-----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, VMnRhQWGQHon4sVkS6GOIfrJ+to0OE5+83HfO7F/Gd57/JR/eJg0+pX8cp9COKHe e3hPw5eCe2zMzAAfRgaZOQ== 0000720672-00-000004.txt : 20000216 0000720672-00-000004.hdr.sgml : 20000216 ACCESSION NUMBER: 0000720672-00-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000215 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: 545204 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 13F-HR 1 FORM 13F HOLDINGS REPORT 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, 1999 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: Thomas Mueth Title: VP & Manager of Consulting Services Phone: (314) 342-2829 Signature, Place, and Date of Signing: Thomas Mueth St. Louis, Missouri February 11, 2000 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. STIFEL NICOLAUS & CO., INC. PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 12/31/99 CLASS VALUE SHARES/ SH/ PUT/ I NVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (x$1000) PRN AMT PRN CALL DSCR ETN MNGRS SOLE SHARED NONE - ------------------------------ ------- --------- -------- -------- --- ---- - - ------ ------- ------ -------- -------- < C> A T & T CORP COM 001957109 638 12553 SH SOLE 11712 0 841 ABBOTT LABS COM 002824100 3611 99440 SH SOLE 80625 0 18815 ADELPHIA COMMUNICATIONS CORPCL COM 006848105 615 9375 SH SOLE 6667 0 2708 AER ENERGY RES INC COM 000944108 14 54309 SH SOLE 51309 0 3000 AFLAC INC COM 001055102 439 9312 SH SOLE 6679 0 2633 AMDOCS LTD ORD COM G02602103 517 14989 SH SOLE 10655 0 4334 AMERICA ONLINE INC COM 02364J104 850 11200 SH SOLE 10600 0 600 AMERICAN EXPRESS CO COM 025816109 933 5611 SH SOLE 4911 0 700 AMERICAN HOME PRODS CORP COM 026609107 795 20252 SH SOLE 14950 0 5302 AMERICAN INTL GROUP INC COM 026874107 3672 33958 SH SOLE 26821 0 7137 AMGEN INC COM 031162100 366 6100 SH SOLE 6100 0 0 ANHEUSER BUSCH COS INC COM 035229103 470 6626 SH SOLE 6626 0 0 APPLE COMPUTER INC COM 037833100 1059 10303 SH SOLE 7404 0 2899 APPLIED MATLS INC COM 038222105 361 2850 SH SOLE 2850 0 0 ASSOCIATES FIRST CAP CORP CL A COM 046008108 395 14384 SH SOLE 11318 0 3066 AT&T CORP LIBERTY MEDIA CL A COM 001957208 725 12755 SH SOLE 9169 0 3586 AUTOMATIC DATA PROCESSING COM 053015103 3278 60842 SH SOLE 48502 0 12340 BANK AMERICA CORP COM 060505104 1742 34707 SH SOLE 26555 0 8152 BANK ONE CORP COM 06423A103 268 8385 SH SOLE 5380 0 3005 BOEING CO COM 097023105 857 20688 SH SOLE 18272 0 2416 BRISTOL MYERS SQUIBB CO COM 110122108 1311 20430 SH SOLE 20050 0 380 CARNIVAL CRUISE LINE INC CL A COM 143658102 461 9646 SH SOLE 7011 0 2635 CATERPILLAR INC COM 149123101 1710 36339 SH SOLE 29441 0 6898 CBS CORPORATION COM 12490K107 4951 77431 SH SOLE 64046 0 13385 CENTURY BUSINESS SVCS INC COM COM 156490104 94 11100 SH SOLE 1100 0 10000 CHEVRON CORP COM COM 166751107 587 6771 SH SOLE 6115 0 656 CISCO SYS INC COM 17275R102 25145 234722 SH SOLE 88291 0 46431 CITIGROUP INC. COM 172967101 5232 93958 SH SOLE 76370 0 17588 CLEAR CHANNEL COMMUNICATIONS COM 184502102 695 7788 SH SOLE 5872 0 1916 COCA COLA CO COM 191216100 685 11765 SH SOLE 10254 0 1511 C-CUBE MICROSYSTEMS INC COM COM 125015107 1012 16260 SH SOLE 9280 0 6980 D & K HEALTHCARE RES INC COM COM 232861104 212 14500 SH SOLE 8500 0 6000 DELL COMPUTER CORP COM 247025109 3658 71725 SH SOLE 58812 0 12913 DEPARTMENT 56 INC COM 249509100 339 15000 SH SOLE 13600 0 1400 DOVER CORP COM 260003108 431 9498 SH SOLE 6678 0 2820 DU PONT E I DE NEMOURS CO COM 263534109 2284 34671 SH SOLE 27176 0 7495 EASTMAN KODAK COM 277461109 415 6263 SH SOLE 5069 0 1194 EMERSON ELEC CO COM 291011104 482 8401 SH SOLE 641 0 760 ENRON CORP COM 293561106 538 12134 SH SOLE 926 0 3208 EXXON CORPORATION COM 30231G102 1493 18533 SH SOLE 742 0 1791 FED HOME LN MTG COM 313400301 1556 33065 SH SOLE 776 0 6289 FEDERAL NAT MORTGAGE ASSN VOTI COM 313586109 2258 36157 SH SOLE 779 0 10378 FIRST DATA CORP COM 319963104 600 12170 SH SOLE 616 0 3554 FORD MOTOR COM 345370100 370 6946 SH SOLE 681 0 265 FRANKLIN RES INC COM 354613101 411 12807 SH SOLE 223 0 3584 GENERAL ELEC CO COM 369604103 9472 61206 SH SOLE 872 0 12334 GENERAL MTRS CORP COM 370442105 752 10349 SH SOLE 708 0 1641 GILLETTE CO COM 375766102 2407 58450 SH SOLE 728 0 11722 GOODYEAR TIRE & RUBR CO COM 382550101 587 20926 SH SOLE 099 0 4827 HEWLETT PACKARD CO COM 428236103 1272 11183 SH SOLE 18 0 1265 HOME DEPOT INC COM 437076102 1683 24475 SH SOLE 22615 0 1860 HONEYWELL INTERNATIONAL, INC. COM 438516106 1209 20962 SH SOLE 17737 0 3225 I B M COM 459200101 5022 46553 SH SOLE 37870 0 8683 INTEL CORP COM 458140100 5699 69230 SH SOLE 55723 0 13507 INTERNATIONAL PAPER CO COM 460146103 280 4956 SH SOLE 2906 0 2050 JOHNSON & JOHNSON COM 478160104 2387 25601 SH SOLE 18016 0 7585 KEYCORP COM 493267108 550 24840 SH SOLE 20830 0 4010 KINDER MORGAN EGY PTNS L P UT COM 494550106 512 12355 SH SOLE 8799 0 3556 LAKEHEAD PIPE LINE PARTNERS PR COM 511557100 348 10000 SH SOLE 7500 0 2500 LEXMARK INTL GROUP INC CL A COM 529771107 922 10187 SH SOLE 7087 0 3100 LOWES CO COM 548661107 436 7300 SH SOLE 6900 0 400 LUCENT TECHNOLOGIES INC COM COM 549463107 1127 15030 SH SOLE 13380 0 1650 MBNA CORP COM 55262L100 2853 104706 SH SOLE 86113 0 18593 MCDONALDS CORP COM 580135101 948 23517 SH SOLE 21103 0 2414 MCI WORLDCOM COM 55268B106 1265 23841 SH SOLE 19725 0 4116 MEDTRONIC INC COM 585055106 2997 82246 SH SOLE 65334 0 16912 MERCK & CO INC COM 589331107 5390 80227 SH SOLE 63504 0 16723 MERRILL LYNCH & CO. INC. COM 590188108 2045 24552 SH SOLE 20082 0 4470 MICROSOFT CORP COM 594918104 4876 41765 SH SOLE 34564 0 7201 MINNESOTA MNG & MFG CO COM 604059105 1196 12221 SH SOLE 10729 0 1492 MORGAN J.P. & CO INC COM 616880100 1073 8470 SH SOLE 7500 0 970 NEWELL RUBBERMAID INC. COM 651229106 661 22784 SH SOLE 16967 0 5817 NEXTEL COMMUNICATIONS INC CL A COM 65332V103 1781 17270 SH SOLE 12778 0 4492 NOBLE DRILLING CORP COM COM 655042109 684 20889 SH SOLE 14857 0 6032 NOKIA CORP FOREIGN COMMON S 654902204 229 1200 SH SOLE 1200 0 0 NORTHERN TRUST CORP COM 665859104 2722 51366 SH SOLE 42314 0 9052 NTL INC COM COM 629407107 215 1720 SH SOLE 1720 0 0 NUCOR CORP COM 670346105 432 7885 SH SOLE 5538 0 2347 ORACLE SYS CORP COM 68389X105 368 6560 SH SOLE 5510 0 1050 PARAMETRIC TECHNOLOGY CORP COM COM 699173100 246 9100 SH SOLE 6900 0 2200 PEPSICO INC COM 713448108 2251 63858 SH SOLE 44528 0 19330 PFIZER INC COM 717081103 1771 54597 SH SOLE 45909 0 8688 PHILIP MORRIS COS INS COM 718154107 1852 80517 SH SOLE 63387 0 17130 PROCTER & GAMBLE COMPANY COM 742718109 3405 31082 SH SOLE 25685 0 5397 QUALCOMM INC COM COM 747525103 416 2360 SH SOLE 2040 0 320 RPM INC OHIO COM 749685103 183 18000 SH SOLE 13500 0 4500 SAFEWAY INC COM 786514208 1998 55899 SH SOLE 44271 0 11628 SARA LEE CORP COM COM 803111103 606 27450 SH SOLE 26850 0 600 SBC COMMUNICATIONS, INC COMMON COM 78387G103 1400 28711 SH SOLE 22207 0 6504 SCHERING PLOUGH CORP COM 806605101 275 6501 SH SOLE 6501 0 0 SCHLUMBERGER COM 806857108 477 8497 SH SOLE 6330 0 2167 SEARS ROEBUCK & CO COM 812387108 682 22449 SH SOLE 18413 0 4036 SIGMA ALDRICH CORP COM 826552101 774 25762 SH SOLE 21826 0 3936 SUN MICROSYSTEM INC COM 866810104 798 10300 SH SOLE 10100 0 200 TERADYNE INC COM 880770102 277 4200 SH SOLE 4200 0 0 TEXAS INSTRUMENTS INC COM 882508104 250 2587 SH SOLE 2127 0 460 TYCO INTL LTD NEW COM COM 902124106 584 14977 SH SOLE 11919 0 3058 UNION PAC RES GROUP INC COM COM 907834105 571 44780 SH SOLE 31864 0 12916 UNION PLANTERS CORP COM COM 908068109 282 7150 SH SOLE 5850 0 1300 UNITED TECHNOLOGIES CORP COM 913017109 762 11721 SH SOLE 10395 0 1326 UNIVERSAL FST PRODS INC COM COM 913543104 221 15000 SH SOLE 11700 0 3300 VALSPAR CORP COM COM 920355104 803 19187 SH SOLE 11743 0 7444 WAL MART STORES INC COM 931142103 9156 132458 SH SOLE 101973 0 30485 WALT DISNEY COMPANY COM 254687106 702 24006 SH SOLE 20571 0 3435 WELLS FARGO NEW COM 949746101 395 9768 SH SOLE 6876 0 2892 WILLIAMS CO COM 969457100 358 11723 SH SOLE 8373 0 3350
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 106 Form 13F Information Table Value Total: $174,430,000 List of Other Included Managers: None -----END PRIVACY-ENHANCED MESSAGE-----