-----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, H0iCo2O0dQr9XH/m7+BiwxU9EYD1MR4KO4XT8kj4NvLJrVkTrr8DZEfqQePMd1G4 dPQOB3yvbW6ENdF/ePJEvw== 0000720672-00-000011.txt : 20000510 0000720672-00-000011.hdr.sgml : 20000510 ACCESSION NUMBER: 0000720672-00-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000331 FILED AS OF DATE: 20000509 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: 623202 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 November 2, 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. STIFEL NICOLAUS & CO., INC. PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 03/31/00 SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS VALUE PRN PRN DSCRETN MNGRS SOLE SHARED NONE TITLE CUSIP (X$1000)AMT CALL - ------------------------------ ------- --------- -------- -------- --- ---- ------- ------- ------ ------- - - -------- A T & T CORP COM 1957109 540 9596 SH SOLE 8830 0 766 ABBOTT LABS COM 2824100 3753 106667 SH SOLE 88022 0 18645 ADELPHIA COMMUNICATIONS CORPCL COM 6848105 463 9455 SH SOLE 6747 0 2708 ADOBE SYS INC COM 00724F101 217 1950 SH SOLE 1550 0 400 AER ENERGY RES INC COM 944108 73 44909 SH SOLE 44909 0 0 AFLAC INC COM 1055102 359 7887 SH SOLE 5423 0 2464 AGILENT TECHNOLOGIES INC COM COM 00846U101 200 1925 SH SOLE 1525 0 400 AMDOCS LTD ORD COM G02602103 1164 15728 SH SOLE 11244 0 4484 AMERICA ONLINE INC COM 02364J104 752 11150 SH SOLE 10400 0 750 AMERICAN EXPRESS CO COM 25816109 685 4600 SH SOLE 3853 0 747 AMERICAN HOME PRODS CORP COM 26609107 1083 20152 SH SOLE 14850 0 5302 AMERICAN INTL GROUP INC COM 26874107 3673 33543 SH SOLE 26621 0 6922 AMGEN INC COM 31162100 371 6050 SH SOLE 5650 0 400 ANADARKO PETE CORP COM 32511107 755 19514 SH SOLE 13763 0 5751 ANHEUSER BUSCH COS INC COM 35229103 412 6626 SH SOLE 6626 0 0 APPLE COMPUTER INC COM 37833100 1381 10169 SH SOLE 7290 0 2879 APPLIED MATLS INC COM 38222105 292 3100 SH SOLE 3100 0 0 APT SATELLITE HLDGS LTD ADR SP FOR COM 00203R105 105 17800 SH SOLE 17800 0 0 AT&T CORP LIBERTY MEDIA CL A COM 1957208 740 12474 SH SOLE 8888 0 3586 AUTOMATIC DATA PROCESSING COM 53015103 2852 59116 SH SOLE 47209 0 11907 BANK AMERICA CORP COM 60505104 1497 28541 SH SOLE 22420 0 6121 BANK ONE CORP COM 06423A103 491 14284 SH SOLE 11279 0 3005 BOEING CO COM 97023105 663 17537 SH SOLE 14955 0 2582 BRISTOL MYERS SQUIBB CO COM 110122108 1592 27455 SH SOLE 26900 0 555 CALPINE CORP COM COM 131347106 558 5940 SH SOLE 4188 0 1752 CATERPILLAR INC COM 149123101 1094 27733 SH SOLE 22390 0 5343 CBS CORPORATION COM 12490K107 4253 75107 SH SOLE 62102 0 13005 CENTURY BUSINESS SVCS INC COM COM 156490104 32 11100 SH SOLE 1100 0 10000 CHEVRON CORP COM COM 166751107 485 5247 SH SOLE 4804 0 443 CISCO SYS INC COM 17275R102 34881 451171 SH SOLE 379783 0 71388 CITIGROUP INC. COM 172967101 5380 89854 SH SOLE 72677 0 17177 CLEAR CHANNEL COMMUNICATIONS COM 184502102 526 7620 SH SOLE 5704 0 1916 COCA COLA CO COM 191216100 492 10477 SH SOLE 8999 0 1478 C-CUBE MICROSYSTEMS INC COM COM 125015107 1307 17950 SH SOLE 10970 0 6980 D & K HEALTHCARE RES INC COM COM 232861104 404 33000 SH SOLE 27000 0 6000 DELL COMPUTER CORP COM 247025109 3923 72732 SH SOLE 60039 0 12693 DEPARTMENT 56 INC COM 249509100 464 31300 SH SOLE 29900 0 1400 DOVER CORP COM 260003108 379 7908 SH SOLE 5269 0 2639 DU PONT E I DE NEMOURS CO COM 263534109 1347 25445 SH SOLE 20193 0 5252 E M C CORP MASS COM COM 268648102 288 2285 SH SOLE 1770 0 515 EASTMAN KODAK COM 277461109 285 5243 SH SOLE 3589 0 1654 EMERSON ELEC CO COM 291011104 2376 44720 SH SOLE 36420 0 8300 ENRON CORP COM 293561106 936 12499 SH SOLE 9291 0 3208 EXXON CORPORATION COM 30231G102 1248 16011 SH SOLE 14215 0 1796 FED HOME LN MTG COM 313400301 1568 35492 SH SOLE 29246 0 6246 FEDERAL NAT MORTGAGE ASSN VOTI COM 313586109 2389 42244 SH SOLE 31833 0 10411 FIRST DATA CORP COM 319963104 534 12033 SH SOLE 8479 0 3554 FRANKLIN RES INC COM 354613101 348 10398 SH SOLE 7043 0 3355 GENERAL ELEC CO COM 369604103 9777 62824 SH SOLE 50496 0 12328 GENERAL MTRS CORP COM 370442105 1271 15344 SH SOLE 11833 0 3511 GILLETTE CO COM 375766102 1975 52393 SH SOLE 41914 0 10479 GOODYEAR TIRE & RUBR CO COM 382550101 334 14346 SH SOLE 11881 0 2465 HEWLETT PACKARD CO COM 428236103 1937 14613 SH SOLE 13166 0 1447 HOME DEPOT INC COM 437076102 1218 18884 SH SOLE 16919 0 1965 HOMESTAKE MNG CO COM 437614100 126 21000 SH SOLE 21000 0 0 "HONEYWELL INTERNATIONAL, INC."COM 438516106 1004 19064 SH SOLE 15114 0 3950 I B M COM 459200101 5434 46054 SH SOLE 37225 0 8829 INTEL CORP COM 458140100 9015 68326 SH SOLE 57651 0 10675 JOHNSON & JOHNSON COM 478160104 2076 29553 SH SOLE 21687 0 7866 KEYCORP COM 493267108 701 36920 SH SOLE 32410 0 4510 KIMBERLY CLARK CORP COM 494368103 800 14276 SH SOLE 12424 0 1852 KINDER MORGAN EGY PTNS L P UT COM 494550106 485 12227 SH SOLE 8671 0 3556 LAKEHEAD PIPE LINE PARTNERS PR COM 511557100 521 15000 SH SOLE 12500 0 2500 LEXMARK INTL GROUP INC CL A COM 529771107 1001 9463 SH SOLE 6492 0 2971 LINEAR TECHNOLOGY CORP COM 535678106 1688 30696 SH SOLE 25162 0 5534 LOWES CO COM 548661107 356 6100 SH SOLE 5700 0 400 LSI LOGIC CORP COM COM 502161102 244 3360 SH SOLE 2880 0 480 LUCENT TECHNOLOGIES INC COM COM 549463107 910 14685 SH SOLE 12677 0 2008 MAXIM INTEGRATED PRODS INC COM COM 57772K101 1701 23930 SH SOLE 19595 0 4335 MBNA CORP COM 55262L100 2809 110166 SH SOLE 92241 0 17925 MCDONALDS CORP COM 580135101 781 20893 SH SOLE 18300 0 2593 MCI WORLDCOM COM 55268B106 1054 23254 SH SOLE 18318 0 4936 MEDTRONIC INC COM 585055106 4113 79963 SH SOLE 63559 0 16404 MERCK & CO INC COM 589331107 6410 103179 SH SOLE 83948 0 19231 MERRILL LYNCH & CO. INC. COM 590188108 2673 25456 SH SOLE 20923 0 4533 MICROSOFT CORP COM 594918104 4355 40991 SH SOLE 33614 0 7377 MINNESOTA MNG & MFG CO COM 604059105 833 9411 SH SOLE 8094 0 1317 MORGAN J.P. & CO INC COM 616880100 930 7061 SH SOLE 6086 0 975 NEWELL RUBBERMAID INC. COM 651229106 827 33314 SH SOLE 26397 0 6917 NEXTEL COMMUNICATIONS INC CL A COM 65332V103 2324 15679 SH SOLE 11187 0 4492 NOKIA CORP FOREIGN COM S 654902204 311 5600 SH SOLE 5000 0 600 NORTHERN TRUST CORP COM 665859104 3347 49533 SH SOLE 40799 0 8734 NTL INC COM COM 629407107 200 2150 SH SOLE 2150 0 0 NUCOR CORP COM 670346105 329 6580 SH SOLE 4383 0 2197 NUVEEN INSD MUN OPPRTNTYFD INC PFD 670984509 1000 40 SH SOLE 30 0 10 NUVEEN MUN MKT SER T PFDOPPORT PFD 67062W400 250 10 SH SOLE 10 0 0 NUVEEN PREM INC MUN FD REMARKE PFD 67062T308 250 10 SH SOLE 10 0 0 ORACLE SYS CORP COM 68389X105 516 6610 SH SOLE 5460 0 1150 PACIFIC CENTURY CYBERWORKS ORD FRN COM Y6801N100 93 39750 SH SOLE 39750 0 0 PARAMETRIC TECHNOLOGY CORP COM COM 699173100 200 9500 SH SOLE 7300 0 2200 PEPSICO INC COM 713448108 2132 61120 SH SOLE 44160 0 16960 PFIZER INC COM 717081103 1922 52557 SH SOLE 43534 0 9023 PHILIP MORRIS COS INS COM 718154107 1702 80561 SH SOLE 64367 0 16194 PILGRIM PRIME RATE TR NEW SH B COM 72146W103 158 19537 SH SOLE 19537 0 0 PREMIUM CIGARS INTL LTD COM COM 740588108 6 13000 SH SOLE 0 0 13000 PROCTER & GAMBLE COMPANY COM 742718109 1438 25454 SH SOLE 20995 0 4459 QUALCOMM INC COM COM 747525103 349 2335 SH SOLE 2015 0 320 RATIONAL SOFTWARE CORP COM COM 75409P202 549 7170 SH SOLE 5099 0 2071 RPM INC OHIO COM 749685103 294 26700 SH SOLE 22200 0 4500 SAFEWAY INC COM 786514208 2628 58088 SH SOLE 46518 0 11570 "SBC COMMUNICATIONS, INC COM" COM 78387G103 1141 27078 SH SOLE 19354 0 7724 SCHERING PLOUGH CORP COM 806605101 234 6301 SH SOLE 6301 0 0 SCHLUMBERGER COM 806857108 646 8439 SH SOLE 6272 0 2167 SCHWAB CHARLES CORP NEW COM 808513105 818 14483 SH SOLE 10234 0 4249 SEARS ROEBUCK & CO COM 812387108 602 19653 SH SOLE 15383 0 4270 SIGMA ALDRICH CORP COM 826552101 1443 53698 SH SOLE 47303 0 6395 SONOCO PRODUCTS COM 835495102 303 13190 SH SOLE 10220 0 2970 SUN MICROSYSTEM INC COM 866810104 853 9100 SH SOLE 8900 0 200 TERADYNE INC COM 880770102 352 4295 SH SOLE 4200 0 95 TEXAS INSTRUMENTS INC COM 882508104 405 2530 SH SOLE 2070 0 460 TYCO INTL LTD NEW COM COM 902124106 763 15218 SH SOLE 11660 0 3558 UNION PAC RES GROUP INC COM COM 907834105 642 44278 SH SOLE 31362 0 12916 UNITED TECHNOLOGIES CORP COM 913017109 630 9970 SH SOLE 8524 0 1446 VALSPAR CORP COM COM 920355104 825 21531 SH SOLE 13876 0 7655 WAL MART STORES INC COM 931142103 7959 140874 SH SOLE 113823 0 27051 WALT DISNEY COMPANY COM 254687106 889 21563 SH SOLE 17941 0 3622 WELLS FARGO NEW COM 949746101 333 8178 SH SOLE 5472 0 2706 WILLIAMS CO COM 969457100 531 12095 SH SOLE 8745 0 3350
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 93 Form 13F Information Table Value Total: $147,699,000 List of Other Included Managers: None -----END PRIVACY-ENHANCED MESSAGE-----