2026 - 05:11 PM

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
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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).

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^*

Fisher Mark P

(Last)

(First)

(Middle)

ONE MONTGOMERY STREET

SUITE 3700

(Street)

SAN FRANCISCO

94104

(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 & General Counsel

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)
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								81,977⁽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)
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	02/27/2026		A		9,723		⁽²⁾	⁽³⁾	Common Stock	9,723	$74.05	38,250⁽¹⁾	D
Phantom Stock Units	$0	02/27/2026		A		5,402		⁽⁴⁾	⁽³⁾	Common Stock	5,402	$74.05	43,652⁽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/ Mark Fisher	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 transactions did SF executive Mark P. Fisher report on this Form 4?

Mark P. Fisher reported acquiring two grants of phantom stock units linked to Stifel Financial common stock. He received 9,723 units and 5,402 units on February 27, 2026 as grant or award acquisitions, using a reference price of $74.05 per unit for both awards.

How many phantom stock units does Mark P. Fisher hold in SF after these awards?

Following the reported awards, Mark P. Fisher directly holds 43,652 phantom stock units tied to Stifel Financial common stock. These units represent deferred compensation, with vesting schedules extending over multiple years according to the footnotes in the Form 4 filing.

What vesting terms apply to the SF phantom stock units granted to Mark P. Fisher?

One phantom stock unit grant to Mark P. Fisher vests in 20% increments over a five-year period and has no expiration date. Another grant vests in 10% increments over a ten-year period, creating a long-term incentive structure linked to Stifel Financial common stock.

How did Stifel Financial’s 3-for-2 stock split affect Mark P. Fisher’s reported holdings?

The Form 4 notes that reported totals have been adjusted for a 3-for-2 stock split payable February 26, 2026. This adjustment affects the share and unit counts shown, ensuring Fisher’s phantom stock units and common stock holdings reflect the post-split amounts in the filing.

How many shares of SF common stock does Mark P. Fisher directly own after this Form 4?

After the reported award transactions, Mark P. Fisher directly owns 81,977 shares of Stifel Financial common stock. This figure is presented as his total direct common stock holdings following the phantom stock unit grants and the adjustment for the company’s 3-for-2 stock split.