-----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, F75TdMnSnQwYW7PF33Gw4jajQyEhmle1vs9sZLaO6/xW8RtauNA27p6C7yM+yk3A iOTEN7ABi6qRoYld4dUGAQ== 0000720672-99-000012.txt : 19990518 0000720672-99-000012.hdr.sgml : 19990518 ACCESSION NUMBER: 0000720672-99-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990517 FILER: 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: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04621 FILM NUMBER: 99627300 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 13F-HR 1 FORM 13F HOLDINGS REPORT 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 1999 Check here if Amendment [ ]; Amendment Number: This Amendment (Check Only One): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment ManagerFiling thisReport: Name: Stifel, Nicolaus & Company, Incorporated Address: One Financial Plaza, 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: Todd Gilmore Title: VP & Manager of Consulting Serivces Phone: (314) 342-2813 Signature, Place, and Date of Signing: Todd Gilmore St. Louis, Missouri May 14, 1999 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. 2 STIFEL NICOLAUS & CO., INC. PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 03/31/99 CLASS VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE - ------------------------------ ------- --------- -------- -------- --- ---- ------- ------- ------ -------- -------- AT & T CORP COM 001957109 1993 37451 SH SOLE 32801 0 4650 ABBOTT LABS COM 002824100 3694 78902 SH SOLE 67160 0 11742 ABITIBI-CONSOLIDATED INC COM COM 003924107 110 12492 SH SOLE 11326 0 1166 AER ENERGY RES INC COM 000944108 16 28654 SH SOLE 25654 0 3000 AFLAC INC COM 001055102 802 14734 SH SOLE 11778 0 2956 ALLIED SIGNAL INC COM 019512102 1017 20672 SH SOLE 17730 0 2942 AMERICA ONLINE INC COM 02364J104 632 4300 SH SOLE 4300 0 0 AMERICAN EXPRESS CO COM 025816109 603 5123 SH SOLE 4414 0 709 AMERICAN INTL GROUP INC COM 026874107 2988 24772 SH SOLE 19875 0 4897 AMGEN INC COM 031162100 225 3000 SH SOLE 3000 0 0 ANHEUSER BUSCH COS INC COM 035229103 780 10240 SH SOLE 8027 0 2213 APPLIED MATLS INC COM 038222105 204 3300 SH SOLE 3300 0 0 ASSOCIATES FIRST CAP CORP CL A COM 046008108 909 20200 SH SOLE 16379 0 3821 AUTOMATIC DATA PROCESSING COM 053015103 2606 62977 SH SOLE 51343 0 11634 AVON PRODUCTS INC COM 054303102 215 4564 SH SOLE 4135 0 429 BANK ONE CORP COM 06423A103 788 14305 SH SOLE 12061 0 2244 BANKAMERICA CORP NEW COM 06605F102 1930 27326 SH SOLE 22255 0 5071 BOEING CO COM 097023105 678 19950 SH SOLE 17281 0 2669 BRISTOL MYERS SQUIBB CO COM 110122108 275 4290 SH SOLE 3910 0 380 CARNIVAL CRUISE LINE INC CL A COM 143658102 586 12066 SH SOLE 8929 0 3137 CATERPILLAR INC COM 149123101 3345 72805 SH SOLE 60743 0 12062 CBS CORPORATION COM 12490K107 3623 88774 SH SOLE 73335 0 15439 CENDANT CORPORATION COM 151313103 614 38522 SH SOLE 29886 0 8636 CERIDIAN CORP COM 15677T106 553 15126 SH SOLE 11046 0 4080 CHEVRON CORP COM COM 166751107 1493 16823 SH SOLE 13960 0 2863 CISCO SYS INC COM 17275R102 5008 45708 SH SOLE 38288 0 7420 CITIGROUP INC. COM 172967101 4723 73945 SH SOLE 60080 0 13865 CLEAR CHANNEL COMMUNICATIONS COM 184502102 685 10216 SH SOLE 7764 0 2452 CLOROX CO COM 189054109 631 5384 SH SOLE 4301 0 1083 COCA COLA CO COM 191216100 739 12039 SH SOLE 10423 0 1616 DELL COMPUTER CORP COM 247025109 320 7840 SH SOLE 7640 0 200 DOVER CORP COM 260003108 498 15149 SH SOLE 12062 0 3087 DU PONT E I DE NEMOURS CO COM 263534109 2204 37960 SH SOLE 30088 0 7872 E M C CORP MASS COM COM 268648102 868 6793 SH SOLE 5128 0 1665 EASTMAN KODAK COM 277461109 423 6628 SH SOLE 6080 0 548 ENRON CORP COM 293561106 677 10536 SH SOLE 7782 0 2754 EXXON CORP COM 302290101 1019 14437 SH SOLE 13380 0 1057 FED HOME LN MTG COM 313400301 1708 29795 SH SOLE 24586 0 5209 FEDERAL NAT MORTGAGE ASSN VOTI COM 313586109 774 11175 SH SOLE 9682 0 1493 FIRST DATA CORP COM 319963104 672 15714 SH SOLE 11573 0 4141 FIRSTAR CORP NEW WIS COM COM 33763V109 303 10140 SH SOLE 9600 0 540 FORD MOTOR COM 345370100 408 7193 SH SOLE 6928 0 265 FRANKLIN RES INC COM 354613101 430 15282 SH SOLE 12402 0 2880 G A P INC COM 364760108 1659 24640 SH SOLE 18117 0 6523 GENERAL ELEC CO COM 369604103 4830 43663 SH SOLE 35797 0 7866 GENERAL MTRS CORP COM 370442105 3104 35679 SH SOLE 29761 0 5918 GILLETTE CO COM 375766102 2572 43273 SH SOLE 36291 0 6982 GOODYEAR TIRE & RUBR CO COM 382550101 1726 34650 SH SOLE 28109 0 6541 HEWLETT PACKARD CO COM 428236103 571 8416 SH SOLE 6933 0 1483 HOME DEPOT INC COM 437076102 386 6200 SH SOLE 5600 0 600 I B M COM 459200101 3718 20977 SH SOLE 17551 0 3426 IDEC PHARMACEUTICALS CORP COM COM 449370105 286 5575 SH SOLE 5052 0 523 INDIGO N V COM N44495104 52 10000 SH SOLE 10000 0 0 3
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE - ------------------------------ ------- --------- -------- -------- --- ---- ------ ------ ------ -------- -------- INTEL CORP COM 458140100 3050 51320 SH SOLE 43342 0 7978 INTERNATIONAL PAPER CO COM 460146103 1472 34888 SH SOLE 27692 0 7196 JOHNSON & JOHNSON COM 478160104 726 7760 SH SOLE 6487 0 1273 KINDER MORGAN EGY PTNS L P UT COM 494550106 534 15412 SH SOLE 11259 0 4153 LAUDER ESTEE COS INC CL A COM 518439104 623 6592 SH SOLE 4800 0 1792 LEXMARK INTL GROUP INC CL A COM 529771107 780 6970 SH SOLE 4998 0 1972 LOWES CO COM 548661107 333 5500 SH SOLE 5100 0 400 LUCENT TECHNOLOGIES INC COM COM 549463107 727 13466 SH SOLE 11798 0 1668 MBNA CORP COM 55262L100 2681 112275 SH SOLE 92556 0 19719 MCDONALDS CORP COM 580135101 902 19906 SH SOLE 17764 0 2142 MCI WORLDCOM COM 55268B106 705 7964 SH SOLE 6009 0 1955 MEDTRONIC INC COM 585055106 3093 43030 SH SOLE 34708 0 8322 MERCK & CO INC COM 589331107 1191 14864 SH SOLE 13147 0 1717 MERRILL LYNCH & CO. INC. COM 590188108 1980 22371 SH SOLE 18572 0 3799 MEYER FRED INC DEL NEW COM COM 592907109 565 9595 SH SOLE 7142 0 2453 MICROSOFT CORP COM 594918104 3698 41259 SH SOLE 33887 0 7372 MINNESOTA MNG & MFG CO COM 604059105 972 13739 SH SOLE 11285 0 2454 MOBIL CORP COM 607059102 553 6288 SH SOLE 5416 0 872 MONSANTO CO COM 611662107 372 8105 SH SOLE 7205 0 900 MORGAN J.P. & CO INC COM 616880100 1115 9041 SH SOLE 7667 0 1374 MORGAN STANLEY DEAN WITTER DIS COM 617446448 664 6642 SH SOLE 4853 0 1789 NEXTEL COMMUNICATIONS INC CL A COM 65332V103 692 18906 SH SOLE 13894 0 5012 NORTHERN TRUST CORP COM 665859104 2707 30482 SH SOLE 24817 0 5665 NUCOR CORP COM 670346105 475 10780 SH SOLE 8618 0 2162 OUTBACK STEAKHOUSE INC COM 689899102 218 6670 SH SOLE 6044 0 626 PEPSICO INC COM 713448108 1384 35315 SH SOLE 27721 0 7594 PFIZER INC COM 717081103 979 7054 SH SOLE 5709 0 1345 PHILIP MORRIS COS INS COM 718154107 2747 78069 SH SOLE 66373 0 11696 PROCTER & GAMBLE COMPANY COM 742718109 2822 28810 SH SOLE 23773 0 5037 PROGRESSIVE CORP OHIO COM 743315103 459 3200 SH SOLE 2900 0 300 SAFEWAY INC COM 786514208 2680 52238 SH SOLE 41427 0 10811 SAPIENT CORP COM COM 803062108 203 2843 SH SOLE 2577 0 266 SARA LEE CORP COM COM 803111103 948 38300 SH SOLE 37400 0 900 SCHERING PLOUGH CORP COM 806605101 2232 40396 SH SOLE 34094 0 6302 SEARS ROEBUCK & CO COM 812387108 784 17355 SH SOLE 15393 0 1962 SOUTHTRUST CORP COM COM 844730101 523 14025 SH SOLE 10257 0 3768 SUN MICROSYSTEM INC COM 866810104 281 4500 SH SOLE 4500 0 0 TYCO INTL LTD NEW COM COM 902124106 287 3996 SH SOLE 3489 0 507 UNION CARBIDE CORP COM 905581104 1436 31788 SH SOLE 28208 0 3580 UNION PAC RES GROUP INC COM COM 907834105 666 56103 SH SOLE 41033 0 15070 UNITED TECHNOLOGIES CORP COM 913017109 715 5276 SH SOLE 4615 0 661 WAL MART STORES INC COM 931142103 3728 80869 SH SOLE 66351 0 14518 WALT DISNEY COMPANY COM 254687106 697 22384 SH SOLE 19374 0 3010 WELLS FARGO NEW COM 949746101 442 12615 SH SOLE 10055 0 2560 XEROX CORP COM 984121103 1903 36507 SH SOLE 30556 0 5951
4 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 98 Form 13F Information Table Value Total: $128,417,000 List of Other Included Managers: None 5 -----END PRIVACY-ENHANCED MESSAGE-----