13F-HR 1 s13f-901.txt 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, 2001 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 November 5, 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: 11/01/01 12:37 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 09/30/01 VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000)PRN AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE TITLE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ - ------ ABBOTT LABS COM 002824100 5870 113215 SH SOLE 96801 0 16414 AER ENERGY RES INC COM 000944108 18 44929 SH SOLE 44929 0 0 AFLAC INC COM 001055102 204 7538 SH SOLE 6584 0 954 ALCOA INC COM COM 013817101 477 15393 SH SOLE 11077 0 4316 AMDOCS LTD ORD FGNCOM G02602103 313 11738 SH SOLE 8871 0 2867 AMERICAN EXPRESS CO COM 025816109 350 12056 SH SOLE 11180 0 876 AMERICAN HOME PRODS CORP COM 026609107 1206 20697 SH SOLE 15820 0 4877 AMERICAN INTL GROUP INC COM 026874107 3960 50766 SH SOLE 43317 0 7449 AMERICAN PWR CONVERSION COM 029066107 676 57900 SH SOLE 48050 0 9850 AMGEN INC COM 031162100 780 13274 SH SOLE 10747 0 2527 ANHEUSER BUSCH COS INC COM 035229103 593 14150 SH SOLE 14150 0 0 AOL TIME WARNER COM 00184A105 1024 30922 SH SOLE 27217 0 3705 AUTOMATIC DATA PROCESSIN COM 053015103 3339 70978 SH SOLE 59827 0 11151 BANK AMERICA CORP COM 060505104 1291 22098 SH SOLE 18461 0 3637 BANK ONE CORP COM 06423A103 555 17626 SH SOLE 14721 0 2905 BOEING CO COM 097023105 391 11668 SH SOLE 10575 0 1093 BRISTOL MYERS SQUIBB CO COM 110122108 1562 28110 SH SOLE 27180 0 930 CALPINE CORP COM COM 131347106 403 17662 SH SOLE 14343 0 3319 CATERPILLAR INC COM 149123101 206 4608 SH SOLE 3545 0 1063 CERES GROUP INC COM COM 156772105 38 10200 SH SOLE 10200 0 0 CHECK PT SOFTWARE TECH FGNCOM M22465104 239 10848 SH SOLE 7934 0 2914 CISCO SYS INC COM 17275R102 3879 318508 SH SOLE 272528 0 45980 CITIGROUP INC. COM 172967101 4122 101779 SH SOLE 87516 0 14263 COCA COLA CO COM 191216100 873 18631 SH SOLE 14813 0 3818 COMMNICTN INTLGNC CP DEL COM 20338K106 7 10000 SH SOLE 10000 0 0 D & K HEALTHCARE RES INC COM 232861104 1198 25000 SH SOLE 19000 0 6000 DELL COMPUTER CORP COM 247025109 1560 84172 SH SOLE 70681 0 13491 DU PONT E I DE NEMOURS COM 263534109 452 12053 SH SOLE 10876 0 1177 EL PASO CORPORATION COM 28336L109 476 11460 SH SOLE 10634 0 826 ELECTRONIC DATA SYSTEMS COM 285661104 493 8558 SH SOLE 6161 0 2397 EMERSON ELEC CO COM 291011104 4559 96873 SH SOLE 82279 0 14594 ENBRIDGE ENERGY PARTNERS COM 29250R106 684 15000 SH SOLE 12500 0 2500 ENRON CORP COM 293561106 490 17983 SH SOLE 14954 0 3029 EQUITY OFFICE PPTYS TR COM 294741103 403 12595 SH SOLE 11313 0 1282 EXXON CORPORATION COM 30231G102 825 20930 SH SOLE 19187 0 1743 FED HOME LN MTG COM 313400301 3873 59590 SH SOLE 50509 0 9081 FEDERAL NAT MORTGAGE ASN COM 313586109 3049 38082 SH SOLE 31235 0 6847 FIRST OAK BROOK BANCSHAR COM 335847208 220 10725 SH SOLE 10725 0 0 GENERAL ELEC CO COM 369604103 6887 185135 SH SOLE 155219 0 29916 HEALTHSOUTH CORP COM 421924101 178 10930 SH SOLE 10930 0 0 HEWLETT PACKARD CO COM 428236103 417 26005 SH SOLE 25095 0 910 HOME DEPOT INC COM 437076102 3185 83009 SH SOLE 72565 0 10444 HONEYWELL INTERNATIONAL COM 438516106 524 19859 SH SOLE 17181 0 2678 HOUSEHOLD INTL CORP COM 441815107 523 9269 SH SOLE 6846 0 2423 I B M COM 459200101 4081 44489 SH SOLE 37445 0 7044 INTEL CORP COM 458140100 1307 63948 SH SOLE 58616 0 5332 INTERNATIONAL PAPER CO COM 460146103 241 6907 SH SOLE 5658 0 1249 ISHARES TRS&P MDCP400IDX COM 464287507 208 2400 SH SOLE 2300 0 100 J.P. MORGAN CHASE & CO COM 46625H100 526 15401 SH SOLE 13883 0 1518 JOHNSON & JOHNSON COM 478160104 3116 56249 SH SOLE 42291 0 13958 KEYCORP COM 493267108 952 39425 SH SOLE 34565 0 4860 KIMBERLY CLARK CORP COM 494368103 685 11044 SH SOLE 10022 0 1022 KINDER MORGAN INC KANS COM 49455P101 578 11743 SH SOLE 8486 0 3257 KOHLS CORP COM 500255104 437 9096 SH SOLE 6698 0 2398 LINEAR TECHNOLOGY CORP COM 535678106 1118 34088 SH SOLE 29246 0 4842 LOWES CO COM 548661107 349 11013 SH SOLE 11013 0 0 LSI LOGIC CORP COM COM 502161102 265 22531 SH SOLE 17030 0 5501 MAXIM INTEGRATED PRODS COM 57772K101 954 27311 SH SOLE 23290 0 4021 MBNA CORP COM 55262L100 5123 169127 SH SOLE 145810 0 23317 MCDONALDS CORP COM 580135101 274 10093 SH SOLE 9140 0 953 MEDTRONIC INC COM 585055106 3095 71141 SH SOLE 61478 0 9663 MERCK & CO INC COM 589331107 7147 107308 SH SOLE 89891 0 17417 MICROSOFT CORP COM 594918104 635 12409 SH SOLE 11202 0 1207 MINNESOTA MNG & MFG CO COM 604059105 466 4739 SH SOLE 4249 0 490 NATIONAL CITY CORP COM 635405103 239 7982 SH SOLE 7982 0 0 NORTHERN TRUST CORP COM 665859104 2681 51087 SH SOLE 43853 0 7234 OMNICOM GROUP COM 681919106 1073 16537 SH SOLE 14145 0 2392 ORACLE SYS CORP COM 68389X105 942 74871 SH SOLE 64841 0 10030 PEPSICO INC COM 713448108 2880 59388 SH SOLE 44561 0 14827 PFIZER INC COM 717081103 2237 55794 SH SOLE 48922 0 6872 PHILIP MORRIS COS INS COM 718154107 3183 65917 SH SOLE 53011 0 12906 PROCTER & GAMBLE COMPANY COM 742718109 227 3112 SH SOLE 2827 0 285 PRODUCTEXPRESS.COM E BUS COM 743052102 0 13000 SH SOLE 0 0 13000 QWEST COMMUNICATIONS INT COM 749121109 316 18939 SH SOLE 13979 0 4960 RPM INC OHIO COM 749685103 210 22240 SH SOLE 19440 0 2800 SAFEWAY INC COM 786514208 2414 60773 SH SOLE 52219 0 8554 SBC COMMUNICATIONS, INC COM 78387G103 796 16890 SH SOLE 13512 0 3378 SELECT COMFORT CORP COM 81616X103 15 15000 SH SOLE 15000 0 0 SIGMA ALDRICH CORP COM 826552101 1863 41226 SH SOLE 33726 0 7500 SONOCO PRODUCTS COM 835495102 841 35805 SH SOLE 27135 0 8670 SUN MICROSYSTEM INC COM 866810104 458 55337 SH SOLE 44884 0 10453 TYCO INTL LTD NEW COM COM 902124106 785 17259 SH SOLE 14201 0 3058 U S BANCORP COM 902973304 660 29749 SH SOLE 24619 0 5130 UNITED TECHNOLOGIES CORP COM 913017109 340 7319 SH SOLE 6689 0 630 VALSPAR CORP COM COM 920355104 806 24111 SH SOLE 16456 0 7655 VIACOM INC COM 925524308 2878 83420 SH SOLE 71059 0 12361 WAL MART STORES INC COM 931142103 7283 147129 SH SOLE 123816 0 23313 WALT DISNEY COMPANY COM 254687106 216 11619 SH SOLE 10642 0 977 ZWEIG FD INC COM COM 989834106 219 27000 SH SOLE 27000 0 0 LINE COUNT: 89 TOTAL VALUE $127,491,000