-----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, MY/tO1ECnyK3cmS4dNvcLT7iJptv9iSuSELqv1vdGNyHRWcyAg7efqKHA9OQwj76 SCvFeJLCSr+1/rgypbELEQ== 0000720672-04-000034.txt : 20040206 0000720672-04-000034.hdr.sgml : 20040206 20040206142935 ACCESSION NUMBER: 0000720672-04-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040205 FILED AS OF DATE: 20040206 ISSUER: 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 BUSINESS ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAER ROBERT J CENTRAL INDEX KEY: 0001208971 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 04573517 BUSINESS ADDRESS: STREET 1: ONE PREMIER DRIVE CITY: FENTON STATE: MO ZIP: 63026 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2004-02-05 0 0000720672 STIFEL FINANCIAL CORP SF 0001208971 BAER ROBERT J UNIGROUP INC ONE PREMIER DR FENTON MO 63026 1 0 0 0 Common Stock 2004-02-05 4 M 0 1000 14.55 A 2000 D Common Stock 2004-02-05 4 M 0 200 11.6 A 2200 D Stock Option (Option to Buy) 14.55 2004-02-05 4 M 0 1000 14.55 D 2012-05-09 Common Stock 1000 4000 D Stock Option (Option to Buy) 14.55 2004-02-05 4 M 0 200 11.6 D 2012-05-09 Common Stock 200 3800 D Phantom Stock Units 0 2002-05-01 2012-05-01 Common Stock 117 117 D Phantom Stock Units 0 2002-05-09 2012-05-09 Common Stock 69 69 D Phantom Stock Units 0 2002-06-01 2012-06-01 Common Stock 115 115 D Phantom Stock Units 0 2002-07-01 2012-07-01 Common Stock 124 124 D Phantom Stock Units 0 2002-08-01 2012-08-01 Common Stock 129 129 D Phantom Stock Units 0 2002-09-03 2012-09-03 Common Stock 121 121 D Phantom Stock Units 0 2002-10-01 2012-10-01 Common Stock 124 124 D Phantom Stock Units 0 2002-10-28 2012-10-28 Common Stock 82 82 D Phantom Stock Units 0 2002-11-01 2012-11-01 Common Stock 130 130 D Phantom Stock Units 0 2002-12-02 2012-12-02 Common Stock 133 133 D Phantom Stock Units 0 2003-01-02 2013-01-02 Common Stock 142 142 D Phantom Stock Units 0 2003-01-30 2013-01-30 Common Stock 86 86 D Phantom Stock Units 0 2003-02-03 2013-02-03 Common Stock 133 133 D Phantom Stock Units 0 2003-03-03 2013-03-03 Common Stock 131 131 D Phantom Stock Units 0 2003-04-01 2013-04-01 Common Stock 134 134 D Phantom Stock Units 0 2003-05-01 2013-05-01 Common Stock 129 129 D Phantom Stock Units 0 2003-05-12 2013-05-12 Common Stock 80 80 D Phantom Stock Units 0 2003-06-01 2013-06-01 Common Stock 125 125 D Phantom Stock Units 0 2003-07-01 2013-07-01 Common Stock 126 126 D Phantom Stock Units 0 2003-08-01 2013-08-01 Common Stock 128 128 D Phantom Stock Units 0 2003-08-06 2013-08-06 Common Stock 255 255 D Phantom Stock Units 0 2003-09-01 2013-09-01 Common Stock 121 121 D Phantom Stock Units 0 2003-10-01 2013-10-01 Common Stock 588 588 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 422 422 D Stock Option (Option to Buy) 11.6 2013-01-30 Common Stock 1000 1000 D Stock Options vest in 20% increments on 5/9/03, 5/9/04, 5/9/05, 5/9/06 and 5/9/07. Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08. By: Forrest M. Smith For: Robert J. Baer 2004-02-06 -----END PRIVACY-ENHANCED MESSAGE-----