0000950138-13-000368.txt : 20130830 0000950138-13-000368.hdr.sgml : 20130830 20130830172228 ACCESSION NUMBER: 0000950138-13-000368 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130611 FILED AS OF DATE: 20130830 DATE AS OF CHANGE: 20130830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Carlyle GMS Finance, Inc. CENTRAL INDEX KEY: 0001544206 IRS NUMBER: 454727439 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 813-4900 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00995 FILM NUMBER: 131073115 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 edgar.xml PRIMARY DOCUMENT X0306 4 2013-06-11 0001544206 Carlyle GMS Finance, Inc. NONE 0000720672 STIFEL FINANCIAL CORP 501 N. BROADWAY SAINT LOUIS MO 63102 0 0 1 0 Common Stock 2013-06-11 4 P 0 138160 20.00 A 254629 D Common Stock 2013-07-17 4 P 0 78490 20.00 A 333119 D /s/ James M. Zemlyak, Chief Financial Officer 2013-08-30