-----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, HxkltHR4zXB/oclnj68rK/xluF18daArKHq5auMIrxvaNXKQbH6D2zzgnsPSILAP Rgy9YEh7r94qcpbMadoOHA== 0000720672-99-000024.txt : 19990811 0000720672-99-000024.hdr.sgml : 19990811 ACCESSION NUMBER: 0000720672-99-000024 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990803 FILER: 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 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04621 FILM NUMBER: 99676876 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 13F-HR 1 FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 1999 Check here if Amendment [ ]; Amendment Number: This Amendment (Check Only One): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Stifel, Nicolaus & Company, Incorporated Address: One Financial Plaza, N. Broadway St. Louis, Missouri 63102 13F File Number: 28-6972 The institutional investment manager filing this report & the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items,statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Todd Gilmore Title: VP & Manager of Consulting Services Phone: (314) 342-2813 Signature, Place, and Date of Signing: Todd Gilmore St. Louis, Missouri August 3, 1999 Report Type: (Check only one): [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. STIFEL NICOLAUS & CO., INC. PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 06/30/99 CLASS VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE - ------------------------------ ------- --------- -------- -------- --- ---- ------- ------- ------ -------- -------- A T & T CORP COM 001957109 1195 21406 SH SOLE 19284 0 2122 ABBOTT LABS COM 002824100 4406 97101 SH SOLE 82542 0 14559 AER ENERGY RES INC COM 000944108 12 53809 SH SOLE 50809 0 3000 AFLAC INC COM 001055102 668 13943 SH SOLE 10796 0 3147 ALLIED SIGNAL INC COM 019512102 1373 21800 SH SOLE 18785 0 3015 AMERICA ONLINE INC COM 02364J104 479 4350 SH SOLE 4350 0 0 AMERICAN EXPRESS CO COM 025816109 714 5487 SH SOLE 4808 0 679 AMERICAN HOME PRODS CORP COM 026609107 733 12768 SH SOLE 12500 0 268 AMERICAN INTL GROUP INC COM 026874107 2856 30453 SH SOLE 24156 0 6296 AMGEN INC COM 031162100 213 3500 SH SOLE 3500 0 0 ANHEUSER BUSCH COS INC COM 035229103 968 13646 SH SOLE 11579 0 2067 APPLIED MATLS INC COM 038222105 236 3200 SH SOLE 3200 0 0 ASSOCIATES FIRST CAP CORP CL A COM 046008108 700 15855 SH SOLE 12423 0 3432 AUTOMATIC DATA PROCESSING COM 053015103 2874 65317 SH SOLE 52336 0 12981 BANK AMERICA CORP COM 060505104 2353 32096 SH SOLE 26731 0 5365 BANK ONE CORP COM 06423A103 968 16249 SH SOLE 12634 0 3615 BOEING CO COM 097023105 906 20597 SH SOLE 18042 0 2555 BRISTOL MYERS SQUIBB CO COM 110122108 1453 20630 SH SOLE 20250 0 380 CARNIVAL CRUISE LINE INC CL A COM 143658102 493 10166 SH SOLE 7329 0 2837 CATERPILLAR INC COM 149123101 3101 51677 SH SOLE 41835 0 9842 CBS CORPORATION COM 12490K107 3704 85019 SH SOLE 69550 0 15469 CENDANT CORPORATION COM 151313103 711 34695 SH SOLE 26603 0 8092 CERIDIAN CORP COM 15677T106 430 13145 SH SOLE 9335 0 3810 CHEVRON CORP COM COM 166751107 1473 15492 SH SOLE 13411 0 2081 CISCO SYS INC COM 17275R102 13916 215759 SH SOLE 190518 0 25241 CITIGROUP INC. COM 172967101 5181 109072 SH SOLE 87570 0 21502 CLEAR CHANNEL COMMUNICATIONS COM 184502102 563 8170 SH SOLE 6120 0 2050 CLOROX CO COM 189054109 563 5270 SH SOLE 4097 0 1173 COCA COLA CO COM 191216100 696 11227 SH SOLE 9762 0 1465 C-CUBE MICROSYSTEMS INC COM COM 125015107 333 10500 SH SOLE 8600 0 1900 D & K HEALTHCARE RES INC COM COM 232861104 301 12600 SH SOLE 8500 0 4100 DELL COMPUTER CORP COM 247025109 684 18473 SH SOLE 15281 0 3192 DEPARTMENT 56 INC COM 249509100 296 11000 SH SOLE 9600 0 1400 DOVER CORP COM 260003108 517 14778 SH SOLE 11453 0 3325 DU PONT E I DE NEMOURS CO COM 263534109 2313 33863 SH SOLE 27261 0 6602 E M C CORP MASS COM COM 268648102 524 9526 SH SOLE 7190 0 2336 EASTMAN KODAK COM 277461109 395 5824 SH SOLE 5070 0 754 EMERSON ELEC CO COM 291011104 503 7990 SH SOLE 7560 0 430 ENRON CORP COM 293561106 738 9033 SH SOLE 6506 0 2527 EXXON CORP COM 302290101 916 11883 SH SOLE 10432 0 1451 FED HOME LN MTG COM 313400301 1870 32236 SH SOLE 25954 0 6282 FEDERAL NAT MORTGAGE ASSN VOTI COM 313586109 1889 27683 SH SOLE 23752 0 3931 FIRST DATA CORP COM 319963104 668 13647 SH SOLE 9780 0 3867 FIRSTAR CORP NEW WIS COM COM 33763V109 284 10140 SH SOLE 9600 0 540 FORD MOTOR COM 345370100 406 7193 SH SOLE 6928 0 265 FRANKLIN RES INC COM 354613101 609 14988 SH SOLE 11872 0 3116 G A P INC COM 364760108 1147 22773 SH SOLE 16262 0 6511 GENERAL ELEC CO COM 369604103 6530 57788 SH SOLE 48360 0 9428 GENERAL MTRS CORP COM 370442105 1731 26230 SH SOLE 20431 0 5799 GILLETTE CO COM 375766102 1764 43020 SH SOLE 35262 0 7758 GOODYEAR TIRE & RUBR CO COM 382550101 1489 25311 SH SOLE 19132 0 6179 HEWLETT PACKARD CO COM 428236103 881 8767 SH SOLE 7520 0 1247 HOME DEPOT INC COM 437076102 403 6250 SH SOLE 6150 0 100 I B M COM 459200101 5616 43450 SH SOLE 35441 0 8009 INDIGO N V COM N44495104 36 10000 SH SOLE 10000 0 0 INTEL CORP COM 458140100 4165 70006 SH SOLE 57137 0 12869 INTERNATIONAL PAPER CO COM 460146103 860 17114 SH SOLE 13362 0 3752 JOHNSON & JOHNSON COM 478160104 1839 18767 SH SOLE 16807 0 1960 KEYCORP COM 493267108 783 24370 SH SOLE 21830 0 2540 KINDER MORGAN EGY PTNS L P UT COM 494550106 496 13412 SH SOLE 9533 0 3879 LAUDER ESTEE COS INC CL A COM 518439104 520 10370 SH SOLE 7348 0 3022 LEXMARK INTL GROUP INC CL A COM 529771107 778 11884 SH SOLE 8222 0 3662 LOWES CO COM 548661107 340 6000 SH SOLE 5600 0 400 LUCENT TECHNOLOGIES INC COM COM 549463107 935 13868 SH SOLE 12249 0 1619 MBNA CORP COM 55262L100 3427 111904 SH SOLE 90645 0 21259 MCDONALDS CORP COM 580135101 891 21676 SH SOLE 19486 0 2190 MEDTRONIC INC COM 585055106 3403 43702 SH SOLE 34498 0 9204 MERCK & CO INC COM 589331107 3142 42671 SH SOLE 38295 0 4376 MERRILL LYNCH & CO. INC. COM 590188108 1900 23903 SH SOLE 19337 0 4566 MICROSOFT CORP COM 594918104 3760 41694 SH SOLE 34140 0 7554 MINNESOTA MNG & MFG CO COM 604059105 1125 12936 SH SOLE 10958 0 1978 MOBIL CORP COM 607059102 666 6747 SH SOLE 5908 0 839 MONSANTO CO COM 611662107 307 7755 SH SOLE 7055 0 700 MORGAN J.P. & CO INC COM 616880100 1298 9239 SH SOLE 7908 0 1331 MORGAN STANLEY DEAN WITTER DIS COM 617446448 486 4737 SH SOLE 3401 0 1336 NEWELL RUBBERMAID INC. COM 651229106 794 17117 SH SOLE 16767 0 350 NEXTEL COMMUNICATIONS INC CL A COM 65332V103 920 18332 SH SOLE 13651 0 4681 NORTHERN TRUST CORP COM 665859104 2994 30870 SH SOLE 24639 0 6231 NUCOR CORP COM 670346105 502 10579 SH SOLE 8227 0 2352 PEPSICO INC COM 713448108 2138 55270 SH SOLE 47820 0 7450 PFIZER INC COM 717081103 808 22246 SH SOLE 18856 0 3390 PHILIP MORRIS COS INS COM 718154107 3356 83506 SH SOLE 73384 0 10122 PROCTER & GAMBLE COMPANY COM 742718109 2726 30547 SH SOLE 25027 0 5520 PROGRESSIVE CORP OHIO COM 743315103 464 3200 SH SOLE 2900 0 300 SAFEWAY INC COM 786514208 2647 53471 SH SOLE 41683 0 11788 SARA LEE CORP COM COM 803111103 841 37050 SH SOLE 36150 0 900 SCHERING PLOUGH CORP COM 806605101 2262 43083 SH SOLE 35549 0 7534 SCHLUMBERGER COM 806857108 606 9519 SH SOLE 6875 0 2644 SEARS ROEBUCK & CO COM 812387108 786 17641 SH SOLE 15224 0 2417 SIGMA ALDRICH CORP COM 826552101 666 19344 SH SOLE 16926 0 2418 SOUTHTRUST CORP COM COM 844730101 469 12219 SH SOLE 8700 0 3519 SUN MICROSYSTEM INC COM 866810104 331 4800 SH SOLE 4700 0 100 TYCO INTL LTD NEW COM COM 902124106 727 7670 SH SOLE 5920 0 1750 UNION CARBIDE CORP COM 905581104 900 18458 SH SOLE 15145 0 3313 UNION PAC RES GROUP INC COM COM 907834105 793 48592 SH SOLE 34518 0 14074 UNION PLANTERS CORP COM COM 908068109 349 7800 SH SOLE 6500 0 1300 UNITED TECHNOLOGIES CORP COM 913017109 802 11139 SH SOLE 9869 0 1270 VALSPAR CORP COM COM 920355104 515 13565 SH SOLE 10343 0 3222 WAL MART STORES INC COM 931142103 5387 111652 SH SOLE 91308 0 20344 WALT DISNEY COMPANY COM 254687106 748 24260 SH SOLE 21300 0 2960 WELLS FARGO NEW COM 949746101 539 12609 SH SOLE 9823 0 2786 WILLIAMS CO COM 969457100 574 13479 SH SOLE 9674 0 3805 XEROX CORP COM 984121103 2274 38506 SH SOLE 31466 0 7040
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 103 Form 13F Information Table Value Total: $154,818,000 List of Other Included Managers: None -----END PRIVACY-ENHANCED MESSAGE-----