-----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, Gf3wa0Ao82Tq0sTuNSfRcuSEfgzF2s41+kmKj83vi8DbA9sFxvzW2cR0KisUfDMC GmVU7dv8VfD4StfRpClYMQ== 0000720672-07-000111.txt : 20071001 0000720672-07-000111.hdr.sgml : 20071001 20071001155052 ACCESSION NUMBER: 0000720672-07-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070927 FILED AS OF DATE: 20071001 DATE AS OF CHANGE: 20071001 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: LEFTON ROBERT E CENTRAL INDEX KEY: 0001203726 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 071145832 MAIL ADDRESS: STREET 1: 61 LADUE ESTATES DRIVE CITY: ST LOUIS STATE: MO ZIP: 63141 4 1 edgardoc.xml PRIMARY DOCUMENT X0202 4 2007-09-27 0 0000720672 STIFEL FINANCIAL CORP SF 0001203726 LEFTON ROBERT E 61 LADUE ESTATES DRIVE ST. LOUIS MO 63141 1 0 0 0 Common Stock 2007-09-27 4 M 0 4340 8.1207 A 20361 D Common Stock 2007-09-27 4 F 0 608 57.91 D 19753 D Stock Option (Option to Buy) 2007-09-27 4 M 0 4340 0 D Common Stock 4340 2666 D Phantom Stock Units 0 2002-01-29 2012-01-29 Common Stock 128 128 D Phantom Stock Units 0 2002-05-09 2012-05-09 Common Stock 97 97 D Phantom Stock Units 0 2002-10-28 2012-10-28 Common Stock 199 199 D Phantom Stock Units 0 2003-01-30 2013-01-30 Common Stock 208 208 D Phantom Stock Units 0 2003-03-03 2013-03-03 Common Stock 541 541 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 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 425 425 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 863 863 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 618 618 D Phantom Stock Units 0 Common Stock 7807 7807 D Stock Option (Option to Buy) 7.8 2012-01-02 Common Stock 1333 1333 D Stock Option (Option to Buy) 8.7 2013-01-30 Common Stock 1333 1333 D Stock Option (Option to Buy) 13.89 2014-02-03 Common Stock 1333 1333 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 Various exercise prices. Currently exercisable. Various expiration dates. Units vest quarterly over a one year period. No expiration date for these Units. Options vest in 20% increments on 1/2/03, 1/2/04, 1/2/05, 1/2/06 and 1/2/07. Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08. 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 E. Lefton 2007-10-01 -----END PRIVACY-ENHANCED MESSAGE-----