13F-HR 1 sec13f1201.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: December 31, 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: 02/06/02 12:37 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 12/31/01 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 5683 101933 SH SOLE 86897 0 15036 AER ENERGY RES INC COM 000944108 11 44929 SH SOLE 44929 0 0 ALCOA INC COM COM 013817101 541 15218 SH SOLE 11107 0 4111 AMDOCS LTD ORD FN COM G02602103 421 12380 SH SOLE 9508 0 2872 AMERICAN EXPRESS CO COM 025816109 460 12899 SH SOLE 12134 0 765 AMERICAN HOME PRODS CORP COM 026609107 1287 20972 SH SOLE 16095 0 4877 AMERICAN INTL GROUP INC COM 026874107 3907 49206 SH SOLE 42259 0 6947 AMERICAN PWR CONVERSION COM 029066107 873 60350 SH SOLE 50300 0 10050 AMERICREDIT CORP COM COM 03060R101 247 7831 SH SOLE 7831 0 0 AMERIPATH INC COM COM 03071D109 215 6658 SH SOLE 6658 0 0 AMERISOURCEBERGEN CORP COM 03073E105 230 3620 SH SOLE 3620 0 0 AMGEN INC COM 031162100 787 13946 SH SOLE 11541 0 2405 ANDRX CORPORATION COMMON COM 034553107 219 3107 SH SOLE 3107 0 0 ANHEUSER BUSCH COS INC COM 035229103 640 14150 SH SOLE 14150 0 0 AOL TIME WARNER COM 00184A105 1184 36870 SH SOLE 33243 0 3627 APPLIED MATLS INC COM 038222105 235 5860 SH SOLE 5860 0 0 AUTOMATIC DATA PROCESS COM 053015103 3991 67761 SH SOLE 57605 0 10156 BANK AMERICA CORP COM 060505104 1474 23414 SH SOLE 19839 0 3575 BANK ONE CORP COM 06423A103 515 13181 SH SOLE 10276 0 2905 BARRA INC COM COM 068313105 218 4634 SH SOLE 4634 0 0 BOEING CO COM 097023105 650 16761 SH SOLE 15766 0 995 BRISTOL MYERS SQUIBB CO COM 110122108 1735 34010 SH SOLE 32474 0 1536 CALPINE CORP COM COM 131347106 576 34316 SH SOLE 30978 0 3338 CARDINAL HEALTH INC COM 14149Y108 470 7266 SH SOLE 5407 0 1859 CENDANT CORPORATION COM 151313103 329 16760 SH SOLE 15960 0 800 CERES GROUP INC COM COM 156772105 38 10200 SH SOLE 10200 0 0 CHECK PT SOFTWARE TECH L FN COM M22465104 430 10776 SH SOLE 7909 0 2867 CHEVRONTEXACO CORPOR COM 166764100 599 6687 SH SOLE 5197 0 1490 CISCO SYS INC COM 17275R102 5763 318216 SH SOLE 271803 0 46413 CITIGROUP INC. COM 172967101 4868 96440 SH SOLE 83258 0 13182 CLAYTON HOMES INC COM 184190106 246 14367 SH SOLE 14367 0 0 COCA COLA CO COM 191216100 859 18225 SH SOLE 14650 0 3575 COMMNICTN INTLGNC CP DEL COM 20338K106 6 10000 SH SOLE 10000 0 0 COMPUTER SCIENCES CORP COM 205363104 254 5195 SH SOLE 4731 0 464 CONSTELLATION BRANDS INC COM 21036P108 226 5264 SH SOLE 5264 0 0 D & K HEALTHCARE RES INC COM 232861104 1367 24000 SH SOLE 19000 0 5000 DELL COMPUTER CORP COM 247025109 2239 82379 SH SOLE 69481 0 12898 DU PONT E I DE NEMOURS COM 263534109 506 11893 SH SOLE 10751 0 1142 E M C CORP MASS COM COM 268648102 201 14950 SH SOLE 14350 0 600 EL PASO CORPORATION COM 28336L109 340 7632 SH SOLE 6904 0 728 ELECTRONIC DATA SYSTEMS COM 285661104 576 8405 SH SOLE 6119 0 2286 EMERSON ELEC CO COM 291011104 5355 93788 SH SOLE 79510 0 14278 ENBRIDGE ENERGY PARTNERS COM 29250R106 631 15000 SH SOLE 12500 0 2500 EQUITY OFFICE PPTYS TR COM 294741103 362 12018 SH SOLE 10881 0 1137 EXPRESS SCRIPTS INC COM 302182100 229 4896 SH SOLE 4028 0 868 EXXON CORPORATION COM 30231G102 803 20433 SH SOLE 18540 0 1893 FED HOME LN MTG COM 313400301 3712 56757 SH SOLE 48354 0 8403 FEDERAL NAT MORTGAGE ASN COM 313586109 3024 38033 SH SOLE 31186 0 6847 GENERAL ELEC CO COM 369604103 7258 181093 SH SOLE 151889 0 29204 HEWLETT PACKARD CO COM 428236103 484 23580 SH SOLE 22786 0 794 HOME DEPOT INC COM 437076102 4030 79003 SH SOLE 68907 0 10096 HONEYWELL INTERNATIONAL COM 438516106 873 25809 SH SOLE 22737 0 3072 HOUSEHOLD INTL CORP COM 441815107 476 8217 SH SOLE 6135 0 2082 I B M COM 459200101 5070 41918 SH SOLE 35423 0 6495 INTEL CORP COM 458140100 1895 60263 SH SOLE 55265 0 4998 INTERNATIONAL PAPER CO COM 460146103 247 6114 SH SOLE 5021 0 1093 ISHARES TR DJ US FINL COM 464287788 253 3140 SH SOLE 3040 0 100 ISHARES TR S&P MDCP400 COM 464287507 268 2650 SH SOLE 2550 0 100 J.P. MORGAN CHASE & CO COM 46625H100 592 16293 SH SOLE 14261 0 2032 JOHNSON & JOHNSON COM 478160104 3296 55776 SH SOLE 41908 0 13868 KB HOME COM COM 48666K109 227 5671 SH SOLE 5671 0 0 KEYCORP COM 493267108 960 39425 SH SOLE 34565 0 4860 KIMBERLY CLARK CORP COM 494368103 770 12879 SH SOLE 11906 0 973 KINDER MORGAN INC KANS COM 49455P101 646 11603 SH SOLE 8529 0 3074 KOHLS CORP COM 500255104 720 10223 SH SOLE 7806 0 2417 LINEAR TECHNOLOGY CORP COM 535678106 1324 33906 SH SOLE 29134 0 4772 LOWES CO COM 548661107 360 7760 SH SOLE 7760 0 0 MARCONI PLC ADR SPONSOR FN COM 566306205 12 10000 SH SOLE 10000 0 0 MAXIM INTEGRATED PRODS COM 57772K101 1418 27003 SH SOLE 23025 0 3978 MBNA CORP COM 55262L100 5880 167036 SH SOLE 144647 0 22389 MCDONALDS CORP COM 580135101 252 9506 SH SOLE 8655 0 851 MEDTRONIC INC COM 585055106 3502 68380 SH SOLE 59347 0 9033 MERCK & CO INC COM 589331107 6264 106524 SH SOLE 89515 0 17009 MICROSOFT CORP COM 594918104 825 12458 SH SOLE 11309 0 1149 MINNESOTA MNG & MFG CO COM 604059105 503 4255 SH SOLE 3791 0 464 NATIONAL CITY CORP COM 635405103 233 7982 SH SOLE 7982 0 0 NOKIA CORP FN COM 654902204 209 8500 SH SOLE 8200 0 300 NORTHERN TRUST CORP COM 665859104 3030 50315 SH SOLE 43323 0 6992 OMNICOM GROUP COM 681919106 1470 16454 SH SOLE 14094 0 2360 ORACLE SYS CORP COM 68389X105 1045 75682 SH SOLE 65672 0 10010 P F CHANGS CHINA BISTRO FN COM 69333Y108 227 4809 SH SOLE 4809 0 0 PEPSICO INC COM 713448108 4409 90546 SH SOLE 71392 0 19154 PEREGRINE SYS INC COM COM 71366Q101 197 13280 SH SOLE 13280 0 0 PFIZER INC COM 717081103 2180 54693 SH SOLE 48145 0 6548 PHILIP MORRIS COS INS COM 718154107 2671 58259 SH SOLE 46413 0 11846 PILGRIM PRIME RATE TR COM 72146W103 202 30478 SH SOLE 30478 0 0 QUALCOMM INC COM COM 747525103 213 4212 SH SOLE 4112 0 100 QUEST DIAGNOSTICS INC COM 74834L100 232 3235 SH SOLE 3235 0 0 REHABCARE GROUP INC COM COM 759148109 201 6797 SH SOLE 6797 0 0 RESEARCH FRONTIERS INC COM 760911107 204 12185 SH SOLE 12185 0 0 RPM INC OHIO COM 749685103 322 22240 SH SOLE 19440 0 2800 SAFEWAY INC COM 786514208 2513 60188 SH SOLE 51839 0 8349 SBC COMMUNICATIONS, INC COM 78387G103 580 14809 SH SOLE 11291 0 3518 SEITEL INC COM NEW COM 816074306 220 16208 SH SOLE 16208 0 0 SELECT COMFORT CORP OC- COM 81616X103 30 15000 SH SOLE 15000 0 0 SIGMA ALDRICH CORP COM 826552101 1633 41426 SH SOLE 33926 0 7500 SONOCO PRODUCTS COM 835495102 946 35605 SH SOLE 26935 0 8670 SUN MICROSYSTEM INC COM 866810104 656 53340 SH SOLE 43090 0 10250 SYMANTEC CORP COM COM 871503108 262 7910 SH SOLE 7910 0 0 TECO ENERGY INC COM 872375100 269 10265 SH SOLE 9565 0 700 TENET HEALTH CARE COM 88033G100 218 3716 SH SOLE 3716 0 0 TYCO INTL LTD NEW COM COM 902124106 1125 19104 SH SOLE 16355 0 2749 U S BANCORP COM 902973304 570 27251 SH SOLE 22179 0 5072 UNITED TECHNOLOGIES CORP COM 913017109 597 9234 SH SOLE 8570 0 664 URS CORP NEW COM COM 903236107 213 7780 SH SOLE 7780 0 0 VALSPAR CORP COM COM 920355104 955 24111 SH SOLE 16456 0 7655 VIACOM INC COM 925524308 887 20100 SH SOLE 16587 0 3513 WAL MART STORES INC COM 931142103 8430 146476 SH SOLE 123990 0 22486 WALT DISNEY COMPANY COM 254687106 234 11281 SH SOLE 10429 0 852 WILLIAMS SONOMA INC COM 969904101 240 5603 SH SOLE 5603 0 0 LINE COUNT: 110 TOTAL VALUE $145,560,000