Welcome to our dedicated page for Stifel Fin SEC filings (Ticker: SF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Stifel Financial Corp. (NYSE: SF) SEC filings page brings together the company’s regulatory disclosures, including current and periodic reports filed with the U.S. Securities and Exchange Commission. As a financial services holding company with activities in wealth management, investment banking, trading, banking, and trust services, Stifel uses its SEC filings to report financial results, operating data, and material events affecting SF and its listed securities.
Recent Form 8-K filings show how Stifel reports selected operating results for specific month-ends, attaching press releases that detail total client assets, fee-based client assets, bank loans, client money market and insured product balances, and treasury deposits. Other 8-Ks furnish quarterly financial results, financial supplements, and presentation materials for earnings conference calls, giving investors a view into segment performance in Global Wealth Management and the Institutional Group.
According to these filings, Stifel’s securities registered under Section 12(b) of the Exchange Act include its common stock (SF), several series of non-cumulative perpetual preferred stock represented by depository shares (SF-PB, SF-PC, SF-PD), and 5.20% Senior Notes due 2047 (SFB), all listed on the New York Stock Exchange. Filings provide details on these instruments, along with capital ratios, risk-weighted assets, and other regulatory metrics in the firm’s financial supplements.
On Stock Titan, users can access SF filings as they are made available through EDGAR and use AI-powered summaries to interpret complex documents such as 8-Ks, 10-Qs, and 10-Ks. The platform highlights key points—like changes in client assets, segment revenues, capital structure, and disclosures about risks—so readers can quickly understand what each filing means without reading every line of the original document.
Stifel Financial Corp’s Chief Financial Officer James M. Marischen reported equity award and related share transactions. He received 9,823 Phantom Stock Units at no cost based on a PRSU award agreement dated February 18, 2022, with 80 percent vested now and 20 percent vesting in one year.
He exercised 7,859 Phantom Stock Units, which were converted into 7,859 shares of common stock, both at a stated price of $0.00 per unit or share. To cover tax obligations on this equity, 3,463 common shares were disposed of at $120.49 per share as a tax-withholding transaction, not an open‑market sale.
Following these transactions, he directly holds 27,371 Phantom Stock Units, which have no expiration date and are currently exercisable, and 75,030 shares of Stifel common stock held directly.
STIFEL FINANCIAL CORP director Thomas W. Weisel reported equity award activity and related share movements. He received 5,778 Phantom Stock Units as a grant under a PRSU award agreement dated February 18, 2022, with 80 percent vested now and 20 percent scheduled to vest in one year. The filing shows an exercise of 4,623 Phantom Stock Units, which were converted into 4,623 shares of common stock at a stated price of $120.49 per share. To satisfy tax obligations tied to this equity activity, 1,693 common shares were disposed of by delivering shares at $120.49 per share, leaving him with 12,871 common shares held directly. The Phantom Stock Units are described as having no expiration date and being currently exercisable.
Stifel Financial Corp filed a quarterly Form 13F report detailing its institutional investment holdings. The filing covers 9,512 individual positions with a reported aggregate fair value of $111,168,609,412. This report provides a snapshot of securities held in client and proprietary accounts managed by the firm.
The filing is submitted by Stifel Financial Corp as the reporting manager and includes 7 other affiliated managers, such as Stifel Nicolaus & Co. and various Stifel trust and advisory entities. It is a holdings report only and does not present Stifel’s revenues, profits, or operating performance.
Stifel Financial Corp. entered into an amended and restated credit agreement that provides a committed unsecured revolving borrowing facility for maximum aggregate borrowings of up to $1.0 billion. The facility, led by Bank of America as administrative agent, matures on February 4, 2031 and replaces the company’s prior unsecured credit agreement, whose commitments were terminated when the new agreement became effective.
Borrowings carry variable interest rates based on the Secured Overnight Financing Rate and are available as long as specified covenants are maintained. These include minimum consolidated tangible net worth and maximum consolidated total capitalization ratios for the borrowers, a minimum regulatory excess net capital percentage for Stifel Nicolaus, and well‑capitalized status for Stifel’s bank subsidiaries. Proceeds are to be used for working capital, short-term operating needs, and general corporate purposes, and customary events of default can trigger acceleration and termination of lending commitments.
Stifel Financial Corp executive reports small stock sale
Co-Head of Fixed Income Capital Markets David Rubulotta reported selling 400 shares of Stifel Financial Corp common stock at $124.31 per share on February 2, 2026. After this transaction, he directly held 992 shares of Stifel common stock.
Stifel Financial Corp director Thomas W. Weisel reported transactions in company equity on January 30, 2026. He converted 628 Phantom Stock Units, which were currently exercisable with no expiration date, into 628 shares of Common Stock at an exercise price of $0.
To cover tax withholding on this equity event, 260 shares of Common Stock were withheld at a price of $126.24 per share, reported under transaction code F. After these transactions, Weisel directly owned 9,941 shares of Stifel Financial Common Stock.
Stifel Financial Corp’s Chief Financial Officer James Marischen reported routine equity compensation activity. On January 30, 2026, he exercised 1,568 Phantom Stock Units, which converted into the same number of common shares at an exercise price of $0 per share.
On the same date, Form 4 shows a disposition of 691 common shares coded "F" at $126.24 per share, typically reflecting shares withheld or delivered to cover taxes. After these transactions, he directly held 70,634 common shares and 17,548 Phantom Stock Units, which are currently exercisable and have no expiration date.
Stifel Financial Corp. insider Christopher K. Reichert, CEO of Stifel Bank & Trust, reported routine equity compensation activity. On January 30, 2026, he exercised 1,568 Phantom Stock Units into the same number of common shares at $0 exercise price.
The resulting 1,568 common shares are held indirectly by a trust, bringing the trust’s holdings to 55,345 common shares after the transactions. To cover tax withholding, 694 common shares were withheld at $126.24 per share. Following the exercise, Reichert also holds 13,910 Phantom Stock Units directly, which are currently exercisable with no expiration date.
Stifel Financial Corp Senior VP & General Counsel Mark P. Fisher reported routine equity compensation activity. On January 30, 2026, he converted 1,725 Phantom Stock Units into the same number of common shares at $0 per share.
On the same date, 931 common shares were withheld at $126.24 per share, typically reflecting tax withholding, leaving him with 51,033 common shares held directly. He also continues to hold 17,054 Phantom Stock Units, which are currently exercisable with no stated expiration date.
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.