-----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, AXalE9t8WhFLsthAvGMdTjFj6cdUWyvAg/Q8mb5YTubEDepyQP742JBLKRXuU9vA q2CtDGtx3GcuigjY+M9xnw== 0000720672-09-000014.txt : 20090121 0000720672-09-000014.hdr.sgml : 20090121 20090121121600 ACCESSION NUMBER: 0000720672-09-000014 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: BAER ROBERT J CENTRAL INDEX KEY: 0001208971 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 09536240 BUSINESS ADDRESS: STREET 1: ONE PREMIER DRIVE CITY: FENTON STATE: MO ZIP: 63026 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 0001208971 BAER ROBERT J UNIGROUP INC ONE PREMIER DR FENTON MO 63026 1 0 0 0 Common Stock 2009-01-20 4 M 0 283 0 A 9764 D Common Stock 2009-01-20 4 M 0 172 0 A 9936 D Common Stock 2009-01-20 4 M 0 211 0 A 10147 D Common Stock 2009-01-20 4 M 0 54 0 A 10201 D Common Stock 2009-01-20 4 M 0 262 0 A 10463 D Common Stock 2009-01-20 4 M 0 268 0 A 10731 D Common Stock 2009-01-20 4 M 0 257 0 A 10988 D Common Stock 2009-01-20 4 M 0 158 0 A 11146 D Common Stock 2009-01-20 4 M 0 248 0 A 11394 D Common Stock 2009-01-20 4 M 0 251 0 A 11645 D Common Stock 2009-01-20 4 M 0 256 0 A 11901 D Common Stock 2009-01-20 4 M 0 408 0 A 12309 D Common Stock 2009-01-20 4 M 0 102 0 A 12411 D Common Stock 2009-01-20 4 M 0 193 0 A 12604 D Common Stock 2009-01-20 4 M 0 48 0 A 12652 D Common Stock 2009-01-20 4 M 0 1034 0 A 13686 D Common Stock 2009-01-20 4 M 0 151 0 A 13837 D Phantom Stock Units 0 2009-01-20 4 M 0 283 0 D 2003-01-02 2013-01-02 Common Stock 283 0 D Phantom Stock Units 0 2009-01-20 4 M 0 172 0 D 2003-01-30 2013-01-30 Common Stock 172 0 D Phantom Stock Units 0 2009-01-20 4 M 0 211 0 D 2003-02-03 2013-02-03 Common Stock 211 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 0 262 0 D 2003-03-03 2013-03-03 Common Stock 262 0 D Phantom Stock Units 0 2009-01-20 4 M 0 268 0 D 2003-04-01 2013-04-01 Common Stock 268 0 D Phantom Stock Units 0 2009-01-20 4 M 0 257 0 D 2003-05-01 2013-05-01 Common Stock 257 0 D Phantom Stock Units 0 2009-01-20 4 M 0 158 0 D 2003-05-12 2013-05-12 Common Stock 158 0 D Phantom Stock Units 0 2009-01-20 4 M 0 248 0 D 2003-06-01 2013-06-01 Common Stock 248 0 D Phantom Stock Units 0 2009-01-20 4 M 0 251 0 D 2003-07-01 2013-07-01 Common Stock 251 0 D Phantom Stock Units 0 2009-01-20 4 M 0 256 0 D 2003-08-01 2013-08-01 Common Stock 256 0 D Phantom Stock Units 0 2009-01-20 4 M 0 408 0 D 2003-08-06 2013-08-06 Common Stock 408 102 D Phantom Stock Units 0 2009-01-20 4 M 0 102 0 D 2003-08-06 2013-08-06 Common Stock 102 0 D Phantom Stock Units 0 2009-01-20 4 M 0 193 0 D 2003-09-01 2013-09-01 Common Stock 193 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 1034 0 D 2003-10-01 2013-10-01 Common Stock 1034 142 D Phantom Stock Units 0 2009-01-20 4 M 0 151 0 D 2004-01-01 2014-01-01 Common Stock 151 691 D Phantom Stock Units 0 2004-04-01 Common Stock 13268 13268 D Stock Option (Option to Buy) 8.7 2013-01-30 Common Stock 1199 1199 D Stock Option (Option to Buy) 10.9125 2012-05-09 Common Stock 2701 2701 D Stock Option (Option to Buy) 13.89 2014-02-03 Common Stock 1599 1599 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 Units vest quarterly over a one year period. No expiration date for these Units. Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08. Stock Options vest in 20% increments on 5/9/03, 5/9/04, 5/9/05, 5/9/06 and 5/9/07. 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. By: David M. Minnick For: Robert J. Baer 2009-01-21 -----END PRIVACY-ENHANCED MESSAGE-----