Stifel Financial (NYSE: SF) CFO Marischen reports Form 4 stock trades

Rhea-AI Filing Summary

Stifel Financial Corp's Chief Financial Officer, James Marischen, reported equity award activity in company stock. On January 13, 2026, he exercised 12,055 Phantom Stock Units into 12,055 shares of common stock at an exercise price of $0 per share. On the same date, he disposed of 5,749 shares of common stock at a price of $125.22 per share. Following these transactions, he beneficially owned 69,757 shares of common stock directly and 19,116 Phantom Stock Units, which are described as currently exercisable with no expiration date.

Insider Trade Summary

12,055 shares exercised/converted

Mixed 3 txns

Insider Marischen James M

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Phantom Stock Units	12,055	$0.00	--
Exercise	Common Stock	12,055	$0.00	--
Tax Withholding	Common Stock	5,749	$125.22	$720K

Holdings After Transaction: Phantom Stock Units — 19,116 shares (Direct); Common Stock — 75,506 shares (Direct)

Footnotes (1)

1. Currently exercisable. No expiration date for these Units

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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^*

Marischen James M

(Last) (First) (Middle)

501 NORTH BROADWAY

(Street)

ST. LOUIS MO 63102

(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)
	Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
01/13/2026

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	01/13/2026		M		12,055	A	$0	75,506	D
Common Stock	01/13/2026		F		5,749	D	$125.22	69,757	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 Units	$0	01/13/2026		M			12,055	(1)	(2)	Common Stock	12,055	$0	19,116	D

Explanation of Responses:

1. Currently exercisable.

2. No expiration date for these Units

	/s/ James Marischen	01/15/2026
	** 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.

FAQ

What insider transactions did SF CFO James Marischen report?

James Marischen, Chief Financial Officer of Stifel Financial Corp (SF), reported exercising 12,055 Phantom Stock Units into common stock at $0 per share and disposing of 5,749 shares of common stock at $125.22 per share on January 13, 2026.

How many Stifel Financial (SF) shares does the CFO own after these Form 4 transactions?

After the reported transactions, James Marischen beneficially owned 69,757 shares of Stifel Financial common stock directly and 19,116 Phantom Stock Units.

What are the details of the Phantom Stock Units reported by SF's CFO?

The filing shows 12,055 Phantom Stock Units were exercised into the same number of common shares at an exercise price of $0, and the remaining 19,116 Phantom Stock Units are described as currently exercisable with no expiration date.

At what price were Stifel Financial (SF) shares disposed of in this Form 4?

The Form 4 reports a disposition of 5,749 shares of Stifel Financial common stock at a price of $125.22 per share on January 13, 2026.

Is the Stifel Financial (SF) CFO a 10% owner based on this Form 4?

The filing identifies James Marischen as an officer (Chief Financial Officer) and indicates he is not a 10% owner of Stifel Financial Corp.

Are the Stifel Financial (SF) Phantom Stock Units currently exercisable?

The disclosure notes that the Phantom Stock Units are currently exercisable and that there is no expiration date for these units.