-----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, JkYU/V7AZxJDZF5B7qJ5ugBMGp/RL2aVEddb/qxfTQiEbAJjmCw20uGG39OvFGno Pjj6WrTUSzyac56QzQhgfw== /in/edgar/work/20000804/0000720672-00-000025/0000720672-00-000025.txt : 20000921 0000720672-00-000025.hdr.sgml : 20000921 ACCESSION NUMBER: 0000720672-00-000025 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000804 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: [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: 686442 BUSINESS ADDRESS: STREET 1: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: 501 N BROADWAY STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102 13F-HR 1 0001.txt 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: June 30, 2000 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 North 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 August 4, 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 RUN DATE: 08/01/00 10:31 A.M. STIFEL NICOLAUS & CO., INC. FORM 13F INFORMATION TABLE PAGE 1 AS OF DATE: 06/30/00 NAME OF ISSUER CLASS VALUE SHARES/ SH/ INVST VOTE AUTH TITLE CUSIP PRN AMT PRN DSRTN SOLE SHRD NONE - ---------------------- ------ ---------- -------------- ------------ ----- -- - ---------- ------------ A T & T CORP COM 001957109 244,352 7,681 SH SOLE 7,031 0 650 ABBOTT LABS COM 002824100 4,846,224 108,751 SH SOLE 90,719 0 18,032 ADOBE SYS INC COM 00724F101 253,500 1,950 SH SOLE 1,550 0 400 AER ENERGY RES IN COM 000944108 49,400 44,909 SH SOLE 44,909 0 0 AFLAC INC COM 001055102 336,217 7,319 SH SOLE 5,144 0 2,175 AGILENT TECHNOLOG COM 00846U101 483,726 6,559 SH SOLE 5,709 0 850 AMDOCS LTD ORD COM G02602103 1,179,034 15,362 SH SOLE 10,778 0 4,584 AMERICA ONLINE IN COM 02364J104 667,022 12,675 SH SOLE 12,075 0 600 AMERICAN EXPRESS COM 025816109 585,370 11,230 SH SOLE 10,171 0 1,059 AMERICAN HOME PRO COM 026609107 1,154,555 19,652 SH SOLE 14,350 0 5,302 AMERICAN INTL GRO COM 026874107 4,049,405 51,695 SH SOLE 41,496 0 10,199 AMGEN INC COM 031162100 396,912 5,650 SH SOLE 5,650 0 0 ANADARKO PETE COR COM 032511107 776,323 15,723 SH SOLE 10,917 0 4,806 ANHEUSER BUSCH CO COM 035229103 466,898 6,251 SH SOLE 6,251 0 0 APPLE COMPUTER IN COM 037833100 201,120 3,840 SH SOLE 3,080 0 760 APPLIED MATLS INC COM 038222105 280,937 3,100 SH SOLE 3,100 0 0 APT SATELLITE HLD FRGN 00203R105 139,175 29,300 SH SOLE 29,300 0 0 AT&T CORP LIBERTY COM 001957208 619,881 25,431 SH SOLE 18,074 0 7,357 AUTOMATIC DATA PR COM 053015103 3,259,278 60,850 SH SOLE 49,274 0 11,576 BANK AMERICA CORP COM 060505104 1,144,716 26,391 SH SOLE 21,077 0 5,314 BANK ONE CORP COM 06423A103 379,419 14,284 SH SOLE 11,279 0 3,005 BOEING CO COM 097023105 625,153 14,951 SH SOLE 13,611 0 1,340 BRISTOL MYERS SQU COM 110122108 1,583,992 27,193 SH SOLE 26,813 0 380 CABLEVISION SYS C COM 12686C109 662,799 9,765 SH SOLE 6,891 0 2,874 CALPINE CORP COM COM 131347106 773,630 11,902 SH SOLE 8,398 0 3,504 CATERPILLAR INC COM 149123101 393,899 11,628 SH SOLE 9,425 0 2,203 CERES GROUP INC C COM 156772105 60,563 10,200 SH SOLE 10,200 0 0 CHEVRON CORP COM COM 166751107 278,354 3,277 SH SOLE 2,908 0 369 CISCO SYS INC COM 17275R102 27,568,645 433,725 SH SOLE 366,254 0 67,471 CITIGROUP INC. COM 172967101 5,291,689 87,556 SH SOLE 72,196 0 15,360 CLEAR CHANNEL COM COM 184502102 693,675 9,249 SH SOLE 6,824 0 2,425 COCA COLA CO COM 191216100 524,441 9,131 SH SOLE 8,306 0 825 COMVERSE TECHNOLO COM 205862402 657,882 7,074 SH SOLE 4,990 0 2,084 C-CUBE MICROSYSTE COM 12501N108 353,250 18,000 SH SOLE 11,020 0 6,980 D & K HEALTHCARE COM 232861104 344,437 33,000 SH SOLE 27,000 0 6,000 DELL COMPUTER COM 247025109 3,226,468 65,429 SH SOLE 55,558 0 9,871 DEPARTMENT 56 INC COM 249509100 342,100 31,100 SH SOLE 29,700 0 1,400 DOVER CORP COM 260003108 296,350 7,306 SH SOLE 4,976 0 2,330 DU PONT E I DE COM 263534109 877,323 19,960 SH SOLE 16,623 0 3,337 E M C CORP MASS COM 268648102 338,800 4,400 SH SOLE 3,640 0 760 EL PASO ENERGY CO COM 283905107 753,009 14,783 SH SOLE 13,771 0 1,012 EMERSON ELEC CO COM 291011104 2,706,008 44,820 SH SOLE 36,520 0 8,300 ENRON CORP COM 293561106 890,165 13,801 SH SOLE 10,491 0 3,310 EXXON CORPORATION COM 30231G102 1,080,132 13,760 SH SOLE 12,762 0 998 FED HOME LN MTG COM 313400301 1,712,705 42,289 SH SOLE 35,257 0 7,032 FEDERAL NAT MORTG COM 313586109 1,933,919 36,969 SH SOLE 28,422 0 8,547 FIRST DATA CORP COM 319963104 626,218 12,619 SH SOLE 8,900 0 3,719 FIRSTAR CORP NEW COM 33763V109 223,663 10,619 SH SOLE 10,619 0 0 FRANKLIN RES INC COM 354613101 292,815 9,640 SH SOLE 6,675 0 2,965 GENERAL ELEC CO COM 369604103 9,753,570 186,226 SH SOLE 151,388 0 34,838 GENERAL MTRS CORP COM 370442105 284,432 4,904 SH SOLE 3,934 0 970 GILLETTE CO COM 375766102 2,332,637 66,766 SH SOLE 53,619 0 13,147 GOLDMAN GUIDANT COM 401698105 623,007 12,586 SH SOLE 8,890 0 3,696 HARMONIC LIGHTWAV COM 413160102 241,535 9,759 SH SOLE 5,975 0 3,784 HEWLETT PACKARD COM 428236103 1,792,056 14,351 SH SOLE 13,497 0 854 HOME DEPOT INC COM 437076102 860,745 17,236 SH SOLE 16,166 0 1,070 HONEYWELL INT'L COM 438516106 584,139 17,340 SH SOLE 14,482 0 2,858 HOUSEHOLD INTL CO COM 441815107 621,844 14,962 SH SOLE 10,609 0 4,353 I B M COM 459200101 5,171,773 47,204 SH SOLE 38,753 0 8,451 INTEL CORP COM 458140100 8,540,414 127,767 SH SOLE 109,917 0 17,850 JOHNSON & JOHNSON COM 478160104 2,938,010 28,839 SH SOLE 21,426 0 7,413 KEYCORP COM 493267108 659,527 37,420 SH SOLE 32,910 0 4,510 KIMBERLY CLARK COM 494368103 724,474 12,627 SH SOLE 11,754 0 873 LAKEHEAD PIPE LIN COM 511557100 600,938 15,000 SH SOLE 12,500 0 2,500 LILLY, ELI AND CO COM 532457108 211,279 2,115 SH SOLE 1,815 0 300 LINEAR TECHNOLOGY COM 535678106 2,740,809 42,867 SH SOLE 34,157 0 8,710 LOWES CO COM 548661107 237,858 5,775 SH SOLE 5,375 0 400 LUCENT TECHNOLOG COM 549463107 830,347 14,134 SH SOLE 12,945 0 1,189 MAXIM INTEGRATED COM 57772K101 1,663,925 24,492 SH SOLE 20,275 0 4,217 MBNA CORP COM 55262L100 3,333,174 122,882 SH SOLE 102,673 0 20,209 MCDONALDS CORP COM 580135101 601,312 18,256 SH SOLE 16,797 0 1,459 MEDTRONIC INC COM 585055106 3,436,365 68,986 SH SOLE 56,665 0 12,321 MERCK & CO INC COM 589331107 8,038,410 104,906 SH SOLE 86,053 0 18,853 MERRILL LYNCH COM 590188108 2,977,350 25,890 SH SOLE 21,646 0 4,244 MICROSOFT CORP COM 594918104 926,080 11,576 SH SOLE 10,788 0 788 MINNESOTA MNG & M COM 604059105 607,813 7,351 SH SOLE 6,657 0 694 MORGAN J.P. & CO COM 616880100 638,731 5,800 SH SOLE 5,293 0 507 NEXTEL COMMUN COM 65332V103 939,106 15,348 SH SOLE 11,792 0 3,556 NEXTLINK COMMUN COM 65333H707 642,510 16,936 SH SOLE 12,052 0 4,884 NOKIA CORP FRGN 654902204 250,312 5,000 SH SOLE 5,000 0 0 NORTEL NETWORKS COM 656568102 226,599 3,290 SH SOLE 2,690 0 600 NORTHERN TRUST COM 665859104 3,223,522 49,545 SH SOLE 41,157 0 8,388 NUVEEN INSD MUN PRFD 670984509 1,000,000 40 SH SOLE 30 0 10 NUVEEN MUN MKT PRFD 67062W400 250,000 10 SH SOLE 10 0 0 NUVEEN PERFORMANC PRFD 67062P504 500,000 20 SH SOLE 20 0 0 NUVEEN PERFORMANC PRFD 67062P207 250,000 10 SH SOLE 10 0 0 NUVEEN PREM INC M PRFD 67062T308 250,000 10 SH SOLE 10 0 0 NUVEEN QUALITY SE PRFD 670977503 500,000 20 SH SOLE 20 0 0 ORACLE SYS CORP COM 68389X105 440,487 5,240 SH SOLE 4,190 0 1,050 PACIFIC CENTURY FRGN Y6801N100 108,842 55,250 SH SOLE 55,250 0 0 PEPSICO INC COM 713448108 2,640,521 59,421 SH SOLE 42,979 0 16,442 PFIZER INC COM 717081103 2,673,734 55,703 SH SOLE 47,643 0 8,060 PHILIP MORRIS COS COM 718154107 2,508,519 94,438 SH SOLE 74,935 0 19,503 PILGRIM PRIME RAT COM 72146W103 281,868 31,760 SH SOLE 31,760 0 0 PRODUCTEXPRESS.CO COM 743052102 2,860 13,000 SH SOLE 0 0 13,000 RATIONAL SOFTWARE COM 75409P202 700,842 7,541 SH SOLE 5,367 0 2,174 RPM INC OHIO COM 749685103 265,275 26,200 SH SOLE 21,700 0 4,500 SAFEWAY INC COM 786514208 2,416,263 53,546 SH SOLE 43,997 0 9,549 SBC COMMUNICATION COM 78387G103 1,071,182 24,767 SH SOLE 18,689 0 6,078 SCHERING PLOUGH COM 806605101 318,200 6,301 SH SOLE 6,301 0 0 SCHLUMBERGER COM 806857108 685,505 9,186 SH SOLE 6,811 0 2,375 SCHWAB CHARLES COM 808513105 735,715 21,880 SH SOLE 15,513 0 6,367 SEARS ROEBUCK COM 812387108 354,732 10,873 SH SOLE 8,305 0 2,568 SIGMA ALDRICH COM 826552101 1,570,667 53,698 SH SOLE 47,303 0 6,395 SONOCO PRODUCTS COM 835495102 281,501 13,690 SH SOLE 10,720 0 2,970 SPRINT CORP COM 852061100 411,748 8,073 SH SOLE 7,291 0 782 SUN MICROSYSTEM COM 866810104 822,984 9,050 SH SOLE 8,850 0 200 TERADYNE INC COM 880770102 854,584 11,627 SH SOLE 9,429 0 2,198 TEXAS INSTRUMENTS COM 882508104 343,437 5,000 SH SOLE 4,080 0 920 TYCO INTL LTD NEW COM 902124106 835,505 17,636 SH SOLE 13,620 0 4,016 UNITED TECHNOLOG COM 913017109 1,115,078 18,940 SH SOLE 15,131 0 3,809 VALSPAR CORP COM COM 920355104 726,671 21,531 SH SOLE 13,876 0 7,655 VIACOM INC COM 925524308 5,492,912 80,556 SH SOLE 66,969 0 13,587 WAL MART STORES COM 931142103 7,662,788 134,288 SH SOLE 110,525 0 23,763 WALT DISNEY CO COM 254687106 718,833 18,521 SH SOLE 16,126 0 2,395 WELLS FARGO NEW COM 949746101 297,711 7,585 SH SOLE 5,197 0 2,388 WILLIAMS CO COM 969457100 576,121 13,820 SH SOLE 9,917 0 3,903 ZWEIG FD INC COM COM 989834106 220,000 22,000 SH SOLE 22,000 0 0 TOTAL 183,765,240
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