0000720672-13-000104.txt : 20130912 0000720672-13-000104.hdr.sgml : 20130912 20130912170455 ACCESSION NUMBER: 0000720672-13-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130910 FILED AS OF DATE: 20130912 DATE AS OF CHANGE: 20130912 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MULROY THOMAS P CENTRAL INDEX KEY: 0001206666 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 131094689 MAIL ADDRESS: STREET 1: STIFEL NICOLAUS STREET 2: ONE SOUTH STREET CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-09-10 0 0000720672 STIFEL FINANCIAL CORP SF 0001206666 MULROY THOMAS P 200 GARRISON FOREST ROAD OWINGS MILLS MD 21117-4110 1 1 0 0 Director Common Stock 2013-09-10 4 S 0 12000 42.85 D 242769 D Common Stock 2013-09-11 4 S 0 5000 43.1 D 237769 D Phantom Stock Units 0 Common Stock 171015 171015 D This transaction was executed in multiple trades at prices ranging from $42.81 to $42.87. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance. No expiration date for these Units. THOMAS MULROY 2013-09-12