-----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, VH9o3PNHYlSwD2CBEqDuoVLvrDOG4K1+kO79PH9zftGcpCwtcNbeDgj+URYtQUfF OOsifBHsO6+2zpWvsNszTQ== 0000720672-09-000011.txt : 20090121 0000720672-09-000011.hdr.sgml : 20090121 20090121121509 ACCESSION NUMBER: 0000720672-09-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090120 FILED AS OF DATE: 20090121 DATE AS OF CHANGE: 20090121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DILL CHARLES A CENTRAL INDEX KEY: 0001203680 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 09536234 BUSINESS ADDRESS: BUSINESS PHONE: 314-721-5707 MAIL ADDRESS: STREET 1: TWO RIVERS ASSOCIATES STREET 2: 8000 MARYLAND AVENUE, SUITE 330 CITY: ST LOUIS STATE: MO ZIP: 63105 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0303 4 2009-01-20 0 0000720672 STIFEL FINANCIAL CORP SF 0001203680 DILL CHARLES A GATEWAY ASSOCIATES 8000 MARYLAND AVE., SUITE 1190 ST. LOUIS MO 63105 1 0 0 0 Common Stock 2009-01-20 4 M 0 262 0 A 19266 D Common Stock 2009-01-20 4 M 0 266 0 A 19532 D Common Stock 2009-01-20 4 M 0 284 0 A 19816 D Common Stock 2009-01-20 4 M 0 138 0 A 19954 D Common Stock 2009-01-20 4 M 0 35 0 A 19989 D Common Stock 2009-01-20 4 M 0 212 0 A 20201 D Common Stock 2009-01-20 4 M 0 54 0 A 20255 D Common Stock 2009-01-20 4 M 0 263 0 A 20518 D Common Stock 2009-01-20 4 M 0 269 0 A 20787 D Common Stock 2009-01-20 4 M 0 206 0 A 20993 D Common Stock 2009-01-20 4 M 0 53 0 A 21046 D Common Stock 2009-01-20 4 M 0 160 0 A 21206 D Common Stock 2009-01-20 4 M 0 250 0 A 21456 D Common Stock 2009-01-20 4 M 0 203 0 A 21659 D Common Stock 2009-01-20 4 M 0 50 0 A 21709 D Common Stock 2009-01-20 4 M 0 510 0 A 22219 D Common Stock 2009-01-20 4 M 0 194 0 A 22413 D Common Stock 2009-01-20 4 M 0 48 0 A 22461 D Common Stock 2009-01-20 4 M 0 1179 0 A 23640 D Common Stock 2009-01-20 4 M 0 237 0 A 23877 D Phantom Stock Units 0 2009-01-20 4 M 0 262 0 D 2002-11-01 2012-11-01 Common Stock 262 0 D Phantom Stock Units 0 2009-01-20 4 M 0 266 0 D 2002-12-02 2012-12-02 Common Stock 266 0 D Phantom Stock Units 0 2009-01-20 4 M 0 284 0 D 2003-01-02 2013-01-02 Common Stock 284 0 D Phantom Stock Units 0 2009-01-20 4 M 0 138 0 D 2003-01-30 2013-01-30 Common Stock 138 35 D Phantom Stock Units 0 2009-01-20 4 M 0 35 0 D 2003-01-30 2013-01-30 Common Stock 35 0 D Phantom Stock Units 0 2009-01-20 4 M 0 212 0 D 2003-02-03 2013-02-03 Common Stock 212 54 D Phantom Stock Units 0 2009-01-20 4 M 0 54 0 D 2003-02-03 2013-02-03 Common Stock 54 0 D Phantom Stock Units 0 2009-01-20 4 M 0 263 0 D 2003-03-03 2013-03-03 Common Stock 263 0 D Phantom Stock Units 0 2009-01-20 4 M 0 269 0 D 2003-04-01 2013-04-01 Common Stock 269 0 D Phantom Stock Units 0 2009-01-20 4 M 0 206 0 D 2003-05-01 2013-05-01 Common Stock 206 53 D Phantom Stock Units 0 2009-01-20 4 M 0 53 0 D 2003-05-01 2013-05-01 Common Stock 53 0 D Phantom Stock Units 0 2009-01-20 4 M 0 160 0 D 2003-05-12 2013-05-12 Common Stock 160 0 D Phantom Stock Units 0 2009-01-20 4 M 0 250 0 D 2003-06-01 2013-06-01 Common Stock 250 0 D Phantom Stock Units 0 2009-01-20 4 M 0 203 0 D 2003-07-01 2013-07-01 Common Stock 203 50 D Phantom Stock Units 0 2009-01-20 4 M 0 50 0 D 2003-07-01 2013-07-01 Common Stock 50 0 D Phantom Stock Units 0 2009-01-20 4 M 0 510 0 D 2003-08-06 2013-08-06 Common Stock 510 0 D Phantom Stock Units 0 2009-01-20 4 M 0 194 0 D 2003-09-01 2013-09-01 Common Stock 194 48 D Phantom Stock Units 0 2009-01-20 4 M 0 48 0 D 2003-09-01 2013-09-01 Common Stock 48 0 D Phantom Stock Units 0 2009-01-20 4 M 0 1179 0 D 2003-10-01 2013-10-01 Common Stock 1179 0 D Phantom Stock Units 0 2009-01-20 4 M 0 237 0 D 2004-01-01 2014-01-01 Common Stock 237 607 D Phantom Stock Units 0 Common Stock 13003 13003 D Stock Option (Option to Buy) 7.8 2012-01-02 Common Stock 2000 2000 D Stock Option (Option to Buy) 8.7 2013-01-30 Common Stock 2000 2000 D Stock Option (Option to Buy) 13.89 2014-02-03 Common Stock 2000 2000 D Stock Option (Option to Buy) 20.22 2015-01-03 Common Stock 1500 1500 D Stock Option (Option to Buy) 38.25 2016-01-03 Common Stock 1500 1500 D Stock Option (Option to Buy) Common Stock 3998 3998 D 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. Various exercise prices. Options vest over time. Various expiration dates. By: David M. Minnick For: Charles A. Dill 2009-01-21 -----END PRIVACY-ENHANCED MESSAGE-----