-----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, HEGeSh3xMJ5aDM88tZDo5ryzWxXDD878QnH/RxPWBEu0IwJLC6QkBvBYciTjvv+Q uFEoobprzPXrObQ1Sy0ShQ== 0000720672-08-000077.txt : 20080908 0000720672-08-000077.hdr.sgml : 20080908 20080908172542 ACCESSION NUMBER: 0000720672-08-000077 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080908 ITEM INFORMATION: Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20080908 DATE AS OF CHANGE: 20080908 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 081061632 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 8-K 1 r8k20080908sullivan1.htm FORM 8-K DATED SEPTEMBER 8, 2008 UNITED STATES

 

 

 

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

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): September 8, 2008

STIFEL FINANCIAL CORP.

(Exact name of registrant as specified in its charter)

 

Delaware
(State of incorporation)

1-9305
(Commission File Number)

43-1273600
(IRS Employer
Identification No.)

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                                  

(Former name or former address, if changed since last report)

 

 

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):

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

 

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Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

On September 8, 2008, the Company announced that Joseph A. Sullivan, a Director of the Company and Executive Vice President of Fixed Income Capital Markets of Stifel Nicolaus & Company, Incorporated, a wholly owned subsidiary of the Company, had resigned to pursue other opportunities. There were no disagreements between the Company and Mr. Sullivan. Mr. Sullivan will remain with the Company for an interim period while the Company formalizes transition arrangements. A copy of the press release issued by the Company on September 8, 2008 announcing Mr. Sullivan's resignation is included as Exhibit 99.1.

 

 

Item 9.01 Financial Statements and Exhibits.

 

(d)

Exhibits. The following materials are filed as exhibits to this Current Report on Form 8-K:

 

 

 

 

 

 

Exhibit.

 

Exhibit Description

 

99.1

 

 

Press Release, dated September 8, 2008

 

 

 

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 8, 2008

By:

/s/James M. Zemlyak

 

Name:

James M. Zemlyak

 

Title:

Chief Financial Officer

 

 

 

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Exhibit Index

 

 

 

 

 

 

Exhibit.

 

Exhibit Description

 

99.1

 

 

Press Release, dated September 8, 2008

 

 

 

 

 

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EX-99.1 2 r8k20080908ex9911.htm PRESS RELEASE DATED SEPTEMBER 8, 2008 Microsoft Word - SF_Sullivan.doc

STIFEL FINANCIAL CORP.
Form 8-K Dated September 8, 2008
Exhibit 99.1: Press Release

[Stifel Financial Corp. logo] Stifel Financial News

One Financial Plaza
501 North Broadway
St. Louis, MO 63102
(314) 342-2000

 For further information contact:

            James M. Zemlyak, Chief Financial Officer

            (314) 342-2228 zemlyakj@stifel.com

For Immediate Release

SULLIVAN, HEAD OF FIXED INCOME AT
STIFEL NICOLAUS, TO REJOIN LEGG MASON

St. Louis, Missouri, September 8, 2008 - Stifel Financial Corp. (NYSE:SF) announced today that Joseph A. Sullivan, a Director of the firm and Head of Fixed Income Capital Markets for the company's principal subsidiary, Stifel, Nicolaus & Company, Incorporated, will resign these posts to become Chief Administrative Officer of Legg Mason, Inc.  Mr. Sullivan joined Stifel in December 2005 in connection with the company's acquisition of the Investment Banking, Research, Institutional Equity, and Fixed Income Capital Markets businesses of Legg Mason, Inc.

Ronald J. Kruszewski, Chairman and Chief Executive Officer of Stifel Financial Corp., said, "We very much appreciate Joe Sullivan's many contributions to Stifel during his tenure with us and wish him well in his new role.  He has taken the lead in building a strong Fixed Income Capital Markets platform for us, and we look forward to continuing to grow that business on the foundation he established.  Joe will remain with us for an interim period while we formalize transition arrangements."

"I am very excited about the opportunities before me at Legg Mason and am very proud of the accomplishments of Fixed Income Capital Markets at Stifel Nicolaus," said Sullivan.  "While it is difficult to leave Stifel, a firm with a great culture and a distinguished record of high performance, and the fine colleagues of mine, many with whom I have worked for more than 10 years, I do so with great confidence in the continued future growth and success of fixed income at Stifel and of the firm overall." 

Stifel Financial Corp. operates 187 offices in 34 states and the District of Columbia through its principal subsidiary, Stifel, Nicolaus & Company, Incorporated, and 3 European offices through Stifel Nicolaus Limited.  Stifel Nicolaus provides securities brokerage, investment banking, trading, investment advisory, and related financial services, primarily, to individual investors, professional money managers, businesses, and municipalities.  Stifel Financial Corp. is listed on the New York Stock Exchange under the symbol "SF."  To learn more about Stifel, please visit the Company's web site at www.stifel.com.

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