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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
FORM 8-K
CURRENT REPORT
Pursuant To Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 29, 2007
STIFEL FINANCIAL CORP.
Delaware |
1-9305 |
43-1273600 |
One Financial Plaza
501 North Broadway
St. Louis, Missouri 63102-2102
(Address of principal executive offices, including zip code)
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))
Page 1
Item 7.01 Regulation FD Disclosure
On November 29, 2007, Stifel Financial Corp. will give a presentation at the Fox-Pitt Kelton Financial Services Conference.
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 recently acquired companies; a material adverse change in the financial condition and 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; cha nges 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: Stifel Financial Corp.'s Presentation.
Page 2
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. (Registrant) |
|
Date: November 29, 2007 |
By: /s/ Ronald J. Kruszewski Name: Ronald J. Kruszewski |
Page 3
Exhibit Index
Exhibit No. |
Description |
|
99 |
|
Stifel Financial Corp.'s Presentation. |
Page 4
Fox-Pitt Kelton Financial Services Conference November 29, 2007 |
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 45% of the firm Strong financial performance; 2007 will mark 12 consecutive years of record net revenue Market Information Current Share Price $47.00 52 Week High/Low $63.00 - $37.00 Shares Outstanding (FD) 17.9 million Market Cap (FD) $860 million Book Value/Share $27.12 |
Diversified Business w/ Multiple Growth Channels Private Client Group Approximately 1,000 Financial Advisors in 152 offices throughout the United States Capital Markets Approx 400 associates in 20 U.S. offices and 3 offices in Europe. Full coverage of major domestic and European institutions Investment Banking Approximately 200 banking associates in 18 U.S. offices Banking Ability to offer lending products and services to existing private client customers. [pie chart & map of locations] |
Strong Financial Performance - Record Results |
Stifel Stock Performance as of 11/15/07 Number One Brokerage Stock (over the last 1, 3 and 5 Years) |
Key Pricing Metrics |
Award Winning Research Stifel is a leading "off Wall Street" equity research provider. Rankings: # 3 in WSJ's Best on the Street 2006 Analysts Survey # 1 batting average for firms with more than 32 qualifying analysts # 9 in the 2006 Forbes.com / StarMine Best Brokerage Analysts Survey |
Broad-Based Research Across Market Cap Spectrums |
Well Capitalized for Growth ($ in thousands) Total Assets $1,518,186 Stockholders' Equity $406,646 Debentures to: Stifel Financial Capital Trust II - LIBOR plus 1.70% (fixed at 6.38% until 9/30/10), due 9/30/35 $35,000 Stifel Financial Capital Trust III - LIBOR plus 1.85% (fixed at 6.79% until 6/6/12), due 6/6/37 $35,000 Stifel Financial Capital Trust IV - LIBOR plus 1.85% (fixed at 6.78% until 9/6/12), due 9/6/37 $35,000 Total Debentures (average 6.65% per annum) $105,000 Total Capitalization $511,646 Ratios: Equity to Assets 27% Capitalization to Assets 34% Debentures to Equity 26% NOTE: On November 28, 2007, Stifel Financial Corp. (the "Company") purchased $10.0 million par value of 6.78% Cumulative Trust Preferred Securities in an open market transaction for $6.25 million. The Cumulative Trust Preferred Securities were originally offered and sold in a $35.0 million private placement by Stifel Financial Capital Trust IV, a non-consolidated wholly-owned Delaware business trust subsidiary of the Company, on June 28, 2007. As a result of this repurchase, the Company expects to extinguish $10.0 million of its debenture to Stifel Financial Capital Trust IV in the fourth quarter and record an approximate $3.75 million gain before certain expenses and taxes. |