-----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, Vgkjm8i3RGEdN7P9M0jtyGFC2uvFg4wRulpMJLmM+6ehKvDXr51gs4jAnJ5wjEx9 IEco20VKJ/CV/vBksu0TBg== 0000948905-02-000016.txt : 20020806 0000948905-02-000016.hdr.sgml : 20020806 20020806141549 ACCESSION NUMBER: 0000948905-02-000016 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL NICOLAUS & CO INC \MO\ CENTRAL INDEX KEY: 0000948905 IRS NUMBER: 430538770 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06972 FILM NUMBER: 02720509 BUSINESS ADDRESS: STREET 1: 500 N BROADWAY ST CITY: ST LOUIS STATE: MO ZIP: 63102 MAIL ADDRESS: STREET 1: 501 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102 13F-HR/A 1 s13f2-02.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: June 30, 2002 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 August 5, 2002 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: 07/26/02 2:26 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 06/30/02 VALUE SHARES/ SH/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000)PRN AMT PRN DSCRETN MGRS SOLE SHARED NONE TITLE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- - 3M COMPANY COM COM 88579Y101 463 3765 SH SOLE 3331 0 434 ABBOTT LABS COM 002824100 4109 109133 SH SOLE 91989 0 17144 ABITIBI-CONSOLIDATED COM 003924107 110 11958 SH SOLE 11958 0 0 AER ENERGY RES INC COM 000944108 10 43329 SH SOLE 43329 0 0 AFLAC INC COM 001055102 298 9305 SH SOLE 7811 0 1494 ALCOA INC COM COM 013817101 401 12083 SH SOLE 8551 0 3532 AMERICAN EXPRESS CO COM 025816109 432 11894 SH SOLE 11219 0 675 AMERICAN INTL GROUP COM 026874107 3404 49893 SH SOLE 43072 0 6821 AMERICAN PWR CONVERSIO COM 029066107 811 64200 SH SOLE 54350 0 9850 AMERICAN STD COS INC COM 029712106 328 4367 SH SOLE 4367 0 0 AMERIPATH INC COM COM 03071D109 235 9793 SH SOLE 9793 0 0 AMGEN INC COM 031162100 567 13544 SH SOLE 10887 0 2657 ANHEUSER BUSCH COS INC COM 035229103 1565 31300 SH SOLE 20650 0 10650 AOL TIME WARNER COM 00184A105 583 39666 SH SOLE 35740 0 3926 APACHE CORP COM 037411105 354 6156 SH SOLE 4483 0 1673 APPLIED MATLS INC COM 038222105 257 13530 SH SOLE 13530 0 0 AUTOMATIC DATA PROCESS COM 053015103 3008 69077 SH SOLE 58150 0 10927 BANK AMERICA CORP COM 060505104 509 7232 SH SOLE 6659 0 573 BANK ONE CORP COM 06423A103 494 12834 SH SOLE 9929 0 2905 BOEING CO COM 097023105 1111 24681 SH SOLE 21416 0 3265 BRISTOL MYERS SQUIBB COM 110122108 922 35882 SH SOLE 33726 0 2156 CALPINE CORP COM COM 131347106 238 33827 SH SOLE 33827 0 0 CAPITAL ONE FINL CORP COM 14040H105 229 3750 SH SOLE 3750 0 0 CARDINAL HEALTH INC COM 14149Y108 410 6673 SH SOLE 4911 0 1762 CENDANT CORPORATION COM 151313103 389 24483 SH SOLE 23683 0 800 CERES GROUP INC COM COM 156772105 57 14700 SH SOLE 14700 0 0 CHEVRONTEXACO CORP COM 166764100 616 6965 SH SOLE 4874 0 2091 CISCO SYS INC COM 17275R102 4635 332253 SH SOLE 285988 0 46265 CITIGROUP INC. COM 172967101 3650 94193 SH SOLE 81022 0 13171 CITRIX SYS INC COM COM 177376100 113 18736 SH SOLE 18736 0 0 CLAYTON HOMES INC COM 184190106 207 13120 SH SOLE 13120 0 0 CLEAR CHANNEL COMMUNIC COM 184502102 336 10491 SH SOLE 8503 0 1988 COCA COLA CO COM 191216100 787 14051 SH SOLE 11243 0 2808 COINSTAR INC COM COM 19259P300 201 8238 SH SOLE 8238 0 0 COMMNICTN INTLGNC CP COM 20338K106 7 10000 SH SOLE 10000 0 0 COMPUTER SCIENCES CORP COM 205363104 216 4516 SH SOLE 4101 0 415 CONSTELLATION BRANDS COM 21036P108 278 8692 SH SOLE 8692 0 0 D & K HEALTHCARE RES COM 232861104 1269 36000 SH SOLE 28000 0 8000 DEAN FOODS INC NEW COM COM 242370104 218 5838 SH SOLE 5838 0 0 DELL COMPUTER CORP COM 247025109 1677 64149 SH SOLE 56078 0 8071 DOUBLECLICK INC COM COM 258609304 163 22497 SH SOLE 22497 0 0 DU PONT E I DE NEMOURS COM 263534109 425 9580 SH SOLE 8600 0 980 E M C CORP MASS COM COM 268648102 106 14065 SH SOLE 13465 0 600 EBAY INC COM COM 278642103 451 7321 SH SOLE 5300 0 2021 ELECTRONICS BOUTIQUE COM 286045109 232 7908 SH SOLE 7908 0 0 EMERSON ELEC CO COM 291011104 5201 97197 SH SOLE 82823 0 14374 ENBRIDGE ENERGY PARTNE COM 29250R106 672 15000 SH SOLE 12500 0 2500 EQUITY OFFICE PPTYS TR COM 294741103 315 10475 SH SOLE 9458 0 1017 EXPRESS SCRIPTS INC COM 302182100 733 14624 SH SOLE 9824 0 4800 EXXON CORPORATION COM 30231G102 954 23322 SH SOLE 21053 0 2269 FED HOME LN MTG COM 313400301 3034 49577 SH SOLE 43038 0 6539 FEDERAL NAT MORTGAGE COM 313586109 2781 37706 SH SOLE 30892 0 6814 FLEMING COS INC COM 339130106 199 10988 SH SOLE 10988 0 0 GENERAL ELEC CO COM 369604103 5376 185070 SH SOLE 154935 0 30135 HEWLETT PACKARD CO COM 428236103 282 18482 SH SOLE 17770 0 712 HOME DEPOT INC COM 437076102 2851 77616 SH SOLE 67940 0 9676 HONEYWELL INTERNATION COM 438516106 909 25797 SH SOLE 23018 0 2779 HOUSEHOLD INTL CORP COM 441815107 398 8002 SH SOLE 6011 0 1991 I B M COM 459200101 2710 37646 SH SOLE 32834 0 4812 INDYMAC MTG HLDGS INC COM 456607100 223 9854 SH SOLE 9854 0 0 ING PRIME RATE TR SHRS COM 44977W106 280 44379 SH SOLE 44379 0 0 INTEL CORP COM 458140100 891 48770 SH SOLE 45212 0 3558 INTERNATIONAL PAPER CO COM 460146103 220 5052 SH SOLE 4534 0 518 ISHARES TR DJ US FINL COM 464287788 368 4765 SH SOLE 4665 0 100 ISHARES TR DJ US TECH COM 464287721 213 5900 SH SOLE 5650 0 250 ISHARES TR S&P MDCP400 COM 464287507 362 3705 SH SOLE 3505 0 200 ISHARES TR S&P500/BARR COM 464287309 297 5995 SH SOLE 5795 0 200 J.P. MORGAN CHASE & CO COM 46625H100 481 14182 SH SOLE 12708 0 1474 JOHNSON & JOHNSON COM 478160104 2921 55898 SH SOLE 42032 0 13866 KB HOME COM COM 48666K109 234 4542 SH SOLE 4542 0 0 KEYCORP COM 493267108 1078 39495 SH SOLE 34635 0 4860 KIMBERLY CLARK CORP COM 494368103 745 12012 SH SOLE 11099 0 913 KINDER MORGAN INC KANS COM 49455P101 378 9952 SH SOLE 7091 0 2861 KOHLS CORP COM 500255104 674 9618 SH SOLE 7333 0 2285 LINEAR TECHNOLOGY CORP COM 535678106 1067 33947 SH SOLE 29292 0 4655 LOWES CO COM 548661107 361 7960 SH SOLE 7960 0 0 MARCONI PLC ADR SPONS F COM 566306205 1 10000 SH SOLE 10000 0 0 MAXIM INTEGRATED PRODS COM 57772K101 1047 27304 SH SOLE 23451 0 3853 MBNA CORP COM 55262L100 5465 247893 SH SOLE 216410 0 31484 MCDONALDS CORP COM 580135101 241 8476 SH SOLE 7721 0 755 MEDTRONIC INC COM 585055106 3069 71614 SH SOLE 62339 0 9275 MERCK & CO INC COM 589331107 5052 99759 SH SOLE 84328 0 15431 MICROSOFT CORP COM 594918104 2423 44303 SH SOLE 37881 0 6422 MOHAWK INDS INC COM COM 608190104 229 3723 SH SOLE 3723 0 0 MURPHY OIL CORP COM 626717102 361 4370 SH SOLE 3184 0 1186 NATIONAL CITY CORP COM 635405103 249 7482 SH SOLE 7482 0 0 NAUTILUS GROUP INC COM COM 63910B102 203 6636 SH SOLE 6636 0 0 NORTHERN TRUST CORP COM 665859104 2273 51599 SH SOLE 44748 0 6851 OMNICOM GROUP COM 681919106 756 16514 SH SOLE 14211 0 2303 ORACLE SYS CORP COM 68389X105 219 23118 SH SOLE 21568 0 1550 PEPSICO INC COM 713448108 4767 98900 SH SOLE 77881 0 21019 PFIZER INC COM 717081103 2046 58459 SH SOLE 51257 0 7202 PHILIP MORRIS COS INS COM 718154107 2360 54018 SH SOLE 42894 0 11124 QUEST DIAGNOSTICS INC COM 74834L100 280 3249 SH SOLE 3249 0 0 REGIS CORP MINN COM COM 758932107 222 8211 SH SOLE 8211 0 0 RESEARCH FRONTIERS INC COM 760911107 191 12845 SH SOLE 12845 0 0 RPM INC OHIO COM 749685103 336 22040 SH SOLE 19240 0 2800 SAFEWAY INC COM 786514208 1849 63339 SH SOLE 55145 0 8194 SBC COMMUNICATIONS,INC COM 78387G103 442 14490 SH SOLE 10542 0 3948 SEARS ROEBUCK & CO COM 812387108 263 4848 SH SOLE 4648 0 200 SELECT COMFORT CORP OC COM 81616X103 75 15000 SH SOLE 15000 0 0 SIGMA ALDRICH CORP COM 826552101 2078 41426 SH SOLE 33926 0 7500 SONOCO PRODUCTS COM 835495102 1008 35605 SH SOLE 26935 0 8670 SUN MICROSYSTEM INC COM 866810104 264 52777 SH SOLE 42239 0 10538 SYMANTEC CORP COM COM 871503108 244 7439 SH SOLE 7439 0 0 TECO ENERGY INC COM 872375100 245 9915 SH SOLE 9615 0 300 TENET HEALTH CARE COM 88033G100 238 4982 SH SOLE 4982 0 0 TYCO INTL LTD NEW COM COM 902124106 316 23424 SH SOLE 20482 0 2942 U S BANCORP COM 902973304 583 24959 SH SOLE 20356 0 4603 UNITED TECHNOLOGIES COM 913017109 542 7976 SH SOLE 7366 0 610 URS CORP NEW COM COM 903236107 258 9222 SH SOLE 9222 0 0 VALSPAR CORP COM COM 920355104 1070 23700 SH SOLE 16045 0 7655 VIACOM INC COM 925524308 797 17959 SH SOLE 14859 0 3100 WAL MART STORES INC COM 931142103 7814 142048 SH SOLE 120437 0 21611 WALT DISNEY COMPANY COM 254687106 202 10683 SH SOLE 9951 0 732 WELLPOINT HEALTH NTWRK COM 94973H108 248 3189 SH SOLE 3189 0 0 WELLS FARGO NEW COM 949746101 231 4613 SH SOLE 3473 0 1140 WESCO INTL INC COM COM 95082P105 87 13800 SH SOLE 12200 0 1600 WYETH COM 983024100 1038 20269 SH SOLE 15392 0 4877 ZIMMER HLDGS INC COM COM 98956P102 281 7893 SH SOLE 7643 0 250 LINE COUNT: 120 VALUE TOTAL: $126,052,000
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