-----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, AZHKdCtoadZekA6035qxiTvxctZEMbM+B4Tgo+r8ZuSAD+jOhzpFPZ1/HWST0hHp FTXETyaXiKY2BWTqAMhokA== 0000720672-07-000072.txt : 20070530 0000720672-07-000072.hdr.sgml : 20070530 20070530162102 ACCESSION NUMBER: 0000720672-07-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070514 FILED AS OF DATE: 20070530 DATE AS OF CHANGE: 20070530 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: 07887703 BUSINESS ADDRESS: STREET 1: ONE PREMIER DRIVE CITY: FENTON STATE: MO ZIP: 63026 4 1 edgardoc.xml PRIMARY DOCUMENT X0202 4 2007-05-14 0 0000720672 STIFEL FINANCIAL CORP SF 0001208971 BAER ROBERT J UNIGROUP INC ONE PREMIER DR FENTON MO 63026 1 0 0 0 Common Stock 4799 D Phantom Stock Units 0 2007-05-14 4 A 0 1489 0 A Common Stock 1489 7347 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 92 92 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 2002-08-01 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 109 109 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 115 115 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 106 106 D Phantom Stock Units 0 2003-06-01 2013-06-01 Common Stock 166 166 D Phantom Stock Units 0 2003-07-01 2013-07-01 Common Stock 168 168 D Phantom Stock Units 0 2003-08-01 2013-08-01 Common Stock 171 171 D Phantom Stock Units 0 2003-08-06 2013-08-06 Common Stock 340 340 D Phantom Stock Units 0 2003-09-01 2013-09-01 Common Stock 161 161 D Phantom Stock Units 0 2003-10-01 2013-10-01 Common Stock 785 785 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 562 562 D Stock Option (Option to Buy) 8.7 2013-01-30 Common Stock 799 799 D Stock Option (Option to Buy) 10.9125 2012-05-09 Common Stock 4001 4001 D Stock Option (Option to Buy) 13.89 2014-02-03 Common Stock 1066 1066 D Stock Option (Option to Buy) 20.22 2015-01-03 Common Stock 1000 1000 D Stock Option (Option to Buy) 38.25 2016-01-03 Common Stock 1000 1000 D Units vest quarterly over a one year period. No expiration date for these Units. Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08. 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 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. Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11. By: Forrest M. Smith For: Robert J. Baer 2007-05-30 -----END PRIVACY-ENHANCED MESSAGE-----