STIFEL FINANCIAL CORP
For the period ended Dec 31, 2023. Filed Feb 16, 2024.
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FY2023 · Filed Feb 16, 2024
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Item 9B. Other Information
On October 30, 2023, Victor Nesi, President and Director of Institutional Group, entered into trading plans to sell an aggregate of 36,000 shares held indirectly through trusts (the “Nesi Sales Plans”), with sales commencing on January 31, 2024, andterminating on the earliest to occur of (i) the close of business on January 29, 2025; (ii) the date on which the total shares subject to the Nesi Sales Plans have been sold; and (iii) the date the Nesi Sales Plans are terminated in connection with certain extraordinary transactions as specified by the terms of the Nesi Sales Plans. The Nesi Sales Plans were entered into during an open insider trading window and are intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act of 1934, as amended, and the Company’s policies regarding insider transactions.
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