SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
BAER ROBERT J

(Last) (First) (Middle)
UNIGROUP INC
ONE PREMIER DR

(Street)
FENTON MO 63026

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
STIFEL FINANCIAL CORP [ SF ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/03/2005
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 4,265 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Option to Buy) $20.22 01/03/2005 A 1,000 (1) 01/03/2015 Common Stock 1,000 $0 1,000 D
Phantom Stock Units $0 05/01/2002 05/01/2012 Common Stock 156 156 D
Phantom Stock Units $0 05/09/2002 05/09/2012 Common Stock 92 92 D
Phantom Stock Units $0 06/01/2002 06/01/2012 Common Stock 154 154 D
Phantom Stock Units $0 07/01/2002 07/01/2012 Common Stock 165 165 D
Phantom Stock Units $0 08/01/2002 08/01/2012 Common Stock 172 172 D
Phantom Stock Units $0 09/03/2002 09/03/2012 Common Stock 161 161 D
Phantom Stock Units $0 10/01/2002 10/01/2012 Common Stock 165 165 D
Phantom Stock Units $0 10/28/2002 10/28/2012 Common Stock 109 109 D
Phantom Stock Units $0 11/01/2002 11/01/2012 Common Stock 174 174 D
Phantom Stock Units $0 12/02/2002 12/02/2012 Common Stock 177 177 D
Phantom Stock Units $0 01/02/2003 01/02/2013 Common Stock 189 189 D
Phantom Stock Units $0 01/30/2003 01/30/2013 Common Stock 115 115 D
Phantom Stock Units $0 02/03/2003 02/03/2013 Common Stock 177 177 D
Phantom Stock Units $0 03/03/2003 03/03/2013 Common Stock 175 175 D
Phantom Stock Units $0 04/01/2003 04/01/2013 Common Stock 179 179 D
Phantom Stock Units $0 05/01/2003 05/01/2013 Common Stock 172 172 D
Phantom Stock Units $0 05/12/2003 05/12/2013 Common Stock 106 106 D
Phantom Stock Units $0 06/01/2003 06/01/2013 Common Stock 166 166 D
Phantom Stock Units $0 07/01/2003 07/01/2013 Common Stock 168 168 D
Phantom Stock Units $0 08/01/2003 08/01/2013 Common Stock 171 171 D
Phantom Stock Units $0 08/06/2003 08/06/2013 Common Stock 340 340 D
Phantom Stock Units $0 09/01/2003 09/01/2013 Common Stock 161 161 D
Phantom Stock Units $0 10/01/2003 10/01/2013 Common Stock 785 785 D
Phantom Stock Units $0 01/01/2004 01/01/2014 Common Stock 562 562 D
Phantom Stock Units $0 04/01/2004(2) (3) Common Stock 2,255 2,255 D
Stock Option (Option to Buy) $8.7 (4) 01/30/2013 Common Stock 1,066 1,066 D
Stock Option (Option to Buy) $10.9125 (5) 05/09/2012 Common Stock 4,001 4,001 D
Stock Option (Option to Buy) $13.89 (6) 02/03/2014 Common Stock 1,333 1,333 D
Explanation of Responses:
1. Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10.
2. Units vest quarterly over a one year period.
3. No expiration date for these Units.
4. Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08.
5. Stock Options vest in 20% increments on 5/9/03, 5/9/04, 5/9/05, 5/9/06 and 5/9/07.
6. Options vest in 20% increments yearly from the grant date.
By: Forrest M. Smith For: Robert J. Baer 01/05/2005
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.