-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Bs/XpSgsY3bCdTU1Cyek1xvAAe3Xrk5q4albAByUc8f9hKFjMYNiL+ZYAjCGay57 Nlq2FE9kE9Ge1231S9MPPg== 0000950152-98-000194.txt : 19980115 0000950152-98-000194.hdr.sgml : 19980115 ACCESSION NUMBER: 0000950152-98-000194 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980108 DATE AS OF CHANGE: 19980114 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: 6211 IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-35338 FILM NUMBER: 98505518 BUSINESS ADDRESS: STREET 1: 500 N. BROADWAY STREET 2: 14TH FLOOR CITY: ST LOUIS STATE: MO ZIP: 63102-2188 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: 500 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102-2188 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN & SOUTHERN LIFE INSURANCE CO CENTRAL INDEX KEY: 0000784940 STANDARD INDUSTRIAL CLASSIFICATION: IRS NUMBER: 310487145 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 400 BROADWAY CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5136291800 MAIL ADDRESS: STREET 1: 400 BROADWAY CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13G 1 WESTERN SOUTHERN/STIFEL FINANCIAL SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 STIFEL FINANCIAL CORP. - - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.15 PER SHARE - - -------------------------------------------------------------------------------- (Title of Class of Securities) 860630102 - - -------------------------------------------------------------------------------- (CUSIP Number) Donald J. Wuebbling, Esq. Vice President and General Counsel The Western and Southern Life Insurance Company 400 Broadway Cincinnati, Ohio 45202 (513) 629-1469 - - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 30, 1997 - - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) 2 CUSIP NO.860630102 --------- - - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Western and Southern Life Insurance Company, 31-0487145 - - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - - -------------------------------------------------------------------------------- 3. SEC USE ONLY - - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cincinnati, Ohio - - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 925,000 NUMBER OF SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY EACH 7. SOLE DISPOSITIVE POWER 925,000 REPORTING PERSON WITH 8. SHARED DISPOSITIVE POWER 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 925,000 - - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9. EXCLUDES CERTAIN SHARES [ ] - - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9. 14.92% - - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IC - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS 2 3 ITEM 1(a). NAME OF ISSUER. This statement on Schedule 13G relates to the shares of common stock of Stifel Financial Corp. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. 500 North Broadway St. Louis, Missouri 63102 ITEM 2(a). NAME OF PERSON FILING. This statement is filed by The Western and Southern Life Insurance Company ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE 400 Broadway Cincinnati, Ohio 45202 ITEM 2(c). CITIZENSHIP. Not applicable ITEM 2(d). TITLE OF CLASS OF SECURITIES. Common Stock, Par Value $.15 per Share ITEM 2(e). CUSIP NUMBER. N/A ITEM 3. TYPE OF PERSON FILING IS A (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [X] Insurance company as defined in section 3(a)(19) of the Act 3 4 (d) [ ] Investment company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) [ ] Parent Holding Company (h) [ ] Group ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: 925,000 shares of common stock, par value $.15 per share (b) Percent of Class The Western and Southern Life Insurance Company ("Western Southern") believes that there are 6,198,138 outstanding shares of common stock and therefore Western Southern's ownership of 925,000 shares of Stifel Financial Corp.'s common stock is 14.92 percent of this class. (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 925,000 (ii) shared power to vote or to direct the vote: N/A (iii) sole power to dispose or to direct the disposition of: 925,000 (iv) shared power to dispose or to direct the disposition of: N/A
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. 4 5 Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. After reasonable inquiry and to the best of my knowledge and belief, I hereby certify that the information set forth in this statement is true, complete and correct. Date: January 8, 1997. By: /s/ William F. Ledwin ---------------------- William F. Ledwin, Senior Vice President And Chief Investment Officer 5 -----END PRIVACY-ENHANCED MESSAGE-----