-----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, JKD7g0AXV9d5dBAoSuJ773GIKu34Yic7R5chzG1aSKXXoZ4Qd5bj7cykLQoMD40h D/cXOXKDWnZYuh6P02UEEQ== 0000720672-06-000059.txt : 20060412 0000720672-06-000059.hdr.sgml : 20060412 20060412164325 ACCESSION NUMBER: 0000720672-06-000059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060411 FILED AS OF DATE: 20060412 DATE AS OF CHANGE: 20060412 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: 06756341 BUSINESS ADDRESS: 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 X0202 4 2006-04-11 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 522 LAKESHORE DRIVE ELKINS NH 03233 1 0 0 0 Common Stock 2006-04-11 4 M 0 1067 7.8 A 52794 D Common Stock 2006-04-11 4 M 0 801 8.7 A 53595 D Common Stock 2006-04-11 4 M 0 534 13.89 A 54129 D Common Stock 2006-04-11 4 M 0 200 20.22 A 54329 D Common Stock 2006-04-11 4 M 0 1333 7.9688 A 55662 D Common Stock 2006-04-11 4 M 0 1333 8.3438 A 56995 D Common Stock 6266 I by Spouse Stock Option (Option to Buy) 7.8 2006-04-11 4 M 0 1067 0 D 2012-01-02 Common Stock 1067 266 D Stock Option (Option to Buy) 8.7 2006-04-11 4 M 0 801 0 D 2013-01-30 Common Stock 801 532 D Stock Option (Option to Buy) 10.8276 2006-04-11 4 M 0 1333 0 D Common Stock 1333 1333 D Stock Option (Option to Buy) 10.8276 2006-04-11 4 M 0 1333 0 D Common Stock 1333 0 D Stock Option (Option to Buy) 13.89 2006-04-11 4 M 0 534 0 D 2014-02-03 Common Stock 534 799 D Stock Option (Option to Buy) 20.22 2006-04-11 4 M 0 200 0 D 2015-01-03 Common Stock 200 800 D Phantom Stock Units 0 2002-01-02 2012-01-02 Common Stock 200 200 D Phantom Stock Units 0 2002-01-29 2012-01-29 Common Stock 175 175 D Phantom Stock Units 0 2002-02-01 2012-02-01 Common Stock 181 181 D Phantom Stock Units 0 2002-03-01 2012-03-01 Common Stock 174 174 D Phantom Stock Units 0 2002-04-01 2012-04-01 Common Stock 163 163 D Phantom Stock Units 0 2002-05-01 2012-05-01 Common Stock 156 156 D Phantom Stock Units 0 2002-05-09 2012-05-09 Common Stock 166 166 D Phantom Stock Units 0 2002-06-01 2012-06-01 Common Stock 154 154 D Phantom Stock Units 0 2002-07-01 2012-07-01 Common Stock 165 165 D Phantom Stock Units 0 2002-07-23 2012-07-23 Common Stock 155 155 D Phantom Stock Units 0 2002-08-01 2012-08-01 Common Stock 172 172 D Phantom Stock Units 0 2002-09-03 2012-09-03 Common Stock 161 161 D Phantom Stock Units 0 2002-10-01 2012-10-01 Common Stock 165 165 D Phantom Stock Units 0 2002-10-28 2012-10-28 Common Stock 199 199 D Phantom Stock Units 0 2002-11-01 2012-11-01 Common Stock 174 174 D Phantom Stock Units 0 2002-12-02 2012-12-02 Common Stock 177 177 D Phantom Stock Units 0 2003-01-02 2013-01-02 Common Stock 189 189 D Phantom Stock Units 0 2003-01-30 2013-01-30 Common Stock 208 208 D Phantom Stock Units 0 2003-02-03 2013-02-03 Common Stock 177 177 D Phantom Stock Units 0 2003-03-03 2013-03-03 Common Stock 175 175 D Phantom Stock Units 0 2003-04-01 2013-04-01 Common Stock 179 179 D Phantom Stock Units 0 2003-05-01 2013-05-01 Common Stock 172 172 D Phantom Stock Units 0 2003-05-12 2013-05-12 Common Stock 195 195 D Phantom Stock Units 0 2013-06-01 2013-06-01 Common Stock 166 166 D Options vest in 20% increments on 1/2/03, 1/2/04, 1/2/05, 1/2/06 and 1/2/07. Currently exercisable. Options vest over time. Various expiration dates. Options vest in 20% increments yearly from the grant date. Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10. By: Forrest M. Smith For: James M. Oates 2006-04-12 -----END PRIVACY-ENHANCED MESSAGE-----