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UNITED STATES FORM 8-K CURRENT REPORT Date of Report (Date
of earliest event reported): September 4, 2007 STIFEL FINANCIAL CORP. Delaware 1-9305 43-1273600 Registrant's telephone number,
including area code (314) 342-2000 ___________________________N/A___________________________ Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligation of the
registrant under any of the following provisions (see General Instruction A.2.
below): [
] Written communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425) [
] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12) [
] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b)) [ ] Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c)) Item 7.01 Regulation FD
Disclosure On September 5, 2007, Stifel
Financial Corp. will give an investor presentation. The
information in this Item 7.01 and the exhibit attached hereto will not be
deemed to be "filed" for the purposes of Section 18 of the Securities
Exchange Act of 1934 (the "Exchange Act"), or otherwise subject to
the liabilities of such section, nor will such information or exhibit be deemed
incorporated by reference in any filing under the Securities Act of 1933 or the
Exchange Act, except as may be expressly set forth by specific reference in
such filing. CAUTIONARY STATEMENT CONCERNING FORWARD-LOOKING
STATEMENTS This
Current Report on Form 8-K and the exhibit hereto contain comments and
information that constitute "forward-looking statements" (within the meaning of
the Private Securities Litigation Reform Act of 1995). The forward-looking
statements in this Current Report on Form 8-K are subject to risks and
uncertainties that could cause actual results to differ materially from those
expressed in or implied by the statements. Factors that may cause actual
results to differ materially from those contemplated by such forward-looking
statements include, among other things, the following possibilities: the
ability to successfully integrate the companies; a material adverse change in
the financial condition, results of operations; the risk of borrower, depositor
and other customer attrition; a change in general business and economic
conditions; changes in the interest rate environment, deposit flows, loan
demand, real estate values, and competition; changes in accounting principles,
policies or guidelines; changes in legislation and regulation; other economic,
competitive, governmental, regulatory, geopolitical, and technological factors
affecting the companies' operations, pricing, and services; and other risk
factors referred to from time to time in filings made by Stifel Financial Corp.
with the Securities and Exchange Commission. Forward-looking statements speak
only as to the date they are made. Stifel Financial Corp. does not undertake
to update forward-looking statements to reflect circumstances or events that
occur after the date the forward-looking statements are made. Stifel Financial
Corp. disclaims any intent or obligation to update these forward-looking
statements. Items 9.01 Financial
Statements and Exhibits. (c) Exhibit: Exhibit 99.1: Stifel Financial Corp.'s Investor
Presentation. SIGNATURE Pursuant to the
requirements of the Securities Exchange Act of 1934, the registrant has duly
caused this report to be signed on its behalf by the undersigned hereunto duly
authorized. STIFEL FINANCIAL
CORP. Date: September
4, 2007 By: /s/ Ronald J. Kruszewski Exhibit Index Description 99.1 Stifel
Financial Corp.'s Investor Presentation.
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Pursuant To Section 13 OR 15(d) of The Securities Exchange Act of 1934
(Exact name of
registrant as specified in its charter)
(State
of incorporation)
(Commission
File Number)
(IRS
Employer
Identification No.)One Financial Plaza
501 North Broadway
St. Louis, Missouri 63102-2102
(Address of principal executive offices,
including zip code)
(Former name or former address, if changed since last report)
Exhibit No.
Investor Presentation
September 5, 2007
Forward looking statement This presentation may contain "forward-looking statements" that involve risks and uncertainties, including statements relating to the market opportunity and future business prospects of Stifel Financial Corp. and Stifel Nicolaus ("SF" or the "Company"). Actual results may differ materially and reported results should not be considered as an indication of future performance. Factors that could cause actual results to differ are included in the Company's Annual and Quarterly Reports and from time to time in other reports filed by the Company with the Securities and Exchange Commission. To supplement our financial statements presented in accordance with GAAP, the management uses certain non-GAAP measures of financial performance and liquidity. These non-GAAP measures are in addition to results prepared by the Company in accordance with GAAP, and should only be considered together with the Company's GAAP results. Certain statements in the following presentation relate to future results that are forward-looking statements as defined in the Private Securities Litigation Reform Act of 1995. |
Stifel Profile General Parent Company: Stifel Financial Corp. (NYSE:SF) Nearly 3,000 associates in 170 offices U.S. and Europe Management and associates own in excess of 46% of the firm Strong financial performance; 11 years of record net revenue Market Information Current Share Price $60.00 52 Week High/Low $62.04 - $31.26 Shares Outstanding 14.9 million Market Cap $900 million Book Value/Share $26.04 |
Stifel History Founded in St. Louis in 1890 Strong track record in 20's - 50's as an innovative underwriter Led numerous significant financings Mackinac Bridge & O'Hare Airport NYSE Member firm 1958 Seven successful acquisitions from 60's - 90's. IPO NYSE 1983 Symbol - SF |
Stifel Nicolaus Today Highly Regarded Private Client Group Manages $55 billion in Client Assets Broad Institutional Equity and Fixed Income origination and distribution capabilities Market-recognized fixed income expertise One of the largest domestic Equity Research franchises off Wall Street Extensive Investment Banking platform Approximately 3,000 employees in 170 offices in the US and Europe Private Client Group Over 1,100 Investment Executives in 140 offices throughout the United States Institutional Sales and Trading More than 260 professionals in 16 U.S. offices and 3 offices in Europe. Full coverage of major domestic and European institutions Investment Banking Over 165 banking professionals in 15 U.S. offices |
Growing Brokerage Position |
Estimated Ownership Profile |
Strong Relative Performance Versus Industry 2000 vs 2006 5 Year Versus Peers |
Record Results |
Demonstrated Steady Growth |
Stifel Stock Performance as of 8/9/07 Number One Brokerage Stock (YTD & over the last 3 and 5 Years) |
Stifel's Values Drive Growth |
Excellent Platform Drives Growth Unmatched Client Support Best Technology in Industry |
Private Client Group |
Equity Capital Markets 2006 Combined Investment Banking Highlights Advised on 51 M&A Transactions for total consideration of $11.8 billion Completed 24 private placements raising $946 million Served as manager or co-manager in 61 public offerings raising $10.4 billion Award winning research 6 StarMine Stock picking and estimate accuracy awards 8 Wall Street Journal Awards Four #1s and Four other awards |
Leading Capital Markets Platform One of the Largest Full-Service Investment Banks Off Wall Street Investment Banking Approximately 140 investment banking professionals covering ten industry groups and two product groups Equity Research 149 research professionals Covering nine industry sectors and 38 sub-sectors 710 companies under coverage Equity Trading 42-person Equity Trading Team Market making in over 760 equity issues Syndicate 9 professionals Marketing, distribution, pricing and stabilization of underwritings Institutional Equity Sales & Trading 89-person Equity Sales and Trading Team Approx. 1,058 active institutional accounts |
We are a Top Ten Research House US Research Marketplace (measured by US stocks under coverage) |
Providing Award Winning Research By Industry Business & Consumer Services Financial Institutions Healthcare Real Estate Technology Telecommunications & Media Transportation Industrial Closed End Funds By Market Cap |
Fixed Income Capital Markets Net Revenues $53.6 million up 195% from prior year During year involved in 156 offerings as sole, senior, or co-manager Nine Dedicated Fixed Income Industry Groups: General Obligation/ Revenue Bonds TIF/TDD Development financing Public Transportation Not-for-profit 503C(3) Orgs School Districts Healthcare Higher and Secondary Schools Special Project Financing Affordable And Senior Housing |