-----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, LM/pLz/Dpp3dzgvbdhg6w1NTN0nEdC2gEug9NMliBdMWTsGgqDisJIh1vvt4rTq9 AUihQfyIVoOL90owHgmuIw== 0000933420-97-000011.txt : 19970704 0000933420-97-000011.hdr.sgml : 19970704 ACCESSION NUMBER: 0000933420-97-000011 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970703 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35338 FILM NUMBER: 97636387 BUSINESS ADDRESS: STREET 1: 500 N. BROADWAY STREET 2: 14TH FLOOR CITY: ST LOUIS STATE: MO ZIP: 63102-2188 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: 500 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102-2188 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LATSHAW JOHN CENTRAL INDEX KEY: 0000897847 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: NO 3 DUNFORD CIRCLE CITY: KANSAS CITY STATE: MO ZIP: 64108 BUSINESS PHONE: 8163616161 MAIL ADDRESS: STREET 1: 3 DUNFORD CIRCLE CITY: KANSAS CITY STATE: MO ZIP: 64108 SC 13D/A 1 LATSHAW13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 5 STIFEL FINANCIAL CORP. (Name of Issuer) COMMON STOCK, $.15 PAR VALUE PER SHARE (Title of Class of Securities) 860630 10 2 (CUSIP Number) JOHN LATSHAW 5049 WORNALL ROAD, APT. 3C KANSAS CITY, MISSOURI 64112 (816) 361-6161 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 25, 1997 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(b)(3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D CUSIP NO. 860630102 PAGE 2 OF 8 PAGES 1 Name of Reporting Person SS or IRS Identification No. of Above Person LATSHAW ENTERPRISES, INC. 44-0427150 2. Check the appropriate Box if a Member of a Group (a) / / (b) / / 3. SEC Use Only 4. Source of Funds NOT APPLICABLE 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) / / 6. Citizenship or Place of Organization DELAWARE 7. Sole Voting Power -0- 8. Shared Voting Power -0- 9. Sole Dispositive Power -0- 10. Shared Dispositive Power -0- 11. Aggregate Amount Beneficially Owned by Each Reporting Person -0- 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares / / 13. Percent of Class Represented by Amount in Row (11) -0- 14. Type of Reporting Person CO SCHEDULE 13D CUSIP NO. 860630102 PAGE 3 OF 8 PAGES 1 Name of Reporting Person SS or IRS Identification No. of Above Person JOHN LATSHAW 486039538 2. Check the appropriate Box if a Member of a Group (a) / / (b) / / 3. SEC Use Only 4. Source of Funds PF 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) / / 6. Citizenship or Place of Organization UNITED STATES OF AMERICA 7. Sole Voting Power 231,389 8. Shared Voting Power -0- 9. Sole Dispositive Power 231,389 10. Shared Dispositive Power -0- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 231,389 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares / / 13. Percent of Class Represented by Amount in Row (11) 4.9% 14. Type of Reporting Person IN INTRODUCTION This Amendment No. 5 is the second electronic amendment to the reporting persons' paper format Schedule 13D. Unless otherwise provided, all terms used herein which have been defined in the Schedule 13D or any prior amendments thereto have the same meanings as used herein. ITEM 1. SECURITY AND ISSUER. No material change. ITEM 2. IDENTITY AND BACKGROUND. No material change, except that John Latshaw's business address is 5049 Wornall Road, Apt. 3C, Kansas City, Missouri 64112. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The amount of consideration paid by Mr. Latshaw to make the purchases of Shares reported in Item 5(c) hereof was $457,772.50. The source of such consideration was Mr. Latshaw's personal funds. The amount of consideration is the aggregate purchase price paid by Mr. Latshaw to purchase the Shares, without subtracting proceeds received in respect of sales of Shares. ITEM 4. PURPOSE OF TRANSACTION. No material change. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) Laten owned 0 Shares on July 2, 1997. Laten is no longer a member of a group with John Latshaw with respect to Shares of the Issuer. Mr. John Latshaw owned 231,389 Shares on July 2, 1997, which he believes to be 4.9% of the entire class of Shares of the Issuer. (b) Mr. Latshaw has the sole power to vote, or to direct the vote, and the sole power to dispose, or to direct the disposition of the Shares owned by him. (c) During the period beginning sixty days prior to June 25, 1997 and ending on July 2, 1997, Mr. Latshaw effected the purchases described below on the open market. Mr. Latshaw effected all of the purchases through Mr. Latshaw's account with Stifel, Nicolaus & Company, except the purchase of 34,702 Shares on June 24, 1997. Mr. Latshaw purchased the 34,702 Shares on June 24, 1997 from Laten in an open market cross-trade transaction. Mr. Latshaw effected this purchase through Fahnestock & Company, Inc. Date Number of Shares Price per Share 5/12/97 1,000 $ 7.75 6/24/97 34,702 11.25 6/30/97 2,500 12.00 7/01/97 2,500 11.85 During the period beginning sixty days prior to June 25, 1997 and ending on July 2, 1997, Mr. Latshaw effected the following sales on the open market through Mr. Latshaw's account with Stifel, Nicolaus & Company. Date Number of Shares Price per Share 6/24/97 10,000 $11.81 6/25/97 50,000 12.04 6/26/97 27,300 11.95 6/27/97 31,200 11.81 During the period beginning sixty days prior to June 25, 1997 and ending on July 2, 1997, Laten effected the following sales on the open market through Laten's account with Stifel, Nicolaus & Company. Date Number of Shares Price per Share 6/20/97 2,000 $10.25 6/23/97 36,500 10.80 6/24/97 9,500 11.22 6/24/97 34,702 11.25 (d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares. (e) John Latshaw and the group which consisted of Laten and John Latshaw each ceased to be the beneficial owner of more than 5% of outstanding Shares on June 27, 1997. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Mr. Latshaw is not a party to any contract, arrangement, understanding or relationship (legal or otherwise) with any person with respect to the Shares. None of the Shares owned by Mr. Latshaw are pledged or otherwise subject to any contingency the occurrence of which would give another person voting power or investment power over such Shares. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Exhibit 1. Statement of joint filing. SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. LATSHAW ENTERPRISES, INC. July 3, 1997 By: /s/ John Latshaw John Latshaw, Chairman of the Board, Managing Director and Chief Executive Officer After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. July 3, 1997 /s/ John Latshaw John Latshaw, Individually EXHIBIT INDEX TO AMENDMENT NO. 5 TO SCHEDULE 13D No. Description of Exhibit 1. Statement of Joint Filing EX-1 2 EXHIBIT 1 STATEMENT OF JOINT FILING Pursuant to Reg. Section 240.13d-1(f)(1)(iii) of the Securities Exchange Act of 1934, the foregoing Amendment No. 5 to the Schedule 13D is filed on behalf of Latshaw Enterprises, Inc. and Mr. John Latshaw. LATSHAW ENTERPRISES, INC. July 3, 1997 By: /s/ John Latshaw John Latshaw, Chairman of the Board, Managing Director and Chief Executive Officer July 3, 1997 /s/ John Latshaw John Latshaw, Individually -----END PRIVACY-ENHANCED MESSAGE-----