-----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, Ek9U2KK3EWGhzy8qzGkxg07Sqg1v0pbX3mv/J/LuiQ4vSYTKVuLQfPOUc2BbKkhA rUo/cqRkqDPrJFZiOf22OA== 0000720672-08-000030.txt : 20080213 0000720672-08-000030.hdr.sgml : 20080213 20080213142018 ACCESSION NUMBER: 0000720672-08-000030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080212 FILED AS OF DATE: 20080213 DATE AS OF CHANGE: 20080213 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: 08603563 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 2008-02-12 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 522 LAKESHORE DRIVE ELKINS NH 03233 1 0 0 0 Common Stock 2008-02-12 4 M 0 266 13.89 A 64135 D Common Stock 2008-02-12 4 M 0 200 20.22 A 64335 D Common Stock 2008-02-12 4 M 0 266 8.7 A 64601 D Common Stock 2008-02-12 4 W 0 255 0 A 6521 I by Spouse Stock Option (Option to Buy) 8.7 2008-02-12 4 M 0 266 0 D 2013-01-30 Common Stock 266 0 D Stock Option (Option to Buy) 13.89 2008-02-12 4 M 0 266 0 D 2014-02-03 Common Stock 266 266 D Stock Option (Option to Buy) 20.22 2008-02-12 4 M 0 200 0 D 2015-01-03 Common Stock 200 400 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 208 208 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 195 195 D Phantom Stock Units 0 2013-06-01 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 7915 7915 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. Units vest quarterly over a one year period. No expiration date for these Units. 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 2008-02-13 -----END PRIVACY-ENHANCED MESSAGE-----