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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.
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.
Stifel Financial Corp Chief Financial Officer James M. Marischen reported grants of phantom stock units on February 27, 2026. He acquired 9,723 and 5,402 phantom units at $74.05 per unit, which vest in 20% increments over five years and 10% increments over ten years, with no expiration date. Following these awards, his reported holdings include phantom stock unit balances of 38,991 and 44,393 units, and 112,545 shares of common stock, adjusted for a 3-for-2 stock split payable on February 26, 2026.
Stifel Financial Corp Chief Financial Officer James M. Marischen reported grants of phantom stock units on February 27, 2026. He acquired 9,723 and 5,402 phantom units at $74.05 per unit, which vest in 20% increments over five years and 10% increments over ten years, with no expiration date. Following these awards, his reported holdings include phantom stock unit balances of 38,991 and 44,393 units, and 112,545 shares of common stock, adjusted for a 3-for-2 stock split payable on February 26, 2026.
Stifel Financial Senior Vice President Thomas B. Michaud reported awards of phantom stock units. He acquired 17,623 units and 13,504 units at a reference price of $74.05 per unit. One grant vests in 20% increments over five years and another in 10% increments over ten years, with no expiration date. Following these awards, his reported phantom stock unit holdings rose to 82,616 units, and his direct common stock holdings were 129,735 shares, adjusted for a 3-for-2 stock split payable on February 26, 2026.
Stifel Financial Senior Vice President Thomas B. Michaud reported awards of phantom stock units. He acquired 17,623 units and 13,504 units at a reference price of $74.05 per unit. One grant vests in 20% increments over five years and another in 10% increments over ten years, with no expiration date. Following these awards, his reported phantom stock unit holdings rose to 82,616 units, and his direct common stock holdings were 129,735 shares, adjusted for a 3-for-2 stock split payable on February 26, 2026.
STIFEL FINANCIAL CORP President James M. Zemlyak received grants of Phantom Stock Units tied to the company’s common stock. On February 27, 2026, he acquired 25,388 Phantom Stock Units at $74.05 per unit, bringing this award account to 119,887 units, and a separate 13,504-unit grant at the same reference price, bringing that account to 133,391 units.
According to the footnotes, one grant vests in 20% increments over five years with no expiration date, and the other vests in 10% increments over ten years. The totals have been adjusted to reflect a 3-for-2 stock split payable on February 26, 2026. As of the same date, Zemlyak also reported 1,756,080 shares of common stock held directly, plus indirect holdings of 10,608 shares held by his son and 632 shares held by his wife.
STIFEL FINANCIAL CORP President James M. Zemlyak received grants of Phantom Stock Units tied to the company’s common stock. On February 27, 2026, he acquired 25,388 Phantom Stock Units at $74.05 per unit, bringing this award account to 119,887 units, and a separate 13,504-unit grant at the same reference price, bringing that account to 133,391 units.
According to the footnotes, one grant vests in 20% increments over five years with no expiration date, and the other vests in 10% increments over ten years. The totals have been adjusted to reflect a 3-for-2 stock split payable on February 26, 2026. As of the same date, Zemlyak also reported 1,756,080 shares of common stock held directly, plus indirect holdings of 10,608 shares held by his son and 632 shares held by his wife.
Stifel Financial Corp. is a Delaware-based financial holding company with a 135-year history, offering wealth management, institutional brokerage, investment banking, and retail and commercial banking through subsidiaries in the U.S., U.K., Europe, and Canada. Its principal broker-dealer is Stifel, Nicolaus & Company.
The firm has more than 2,200 financial advisors in 402 branches, over 9,000 associates, and client assets that reached $551.9 billion as of December 31, 2025. It has expanded through acquisitions, including Finance 500 and CB Resource in 2024, and B. Riley’s wealth unit and Bryan, Garnier & Co. in 2025.
Stifel operates in three segments—Global Wealth Management, Institutional Group, and Other—supported by Stifel Bancorp’s banking platform. The filing emphasizes a client-first culture, human capital investment, disciplined acquisitions, and detailed regulatory, capital, liquidity, market, credit, and operational risk disclosures that highlight how macroeconomic conditions and competition could affect its business.
Stifel Financial Corp. is a Delaware-based financial holding company with a 135-year history, offering wealth management, institutional brokerage, investment banking, and retail and commercial banking through subsidiaries in the U.S., U.K., Europe, and Canada. Its principal broker-dealer is Stifel, Nicolaus & Company.
The firm has more than 2,200 financial advisors in 402 branches, over 9,000 associates, and client assets that reached $551.9 billion as of December 31, 2025. It has expanded through acquisitions, including Finance 500 and CB Resource in 2024, and B. Riley’s wealth unit and Bryan, Garnier & Co. in 2025.
Stifel operates in three segments—Global Wealth Management, Institutional Group, and Other—supported by Stifel Bancorp’s banking platform. The filing emphasizes a client-first culture, human capital investment, disciplined acquisitions, and detailed regulatory, capital, liquidity, market, credit, and operational risk disclosures that highlight how macroeconomic conditions and competition could affect its business.
Stifel Financial Corp Chief Executive Officer Ronald J. Kruszewski reported multiple equity-related transactions involving company securities. He acquired 92,453 Phantom Stock Units as a grant tied to a PRSU award agreement dated February 18, 2022, with 80 percent vested and 20 percent vesting in one year. He also exercised 73,963 Phantom Stock Units, receiving 73,963 shares of common stock, and then disposed of 32,581 common shares at $120.49 per share to cover tax obligations through share withholding.
Stifel Financial Corp Chief Executive Officer Ronald J. Kruszewski reported multiple equity-related transactions involving company securities. He acquired 92,453 Phantom Stock Units as a grant tied to a PRSU award agreement dated February 18, 2022, with 80 percent vested and 20 percent vesting in one year. He also exercised 73,963 Phantom Stock Units, receiving 73,963 shares of common stock, and then disposed of 32,581 common shares at $120.49 per share to cover tax obligations through share withholding.
Stifel Financial Corp Chief Operating Officer David D. Sliney reported several equity award transactions involving company stock and phantom units. He acquired 13,868 Phantom Stock Units as a grant based on a PRSU award agreement dated February 18, 2022, with 80 percent vested and 20 percent vesting in one year. He also exercised 11,094 Phantom Stock Units, converting them into 11,094 shares of Common Stock. To cover tax obligations related to the exercise, 4,887 shares of Common Stock were disposed of through a tax-withholding transaction at a price of $120.49 per share.
Stifel Financial Corp Chief Operating Officer David D. Sliney reported several equity award transactions involving company stock and phantom units. He acquired 13,868 Phantom Stock Units as a grant based on a PRSU award agreement dated February 18, 2022, with 80 percent vested and 20 percent vesting in one year. He also exercised 11,094 Phantom Stock Units, converting them into 11,094 shares of Common Stock. To cover tax obligations related to the exercise, 4,887 shares of Common Stock were disposed of through a tax-withholding transaction at a price of $120.49 per share.
Stifel Financial Corp senior vice president Thomas B. Michaud reported equity compensation transactions involving phantom stock units and common shares. He received 20,224 phantom stock units under a PRSU award dated February 18, 2022, of which 80% are vested and 20% will vest in one year. He also exercised 16,179 phantom stock units into 16,179 shares of common stock, with 7,983 of those common shares withheld at a price of $120.4900 per share to cover tax obligations.
Stifel Financial Corp senior vice president Thomas B. Michaud reported equity compensation transactions involving phantom stock units and common shares. He received 20,224 phantom stock units under a PRSU award dated February 18, 2022, of which 80% are vested and 20% will vest in one year. He also exercised 16,179 phantom stock units into 16,179 shares of common stock, with 7,983 of those common shares withheld at a price of $120.4900 per share to cover tax obligations.
Stifel Financial Corp President James M. Zemlyak reported multiple equity transactions involving company stock and phantom stock units. He received a grant of 39,293 Phantom Stock Units at no cost, tied to a PRSU award agreement from February 18, 2022, with most units already vested and the remainder vesting in one year.
He also exercised 31,434 Phantom Stock Units, converting them into 31,434 shares of common stock. To cover tax obligations related to this activity, 13,847 shares of common stock were disposed of at a price of $120.49 per share through a tax-withholding mechanism rather than an open-market sale.
After these transactions, Zemlyak directly holds 1,170,720 shares of Stifel common stock. In addition, there are indirect holdings reported as 7,072 shares held by his son and 421 shares held by his wife.
Stifel Financial Corp President James M. Zemlyak reported multiple equity transactions involving company stock and phantom stock units. He received a grant of 39,293 Phantom Stock Units at no cost, tied to a PRSU award agreement from February 18, 2022, with most units already vested and the remainder vesting in one year.
He also exercised 31,434 Phantom Stock Units, converting them into 31,434 shares of common stock. To cover tax obligations related to this activity, 13,847 shares of common stock were disposed of at a price of $120.49 per share through a tax-withholding mechanism rather than an open-market sale.
After these transactions, Zemlyak directly holds 1,170,720 shares of Stifel common stock. In addition, there are indirect holdings reported as 7,072 shares held by his son and 421 shares held by his wife.
STIFEL FINANCIAL CORP director Victor Nesi reported equity compensation and related share movements. He received 46,227 Phantom Stock Units based on a performance RSU award agreement dated February 18, 2022, with 80% currently vested and the remaining 20% vesting in one year.
On the same date, 36,981 Phantom Stock Units were exercised into 36,981 shares of common stock, described as currently exercisable. To cover the exercise price or tax liability, 18,879 common shares were disposed of at $120.49 per share, leaving 165,047 common shares held directly.
He also reported indirect ownership of common stock through trusts, including 41,975 shares held by a trust, 31,000 shares held by a family trust, and 44,232 shares held by a children’s trust.
STIFEL FINANCIAL CORP director Victor Nesi reported equity compensation and related share movements. He received 46,227 Phantom Stock Units based on a performance RSU award agreement dated February 18, 2022, with 80% currently vested and the remaining 20% vesting in one year.
On the same date, 36,981 Phantom Stock Units were exercised into 36,981 shares of common stock, described as currently exercisable. To cover the exercise price or tax liability, 18,879 common shares were disposed of at $120.49 per share, leaving 165,047 common shares held directly.
He also reported indirect ownership of common stock through trusts, including 41,975 shares held by a trust, 31,000 shares held by a family trust, and 44,232 shares held by a children’s trust.