Stifel Financial (NYSE: SF) COO exercises 2,258 units, disposes 995

Filing Impact

(Moderate)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Stifel Financial Corp Chief Operating Officer David D. Sliney reported equity transactions dated January 30, 2026. He exercised 2,258 Phantom Stock Units into the same number of common shares at an exercise price of $0 per unit.

On the same date, an M-coded transaction added 2,258 common shares and an F-coded transaction disposed of 995 common shares at $126.24 per share. After these transactions, he directly owned 163,733 common shares and 19,807 Phantom Stock Units, which are currently exercisable with no stated expiration date.

Insider Trade Summary

2,258 shares exercised/converted

Mixed 3 txns

Insider SLINEY DAVID D

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Exercise	Phantom Stock Units	2,258	$0.00	--
Exercise	Common Stock	2,258	$0.00	--
Tax Withholding	Common Stock	995	$126.24	$126K

Holdings After Transaction: Phantom Stock Units — 19,807 shares (Direct); Common Stock — 164,728 shares (Direct)

Footnotes (1)

Currently exercisable. No expiration date for these Units

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Form 4 Insider Transactions: What Each Field Means →

02/03/2026 - 04:32 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
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^*

SLINEY DAVID D

(Last)

(First)

(Middle)

501 NORTH BROADWAY

(Street)

ST. LOUIS

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 Operating Officer

3. Date of Earliest Transaction (Month/Day/Year)
01/30/2026

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	01/30/2026		M		2,258	A	$0	164,728	D
Common Stock	01/30/2026		F		995	D	$126.24	163,733	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	01/30/2026		M			2,258	⁽¹⁾	⁽²⁾	Common Stock	2,258	$0	19,807	D

Explanation of Responses:

1. Currently exercisable.

2. No expiration date for these Units

	/s/ David Sliney	02/03/2026
	** 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 transaction did Stifel (SF) COO David Sliney report?

David D. Sliney reported exercising 2,258 Phantom Stock Units into common stock and related common stock movements on January 30, 2026. These Form 4 disclosures show routine equity compensation activity and updated direct ownership levels at Stifel Financial Corp.

How many Stifel (SF) Phantom Stock Units did the COO exercise?

The COO exercised 2,258 Phantom Stock Units into the same number of Stifel common shares at an exercise price of $0 per unit. These units are described as currently exercisable with no expiration date specified for this Phantom Stock Unit award in the filing.

What common stock transactions did the Stifel (SF) COO complete?

On January 30, 2026, the COO had an M-coded acquisition of 2,258 Stifel common shares at $0 and an F-coded disposition of 995 common shares at $126.24 per share. These codes indicate distinct equity-related transaction types under SEC reporting rules.

How many Stifel (SF) shares does the COO own after these transactions?

Following the reported transactions, the COO directly owned 163,733 shares of Stifel common stock. The filing also shows continued direct ownership of 19,807 Phantom Stock Units, providing additional equity-linked exposure beyond the reported common share balance.

What is the remaining Phantom Stock Unit balance for Stifel (SF) COO?

After exercising 2,258 Phantom Stock Units, the COO held 19,807 Phantom Stock Units directly. The footnotes state these units are currently exercisable and have no expiration date, highlighting their ongoing role in his equity-based compensation structure.

What do the M and F transaction codes mean in the Stifel (SF) Form 4?

The Form 4 shows an M code for the exercise of 2,258 Phantom Stock Units into common stock and an F code for a 995-share disposition at $126.24. These alphanumeric codes classify the nature of each insider transaction under SEC reporting conventions.