-----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, OFQF4pbrAA/7u5ue1vmivzNq0PYqqluqjgovt2gDz/S7k/cJnje8FicKOpuiCsXp gAdy7DumGqAXQLro43cwNw== 0000720672-07-000031.txt : 20070213 0000720672-07-000031.hdr.sgml : 20070213 20070213102932 ACCESSION NUMBER: 0000720672-07-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070212 FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OATES JAMES M CENTRAL INDEX KEY: 0001180238 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 07606541 BUSINESS ADDRESS: BUSINESS PHONE: 6179376015 MAIL ADDRESS: STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP STREET 2: 200 CLARENDON ST CITY: BOSTON STATE: MA ZIP: 02116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 4 1 edgardoc.xml PRIMARY DOCUMENT X0202 4 2007-02-12 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 522 LAKESHORE DRIVE ELKINS NH 03233 1 0 0 0 Phantom Stock Units 0 2003-08-01 2013-08-01 Common Stock 171 171 D Phantom Stock Units 0 2003-08-06 2013-08-06 Common Stock 425 425 D Phantom Stock Units 0 2003-09-01 2013-09-01 Common Stock 161 161 D Phantom Stock Units 0 2003-10-01 2013-10-01 Common Stock 863 863 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 618 618 D Phantom Stock Units 0 Common Stock 6319 6319 D Currently exercisable. No expiration date for these Units. By: Forrest M. Smith For: James M. Oates 2007-02-13 -----END PRIVACY-ENHANCED MESSAGE-----