-----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, PaQ3KBlzPvAK8CCS7CuBlX7IsXTv237WrSjFIhKJZpv4+gZTwxB7u8kzLcaQ9UMT pyGagL/9FVRgcrwxzZMASw== 0000720672-09-000012.txt : 20090121 0000720672-09-000012.hdr.sgml : 20090121 20090121121526 ACCESSION NUMBER: 0000720672-09-000012 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: LEFTON ROBERT E CENTRAL INDEX KEY: 0001203726 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 09536236 MAIL ADDRESS: STREET 1: 61 LADUE ESTATES DRIVE CITY: ST LOUIS STATE: MO ZIP: 63141 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 0001203726 LEFTON ROBERT E 61 LADUE ESTATES DRIVE ST. LOUIS MO 63141 1 0 0 0 Common Stock 2009-01-20 4 M 0 313 0 A 30582 D Common Stock 2009-01-20 4 M 0 650 0 A 31232 D Common Stock 2009-01-20 4 M 0 162 0 A 31394 D Common Stock 2009-01-20 4 M 0 269 0 A 31663 D Common Stock 2009-01-20 4 M 0 206 0 A 31869 D Common Stock 2009-01-20 4 M 0 53 0 A 31922 D Common Stock 2009-01-20 4 M 0 234 0 A 32156 D Common Stock 2009-01-20 4 M 0 59 0 A 32215 D Common Stock 2009-01-20 4 M 0 250 0 A 32465 D Common Stock 2009-01-20 4 M 0 253 0 A 32718 D Common Stock 2009-01-20 4 M 0 257 0 A 32975 D Common Stock 2009-01-20 4 M 0 510 0 A 33485 D Common Stock 2009-01-20 4 M 0 128 0 A 33613 D Common Stock 2009-01-20 4 M 0 242 0 A 33855 D Common Stock 2009-01-20 4 M 0 1287 0 A 35142 D Phantom Stock Units 0 2009-01-20 4 M 0 313 0 D 2003-01-30 2013-01-30 Common Stock 313 0 D Phantom Stock Units 0 2009-01-20 4 M 0 650 0 D 2003-03-03 2013-03-03 Common Stock 650 162 D Phantom Stock Units 0 2009-01-20 4 M 0 162 0 D 2003-03-03 2013-03-03 Common Stock 162 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 0 234 0 D 2003-05-12 2013-05-12 Common Stock 234 59 D Phantom Stock Units 0 2009-01-20 4 M 0 59 0 D 2003-05-12 2013-05-12 Common Stock 59 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 0 253 0 D 2003-07-01 2013-07-01 Common Stock 253 0 D Phantom Stock Units 0 2009-01-20 4 M 0 257 0 D 2003-08-01 2013-08-01 Common Stock 257 0 D Phantom Stock Units 0 2009-01-20 4 M 0 510 0 D 2003-08-06 2013-08-06 Common Stock 510 128 D Phantom Stock Units 0 2009-01-20 4 M 0 128 0 D 2003-08-06 2013-08-06 Common Stock 128 0 D Phantom Stock Units 0 2009-01-20 4 M 0 242 0 D 2003-09-01 2013-09-01 Common Stock 242 0 D Phantom Stock Units 0 2009-01-20 4 M 0 1287 0 D 2003-10-01 2013-10-01 Common Stock 1287 9 D Phantom Stock Units 0 2004-01-01 2014-01-01 Common Stock 928 928 D Phantom Stock Units 0 Common Stock 13962 13962 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 3999 3999 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. Currently exercisable. Various expiration dates. By: David M. Minnick For: Robert E. Lefton 2009-01-21 -----END PRIVACY-ENHANCED MESSAGE-----