-----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, LU2PploM+AIMj3aaHhvrm+jP56kzbPfDnaYRwWb5UFLjt3Y5/UuQjpZXbyChOAEo K3SawbTmtCJdpRdSRN2b7g== 0000720672-09-000013.txt : 20090121 0000720672-09-000013.hdr.sgml : 20090121 20090121121545 ACCESSION NUMBER: 0000720672-09-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090120 FILED AS OF DATE: 20090121 DATE AS OF CHANGE: 20090121 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: 09536237 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 X0303 4 2009-01-20 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 534 LAKE SHORE ROAD P.O. BOX 250 ELKINS NH 03233 1 0 0 0 Common Stock 2009-01-20 4 M 0 284 0 A 97188 D Common Stock 2009-01-20 4 M 0 313 0 A 97501 D Common Stock 2009-01-20 4 M 0 212 0 A 97713 D Common Stock 2009-01-20 4 M 0 54 0 A 97767 D Common Stock 2009-01-20 4 M 0 263 0 A 98030 D Common Stock 2009-01-20 4 M 0 269 0 A 98299 D Common Stock 2009-01-20 4 M 0 259 0 A 98558 D Common Stock 2009-01-20 4 M 0 234 0 A 98792 D Common Stock 2009-01-20 4 M 0 59 0 A 98851 D Common Stock 2009-01-20 4 M 0 250 0 A 99101 D Common Stock 2009-01-20 4 M 0 253 0 A 99354 D Common Stock 2009-01-20 4 M 0 257 0 A 99611 D Common Stock 2009-01-20 4 M 0 510 0 A 100121 D Common Stock 2009-01-20 4 M 0 128 0 A 100249 D Common Stock 2009-01-20 4 M 0 242 0 A 100491 D Common Stock 2009-01-20 4 M 0 1286 0 A 101777 D Common Stock 10083 I by Spouse Phantom Stock Units 0 2009-01-20 4 M 0 284 0 D 2003-01-02 2013-01-02 Common Stock 284 0 D Phantom Stock Units 0 2009-01-20 4 M 0 313 0 D 2003-01-30 2013-01-30 Common Stock 313 0 D Phantom Stock Units 0 2009-01-20 4 M 0 212 0 D 2003-02-03 2013-02-03 Common Stock 212 54 D Phantom Stock Units 0 2009-01-20 4 M 0 54 0 D 2003-02-03 2013-02-03 Common Stock 54 0 D Phantom Stock Units 0 2009-01-20 4 M 0 263 0 D 2003-03-03 2013-03-03 Common Stock 263 0 D Phantom Stock Units 0 2009-01-20 4 M 0 269 0 D 2003-04-01 2013-04-01 Common Stock 269 0 D Phantom Stock Units 0 2009-01-20 4 M 0 259 0 D 2003-05-01 2013-05-01 Common Stock 259 0 D Phantom Stock Units 0 2009-01-20 4 M 0 234 0 D 2003-05-12 2013-05-12 Common Stock 234 59 D Phantom Stock Units 0 2009-01-20 4 M 0 59 0 D 2003-05-12 2013-05-12 Common Stock 59 0 D Phantom Stock Units 0 2009-01-20 4 M 0 250 0 D 2013-06-01 2013-06-01 Common Stock 250 0 D Phantom Stock Units 0 2009-01-20 4 M 0 253 0 D 2003-07-01 2013-07-01 Common Stock 253 0 D Phantom Stock Units 0 2009-01-20 4 M 0 257 0 D 2003-08-01 2013-08-01 Common Stock 257 0 D Phantom Stock Units 0 2009-01-20 4 M 0 510 0 D 2003-08-06 2013-08-06 Common Stock 510 128 D Phantom Stock Units 0 2009-01-20 4 M 0 128 0 D 2003-08-06 2013-08-06 Common Stock 128 0 D Phantom Stock Units 0 2009-01-20 4 M 0 242 0 D 2003-09-01 2013-09-01 Common Stock 242 0 D Phantom Stock Units 0 2009-01-20 4 M 0 1286 0 D 2003-10-01 2013-10-01 Common Stock 1286 10 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 928 928 D Phantom Stock Units 0 Common Stock 14580 14580 D Stock Option (Option to Buy) 13.89 2014-02-03 Common Stock 399 399 D Stock Option (Option to Buy) 20.22 2015-01-03 Common Stock 600 600 D Stock Option (Option to Buy) 38.25 2016-01-03 Common Stock 1200 1200 D Units vest quarterly over a one year period. No expiration date for these Units. Options vest in 20% increments yearly from the grant date. Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10. Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11. By: David M. Minnick For: James M. Oates 2009-01-21 -----END PRIVACY-ENHANCED MESSAGE-----