Stifel’s McDuffie granted phantom stock units

Stifel Financial Corp executive Brantley McDuffie reported awards of phantom stock units on February 27, 2026.

Accepted by SEC EDGAR 03/03/2026 - 05:23 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Stifel Financial Corp executive Brantley McDuffie reported awards of phantom stock units on February 27, 2026. He acquired 10,533 units and 13,504 units at $74.05 per unit, with totals adjusted for a 3-for-2 stock split payable February 26, 2026. Some units vest 20% annually over five years, others 10% annually over ten years, with no expiration date for certain units. He also reported holding 1,881 shares of common stock directly.

Insider Trade Summary

Grant/Award: 24,037 shares

Grant/Award 2 txns

Insider McDuffie Brantley

Role Insider

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock Units	10,533	$74.05	$780K
Grant/Award	Phantom Stock Units	13,504	$74.05	$1000K
Holding	Common Stock	--	--	--

Holdings After Transaction: Phantom Stock Units — 31,419 contracts (Direct); Common Stock — 1,881 shares (Direct)

Footnotes (4)

1. F1. This total has been adjusted to reflect the 3-for-2 stock split payable on February 26, 2026.
2. F2. Units vest in 20% increments over a five year period.
3. F3. No expiration date for these Units
4. F4. Units vest in 10% increments over a 10 year period.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider activity did SF's Brantley McDuffie report on this Form 4?

Brantley McDuffie reported receiving phantom stock unit awards in Stifel Financial Corp. The filing shows two grants totaling 24,037 units on February 27, 2026, plus a reported direct holding of 1,881 shares of common stock after the transactions.

How many phantom stock units did McDuffie acquire in the SF Form 4?

McDuffie acquired 10,533 phantom stock units in one grant and 13,504 units in another. Both grants are priced at $74.05 per unit and are reflected after adjustment for Stifel’s 3-for-2 stock split payable on February 26, 2026.

What are the vesting terms of McDuffie’s phantom stock units at SF?

The phantom stock units vest over long periods. One award vests in 20% increments over five years, while another vests in 10% increments over ten years. The filing also notes that certain units have no expiration date attached to them.

How did Stifel’s 3-for-2 stock split affect McDuffie’s reported units?

The reported phantom stock unit totals were adjusted for Stifel’s 3-for-2 stock split. The filing states the adjustment reflects the split payable on February 26, 2026, meaning the unit counts shown already incorporate the split’s effect on the awards.

What common stock holdings does McDuffie report in this SF filing?

McDuffie reports direct ownership of 1,881 shares of Stifel Financial common stock. This figure is shown as the total shares of common stock held following the reported transactions, separate from his phantom stock unit awards, which are derivative equity-based compensation.

Do McDuffie’s phantom stock units in SF have an expiration date?

The filing states that there is no expiration date for these phantom stock units. Instead, their key constraints are the vesting schedules, which allocate the units in annual increments over five-year and ten-year periods, depending on the specific grant.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

McDuffie Brantley

(Last) (First) (Middle)

800 SHADES CREEK PARKWAY

(Street)

BIRMINGHAM AL 35209

(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 FI Capital Markets

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								1,881(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 Units	$0	02/27/2026		A		10,533		(2)	(3)	Common Stock	10,533	$74.05	17,915(1)	D
Phantom Stock Units	$0	02/27/2026		A		13,504		(4)	(3)	Common Stock	13,504	$74.05	31,419(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/ Brantley McDuffie	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.
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