13F-HR 1 sec13f1q01-5.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2000 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, 501 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: Scott McCuaig Title: President, Private Client Group & Chief Operating Officer Phone: (314) 342-2844 Signature, Place, and Date of Signing: Scott McCuaig St. Louis, Missouri May 14, 2001 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. PORTVUE-SEC13F.LNP STIFEL NICOLAUS & CO., INC. PAGE 1 RUN DATE: 04/26/01 11:48 A.M. FORM 13F INFORMATION TABLE AS OF DATE: 03/31/01 VALUE SHARES/ SH/ INVSTMT VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN DSCRETN SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------ ------ -------- -------- -------- ABBOTT LABS COM 002824100 5398 118549 SH SOLE 100424 0 18125 ABITIBI-CONSOLIDATED COM 003924107 81 10150 SH SOLE 10150 0 0 AER ENERGY RES INC COM 000944108 16 44929 SH SOLE 44929 0 0 AFLAC INC COM 001055102 226 8341 SH SOLE 7439 0 902 AGILENT TECHNOLOGIES IN COM 00846U101 228 6973 SH SOLE 6073 0 900 ALCOA INC COM COM 013817101 723 20641 SH SOLE 14423 0 6218 ALLIED RISER COMMUN COM 019496108 20 15850 SH SOLE 15850 0 0 AMDOCS LTD ORD FOR COM G02602103 481 10467 SH SOLE 7571 0 2896 AMERICAN EXPRESS CO COM 025816109 926 23739 SH SOLE 19733 0 4006 AMERICAN HOME PRODS COR COM 026609107 1220 21297 SH SOLE 15820 0 5477 AMERICAN INTL GROUP INC COM 026874107 3619 45712 SH SOLE 39157 0 6555 AMERICAN PWR CONVERSION COM 029066107 756 59300 SH SOLE 48950 0 10350 AMGEN INC COM 031162100 260 4360 SH SOLE 4210 0 150 ANHEUSER BUSCH COS INC COM 035229103 662 14250 SH SOLE 14250 0 0 AOL TIME WARNER COM 00184A105 1356 33276 SH SOLE 28148 0 5128 APPLIED MATLS INC COM 038222105 287 6015 SH SOLE 6015 0 0 AUTOMATIC DATA PROCESS COM 053015103 3886 72764 SH SOLE 59950 0 12814 BANK AMERICA CORP COM 060505104 1290 23698 SH SOLE 19898 0 3800 BANK ONE CORP COM 06423A103 657 18306 SH SOLE 15301 0 3005 BOEING CO COM 097023105 721 13108 SH SOLE 11890 0 1218 BRISTOL MYERS SQUIBB CO COM 110122108 1620 27610 SH SOLE 27230 0 380 CABLEVISION SYS CORP COM 12686C109 769 9201 SH SOLE 6393 0 2808 CALPINE CORP COM COM 131347106 888 16791 SH SOLE 12826 0 3965 CATERPILLAR INC COM 149123101 308 6769 SH SOLE 5609 0 1160 CERES GROUP INC COM COM 156772105 66 11200 SH SOLE 11200 0 0 CISCO SYS INC COM 17275R102 6578 417628 SH SOLE 353005 0 64623 CITIGROUP INC. COM 172967101 4844 107402 SH SOLE 91174 0 16228 COCA COLA CO COM 191216100 340 7390 SH SOLE 6626 0 764 COMMNICTN INTLGNC CP DE COM 20338K106 11 10000 SH SOLE 10000 0 0 C-CUBE MICROSYSTEMS INC COM 12501N108 333 25860 SH SOLE 18580 0 7280 D & K HEALTHCARE RES IN COM 232861104 555 28000 SH SOLE 22000 0 6000 DELL COMPUTER CORP COM 247025109 1764 66710 SH SOLE 57281 0 9429 DU PONT E I DE NEMOURS COM 263534109 521 12566 SH SOLE 11480 0 1086 EL PASO CORPORATION COM 28336L109 834 13059 SH SOLE 12163 0 896 EMERSON ELEC CO COM 291011104 5980 98012 SH SOLE 82257 0 15755 ENRON CORP COM 293561106 752 12945 SH SOLE 10218 0 2727 EXXON CORPORATION COM 30231G102 852 10837 SH SOLE 9978 0 859 FED HOME LN MTG COM 313400301 4203 66606 SH SOLE 54743 0 11863 FEDERAL NAT MORTGAGE VOT COM 313586109 3073 39192 SH SOLE 31045 0 8147 FIRST OAK BROOK BANCSHA COM 335847208 213 10885 SH SOLE 10885 0 0 GENERAL ELEC CO COM 369604103 7760 186773 SH SOLE 154569 0 32204 GILLETTE CO COM 375766102 2510 80449 SH SOLE 68262 0 12187 GUIDANT CORP COM COM 401698105 551 11987 SH SOLE 8349 0 3638 HEWLETT PACKARD CO COM 428236103 830 27371 SH SOLE 25807 0 1564 HOME DEPOT INC COM 437076102 3747 86672 SH SOLE 75061 0 11611 HONEYWELL INTERNATIONAL COM 438516106 844 20795 SH SOLE 17524 0 3271 HOUSEHOLD INTL CORP COM 441815107 756 12736 SH SOLE 8711 0 4025 I B M COM 459200101 3970 42048 SH SOLE 35545 0 6503 INTEL CORP COM 458140100 1791 66485 SH SOLE 59205 0 7280 INTERNATIONAL PAPER CO COM 460146103 270 7442 SH SOLE 6205 0 1237 J.P. MORGAN CHASE & CO COM 46625H100 732 17213 SH SOLE 15765 0 1448 JOHNSON & JOHNSON COM 478160104 2545 29492 SH SOLE 22031 0 7461 KEYCORP COM 493267108 1007 39625 SH SOLE 34765 0 4860 KIMBERLY CLARK CORP COM 494368103 863 12566 SH SOLE 11420 0 1146 KINDER MORGAN INC KANS COM 49455P101 965 18700 SH SOLE 13400 0 5300 LAKEHEAD PIPE LINE PART COM 511557100 653 15000 SH SOLE 12500 0 2500 LINEAR TECHNOLOGY CORP COM 535678106 1446 34573 SH SOLE 29107 0 5466 LOWES CO COM 548661107 340 5906 SH SOLE 5506 0 400 MAXIM INTEGRATED PRODS COM 57772K101 1222 27711 SH SOLE 23281 0 4430 MBNA CORP COM 55262L100 5528 169404 SH SOLE 143611 0 25793 MCDONALDS CORP COM 580135101 288 11400 SH SOLE 10347 0 1053 MEDTRONIC INC COM 585055106 3427 73625 SH SOLE 62885 0 10740 MERCK & CO INC COM 589331107 8265 109986 SH SOLE 91229 0 18757 METLIFE INC COM COM 59156R108 550 19613 SH SOLE 13711 0 5902 MICROSOFT CORP COM 594918104 688 12386 SH SOLE 11139 0 1247 MINNESOTA MNG & MFG CO COM 604059105 614 5860 SH SOLE 5286 0 574 NATIONAL CITY CORP COM 635405103 211 7982 SH SOLE 7982 0 0 NORTHERN TRUST CORP COM 665859104 3327 53133 SH SOLE 45009 0 8124 ORACLE SYS CORP COM 68389X105 952 63049 SH SOLE 53560 0 9489 PEPSICO INC COM 713448108 2390 55476 SH SOLE 41491 0 13985 PFIZER INC COM 717081103 2317 58033 SH SOLE 49564 0 8469 PHILIP MORRIS COS INS COM 718154107 3691 79534 SH SOLE 63218 0 16316 PRODUCTEXPRESS.COM E BS COM 743052102 0 13000 SH SOLE 0 0 13000 QWEST COMMUNICATIONS IN COM 749121109 802 22939 SH SOLE 16143 0 6796 RPM INC OHIO COM 749685103 253 25690 SH SOLE 21090 0 4600 SAFEWAY INC COM 786514208 3402 62954 SH SOLE 52723 0 10231 SBC COMMUNICATIONS, INC COM 78387G103 751 17805 SH SOLE 14357 0 3448 SIGMA ALDRICH CORP COM 826552101 3770 79888 SH SOLE 65388 0 14500 SONOCO PRODUCTS COM 835495102 756 35605 SH SOLE 26935 0 8670 SUN MICROSYSTEM INC COM 866810104 246 15500 SH SOLE 15500 0 0 TARGET CORP COM 87612E106 730 20205 SH SOLE 14127 0 6078 TYCO INTL LTD NEW COM COM 902124106 662 15332 SH SOLE 11899 0 3433 U S BANCORP COM 902973304 236 10231 SH SOLE 10231 0 0 UNITED TECHNOLOGIES COR COM 913017109 565 7715 SH SOLE 7029 0 686 VALSPAR CORP COM COM 920355104 735 25111 SH SOLE 16456 0 8655 VIACOM INC COM 925524308 3693 84115 SH SOLE 70661 0 13454 WAL MART STORES INC COM 931142103 7056 142078 SH SOLE 119162 0 22916 WALT DISNEY COMPANY COM 254687106 394 13879 SH SOLE 12216 0 1663 ZWEIG FD INC COM COM 989834106 258 27000 SH SOLE 27000 0 0 LINE COUNT: 89 TOTAL VALUE $146,676,000