0000720672-13-000120.txt : 20131211 0000720672-13-000120.hdr.sgml : 20131211 20131211153809 ACCESSION NUMBER: 0000720672-13-000120 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131210 FILED AS OF DATE: 20131211 DATE AS OF CHANGE: 20131211 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: HANSER FREDERICK O CENTRAL INDEX KEY: 0001188881 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 131270935 MAIL ADDRESS: STREET 1: 250 STADIUM PLZ CITY: ST LOUIS STATE: MO ZIP: 63102 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-12-10 0 0000720672 STIFEL FINANCIAL CORP SF 0001188881 HANSER FREDERICK O 2 SALEM ESTATES ST LOUIS MO 63124 1 0 0 0 Common Stock 2013-12-10 4 M 0 2999 6.1733 A 36604 D Common Stock 2013-12-10 4 F 0 414 44.65 D 36190 D Common Stock 2013-12-10 4 S 0 5000 44.73 D 31190 D Stock Option (Option to Buy) 6.1733 2013-12-10 4 M 0 2999 0 D 2014-02-03 Common Stock 2999 0 D Phantom Stock Units 0 2004-04-01 Common Stock 21007 21007 D Stock Option (Option to Buy) 8.986 2015-01-03 Common Stock 2250 2250 D Stock Option (Option to Buy) 17 2016-01-03 Common Stock 2250 2250 D Options vest in 20% increments yearly from the grant date. Units vest quarterly over a one year period. No expiration date for these Units. 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: Frederick O. Hanser 2013-12-11