0000720672-13-000052.txt : 20130318 0000720672-13-000052.hdr.sgml : 20130318 20130318141953 ACCESSION NUMBER: 0000720672-13-000052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120606 FILED AS OF DATE: 20130318 DATE AS OF CHANGE: 20130318 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: 13697129 MAIL ADDRESS: STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP STREET 2: 200 CLARENDON ST CITY: BOSTON STATE: MA ZIP: 02116 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 X0306 4 2012-06-06 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 534 LAKE SHORE ROAD P.O. BOX 250 ELKINS NH 03233 1 0 0 0 Common Stock 46380 D Common Stock 573 I by Spouse Phantom Stock Units 0 2012-06-06 4 A 0 4246 0 A Common Stock 4246 23320 D Units vest quarterly over a one year period. No expiration date for these Units. By: David M. Minnick For: James M. Oates 2013-03-18