-----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, S0Y0qCu5KaHgUzlpSU3wOA9zLxLStleveKYTHg4ApSca9Y/6nn3teo91Q2jyNrbs 4aLImQz1YaRUa0CTE4Ee8A== 0000720672-99-000032.txt : 19991103 0000720672-99-000032.hdr.sgml : 19991103 ACCESSION NUMBER: 0000720672-99-000032 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991102 FILER: 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 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04621 FILM NUMBER: 99739171 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 501 N BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 13F-HR 1 FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 1999 Check here if Amendment [ ]; Amendment Number: This Amendment (Check Only One): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Stifel, Nicolaus & Company, Incorporated Address: One Financial Plaza, 501 N. Broadway St. Louis, Missouri 63102 13F File Number: 28-6972 The institutional investment manager filing this report & the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items,statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Thomas Mueth Title: VP & Manager of Consulting Services Phone: (314) 342-2829 Signature, Place, and Date of Signing: Thomas Mueth St. Louis, Missouri November 2, 1999 Report Type: (Check only one): [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. STIFEL NICOLAUS & CO., INC. PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 09/30/99 CLASS VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE - ------------------------------ ------- --------- -------- -------- --- ---- ------- ------- ------ -------- -------- A T & T CORP COM 001957109 600 13792 SH SOLE 12892 0 900 ABBOTT LABS COM 002824100 3541 96514 SH SOLE 77413 0 19101 AER ENERGY RES INC COM 000944108 20 53809 SH SOLE 50809 0 3000 AFLAC INC COM 001055102 441 10523 SH SOLE 7730 0 2793 ALLIED SIGNAL INC COM 019512102 1305 21768 SH SOLE 18543 0 3225 AMERICA ONLINE INC COM 02364J104 683 6560 SH SOLE 6260 0 300 AMERICAN EXPRESS CO COM 025816109 738 5464 SH SOLE 4764 0 700 AMERICAN HOME PRODS CORP COM 026609107 805 19402 SH SOLE 14100 0 5302 AMERICAN INTL GROUP INC COM 026874107 3062 35224 SH SOLE 27730 0 7494 AMGEN INC COM 031162100 285 3500 SH SOLE 3500 0 0 ANHEUSER BUSCH COS INC COM 035229103 455 6500 SH SOLE 6500 0 0 APPLE COMPUTER INC COM 037833100 697 11013 SH SOLE 7963 0 3050 APPLIED MATLS INC COM 038222105 249 3200 SH SOLE 3200 0 0 ASSOCIATES FIRST CAP CORP CL A COM 046008108 563 15646 SH SOLE 12354 0 3292 AT&T CORP LIBERTY MEDIA CL A COM 001957208 490 13131 SH SOLE 9356 0 3775 AUTOMATIC DATA PROCESSING COM 053015103 2819 63174 SH SOLE 50256 0 12918 BANK AMERICA CORP COM 060505104 1969 35354 SH SOLE 26917 0 8437 BANK ONE CORP COM 06423A103 309 8874 SH SOLE 5144 0 3730 BOEING CO COM 097023105 871 20433 SH SOLE 17817 0 2616 BRISTOL MYERS SQUIBB CO COM 110122108 1382 20480 SH SOLE 20100 0 380 CARNIVAL CRUISE LINE INC CL A COM 143658102 434 9971 SH SOLE 7210 0 2761 CATERPILLAR INC COM 149123101 2563 46768 SH SOLE 37308 0 9460 CBS CORPORATION COM 12490K107 3690 79784 SH SOLE 65640 0 14144 CHEVRON CORP COM COM 166751107 1427 16074 SH SOLE 13959 0 2115 CISCO SYS INC COM 17275R102 15580 227245 SH SOLE 180035 0 47210 CITIGROUP INC. COM 172967101 4285 97397 SH SOLE 78792 0 18605 CLEAR CHANNEL COMMUNICATIONS COM 184502102 636 7963 SH SOLE 5959 0 2004 COCA COLA CO COM 191216100 569 11798 SH SOLE 10129 0 1669 C-CUBE MICROSYSTEMS INC COM COM 125015107 648 14900 SH SOLE 8600 0 6300 D & K HEALTHCARE RES INC COM COM 232861104 435 18600 SH SOLE 8500 0 10100 DELL COMPUTER CORP COM 247025109 3016 72140 SH SOLE 58669 0 13471 DEPARTMENT 56 INC COM 249509100 263 11000 SH SOLE 9600 0 1400 DOVER CORP COM 260003108 439 10743 SH SOLE 7752 0 2991 DU PONT E I DE NEMOURS CO COM 263534109 2716 44898 SH SOLE 35235 0 9663 EASTMAN KODAK COM 277461109 574 7585 SH SOLE 6171 0 1414 EMERSON ELEC CO COM 291011104 526 8320 SH SOLE 7560 0 760 ENRON CORP COM 293561106 515 12549 SH SOLE 9177 0 3372 EXXON CORP COM 302290101 821 10809 SH SOLE 10019 0 790 FED HOME LN MTG COM 313400301 1752 33697 SH SOLE 27329 0 6368 FEDERAL NAT MORTGAGE ASSN VOTI COM 313586109 2135 34063 SH SOLE 23580 0 10483 FIRST DATA CORP COM 319963104 576 13127 SH SOLE 9394 0 3733 FIRSTAR CORP NEW WIS COM COM 33763V109 272 10600 SH SOLE 10060 0 540 FORD MOTOR COM 345370100 399 7943 SH SOLE 7678 0 265 FRANKLIN RES INC COM 354613101 423 13828 SH SOLE 10054 0 3774 GENERAL ELEC CO COM 369604103 7086 59764 SH SOLE 47106 0 12658 GENERAL MTRS CORP COM 370442105 1009 16029 SH SOLE 11946 0 4083 GILLETTE CO COM 375766102 1540 45372 SH SOLE 37199 0 8173 GOODYEAR TIRE & RUBR CO COM 382550101 1536 31921 SH SOLE 23936 0 7985 HEWLETT PACKARD CO COM 428236103 797 8784 SH SOLE 7519 0 1265 HOME DEPOT INC COM 437076102 480 7000 SH SOLE 6900 0 100 I B M COM 459200101 5031 41581 SH SOLE 34263 0 7318 INDIGO N V COM N44495104 30 10000 SH SOLE 10000 0 0 INTEL CORP COM 458140100 5202 70006 SH SOLE 56091 0 13915 INTERNATIONAL PAPER CO COM 460146103 417 8673 SH SOLE 6113 0 2560 JOHNSON & JOHNSON COM 478160104 2336 25422 SH SOLE 17837 0 7585 KEYCORP COM 493267108 628 24340 SH SOLE 21230 0 3110 KINDER MORGAN EGY PTNS L P UT COM 494550106 554 12795 SH SOLE 9062 0 3733 KROGER CO COM 501044101 257 11656 SH SOLE 11504 0 152 LAKEHEAD PIPE LINE PARTNERS PR COM 511557100 298 7000 SH SOLE 4500 0 2500 LAUDER ESTEE COS INC CL A COM 518439104 364 9327 SH SOLE 6631 0 2696 LEXMARK INTL GROUP INC CL A COM 529771107 851 10571 SH SOLE 7287 0 3284 LOWES CO COM 548661107 297 6100 SH SOLE 5700 0 400 LUCENT TECHNOLOGIES INC COM COM 549463107 919 14171 SH SOLE 12521 0 1650 MBNA CORP COM 55262L100 2382 104413 SH SOLE 85296 0 19117 MCDONALDS CORP COM 580135101 969 22393 SH SOLE 19979 0 2414 MCI WORLDCOM COM 55268B106 465 6471 SH SOLE 4849 0 1622 MEDTRONIC INC COM 585055106 2966 83401 SH SOLE 66082 0 17319 MERCK & CO INC COM 589331107 5222 80568 SH SOLE 63565 0 17003 MERRILL LYNCH & CO. INC. COM 590188108 1676 24880 SH SOLE 20214 0 4666 MICROSOFT CORP COM 594918104 3834 42330 SH SOLE 34833 0 7497 MINNESOTA MNG & MFG CO COM 604059105 1233 12835 SH SOLE 10904 0 1931 MOBIL CORP COM 607059102 680 6752 SH SOLE 5884 0 868 MONSANTO CO COM 611662107 307 8605 SH SOLE 7905 0 700 MORGAN J.P. & CO INC COM 616880100 1046 9157 SH SOLE 7824 0 1333 MORGAN STANLEY DEAN WITTER DIS COM 617446448 415 4649 SH SOLE 3341 0 1308 NEWELL RUBBERMAID INC. COM 651229106 616 21584 SH SOLE 15767 0 5817 NEXTEL COMMUNICATIONS INC CL A COM 65332V103 1190 17551 SH SOLE 13032 0 4519 NOBLE DRILLING CORP COM COM 655042109 475 21718 SH SOLE 15367 0 6351 NORTHERN TRUST CORP COM 665859104 2618 31354 SH SOLE 25170 0 6184 NUCOR CORP COM 670346105 425 8915 SH SOLE 6432 0 2483 PEPSICO INC COM 713448108 2012 65961 SH SOLE 46291 0 19670 PFIZER INC COM 717081103 1919 53485 SH SOLE 44548 0 8937 PHILIP MORRIS COS INS COM 718154107 3699 108186 SH SOLE 85806 0 22380 PROCTER & GAMBLE COMPANY COM 742718109 2964 31615 SH SOLE 26030 0 5585 SAFEWAY INC COM 786514208 2068 54328 SH SOLE 42784 0 11544 SARA LEE CORP COM COM 803111103 864 36950 SH SOLE 36350 0 600 SBC COMMUNICATIONS, INC COMMON COM 78387G103 647 12662 SH SOLE 8516 0 4146 SCHERING PLOUGH CORP COM 806605101 289 6631 SH SOLE 6631 0 0 SCHLUMBERGER COM 806857108 564 9057 SH SOLE 6491 0 2566 SEARS ROEBUCK & CO COM 812387108 1417 45153 SH SOLE 36629 0 8524 SIGMA ALDRICH CORP COM 826552101 659 20762 SH SOLE 16826 0 3936 SUN MICROSYSTEM INC COM 866810104 474 5100 SH SOLE 5000 0 100 TEXAS INSTRUMENTS INC COM 882508104 208 2530 SH SOLE 2070 0 460 TYCO INTL LTD NEW COM COM 902124106 747 14464 SH SOLE 11158 0 3306 UNION CARBIDE CORP COM 905581104 259 4567 SH SOLE 4241 0 326 UNION PAC RES GROUP INC COM COM 907834105 755 46486 SH SOLE 32900 0 13586 UNION PLANTERS CORP COM COM 908068109 304 7450 SH SOLE 6150 0 1300 UNITED TECHNOLOGIES CORP COM 913017109 670 11302 SH SOLE 9976 0 1326 UNIVERSAL FST PRODS INC COM COM 913543104 137 10500 SH SOLE 7200 0 3300 VALSPAR CORP COM COM 920355104 581 17787 SH SOLE 10343 0 7444 WAL MART STORES INC COM 931142103 6218 130737 SH SOLE 99352 0 31385 WALT DISNEY COMPANY COM 254687106 649 24945 SH SOLE 21510 0 3435 WELLS FARGO NEW COM 949746101 437 11032 SH SOLE 7956 0 3076 WILLIAMS CO COM 969457100 487 12940 SH SOLE 9129 0 3811 XEROX CORP COM 984121103 2122 50611 SH SOLE 40508 0 10103
FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 105 Form 13F Information Table Value Total: $153,279,000 List of Other Included Managers: None -----END PRIVACY-ENHANCED MESSAGE-----