0000720672-13-000100.txt : 20130830 0000720672-13-000100.hdr.sgml : 20130830 20130830153816 ACCESSION NUMBER: 0000720672-13-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130828 FILED AS OF DATE: 20130830 DATE AS OF CHANGE: 20130830 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MULROY THOMAS P CENTRAL INDEX KEY: 0001206666 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 131072391 MAIL ADDRESS: STREET 1: STIFEL NICOLAUS STREET 2: ONE SOUTH STREET CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-08-28 0 0000720672 STIFEL FINANCIAL CORP SF 0001206666 MULROY THOMAS P 200 GARRISON FOREST ROAD OWINGS MILLS MD 21117-4110 1 1 0 0 Director Common Stock 2013-08-28 4 S 0 13460 40.2 D 266309 D Common Stock 2013-08-29 4 S 0 11540 40.66 D 254769 D Phantom Stock Units 0 Common Stock 171015 171015 D This transaction was executed in multiple trades at prices ranging from $39.91 to $40.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $40.35 to $40.95. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance. No expiration date for these Units. THOMAS MULROY 2013-08-30