-----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, MVPWR4Vvg68NxnNEyjnaild6PmMTKF7QQkSkJ8jDEPka54uUtbLDm9BOItqcgYhX nqSFY15QSznsWKwn9Kpxqg== 0000720672-04-000064.txt : 20040402 0000720672-04-000064.hdr.sgml : 20040402 20040402152443 ACCESSION NUMBER: 0000720672-04-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040401 FILED AS OF DATE: 20040402 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: OATES JAMES M CENTRAL INDEX KEY: 0001180238 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 04713646 BUSINESS ADDRESS: STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP STREET 2: 200 CLARENDON ST CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6179376015 MAIL ADDRESS: STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP STREET 2: 200 CLARENDON ST CITY: BOSTON STATE: MA ZIP: 02116 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2004-04-01 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 522 LAKESHORE DRIVE ELKINS NH 03233 1 0 0 0 Phantom Stock Units 0 2003-08-06 2013-08-06 Common Stock 319 319 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 647 647 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 464 464 D Stock Option (Option to Buy) 10.4 2012-01-02 Common Stock 1000 1000 D Stock Option (Option to Buy) 10.8276 Common Stock 2000 2000 D Stock Option (Option to Buy) 11.6 2013-01-30 Common Stock 1000 1000 D Stock Option (Option to Buy) 22.55 2014-02-03 Common Stock 1000 1000 D Options vest in 20% increments on 1/2/03, 1/2/04, 1/2/05, 1/2/06 and 1/2/07. Options vest over time. Various expiration dates. Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08. Options vest in 20% increments yearly from the grant date. By: Forrest M. Smith For: James M. Oates 2004-04-02 -----END PRIVACY-ENHANCED MESSAGE-----