0000720672-13-000105.txt : 20130918 0000720672-13-000105.hdr.sgml : 20130918 20130918153253 ACCESSION NUMBER: 0000720672-13-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130917 FILED AS OF DATE: 20130918 DATE AS OF CHANGE: 20130918 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: OATES JAMES M CENTRAL INDEX KEY: 0001180238 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 131103584 MAIL ADDRESS: STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP STREET 2: 200 CLARENDON ST CITY: BOSTON STATE: MA ZIP: 02116 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-09-17 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 2013-09-17 4 S 0 8000 42.51 D 38380 D Common Stock 573 I by Spouse Phantom Stock Units 0 Common Stock 32395 32395 D These Stock Units were issued as a result of a conversion of a deferred compensation plan into Stock Units. These Stock Units are fully vested and shall be payable after the termination of the respective director from service on the Board of Directors of Stifel Financial Corp. No expiration date for these Units. By: David M. Minnick For: James M. Oates 2013-09-18