-----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, O+RNE0QdHkoDn3yDRFXQKTPy758DGLUaafD8kfo7QBFrZe5Gka0clfGcCyeJUXWP iJhPxKC5ncAuwSld8F3/4w== 0000720672-07-000080.txt : 20070530 0000720672-07-000080.hdr.sgml : 20070530 20070530162340 ACCESSION NUMBER: 0000720672-07-000080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070530 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: OATES JAMES M CENTRAL INDEX KEY: 0001180238 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 07887731 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 2007-05-30 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 522 LAKESHORE DRIVE ELKINS NH 03233 1 0 0 0 Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 618 618 D Stock Option (Option to Buy) 8.7 2013-01-30 Common Stock 266 266 D Stock Option (Option to Buy) 13.89 2014-02-03 Common Stock 532 532 D Stock Option (Option to Buy) 20.22 2015-01-03 Common Stock 600 600 D Stock Option (Option to Buy) 38.25 2016-01-03 Common Stock 800 800 D Currently exercisable. 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: James M. Oates 2007-05-30 -----END PRIVACY-ENHANCED MESSAGE-----