-----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, JSd5HAcM0U58CfXFzV0hDHLWFtUx+mhR0jhg47RQnNZ1d/LHtLvr76+npr1t4YOa DpBmKHHztveYrUB+mSBVmA== 0000950172-96-000561.txt : 19960918 0000950172-96-000561.hdr.sgml : 19960918 ACCESSION NUMBER: 0000950172-96-000561 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960917 SROS: NONE SUBJECT COMPANY: 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: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35338 FILM NUMBER: 96631405 BUSINESS ADDRESS: STREET 1: 500 N. BROADWAY STREET 2: 14TH FLOOR CITY: ST LOUIS STATE: MO ZIP: 63102-2188 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: 500 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102-2188 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MINTZ DEL CENTRAL INDEX KEY: 0001017165 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 22732 STREET 2: 22732 RYE ROAD CITY: SHAKER HEIGHTS STATE: OH ZIP: 44122 SC 13D/A 1 SCHEDULE 13D AMENDMENT NO. 2 CONFORMED COPY SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Stifel Financial Corp (Name of Issuer) Common Stock, par value $.15 per share (Title of Class of Securities) 860630 10 2 (CUSIP Number) Mr. Del Mintz 22732 Rye Road Shaker Heights, Ohio 44122 (216) 283-0001 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 16, 1996 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box ( ). Check the following box if a fee is being paid with the statement ( ). (A fee is not required only if the reporting person: (1) has a previous statement on file for reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and 2 has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13D-7.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. 13D CUSIP NO. 860630 10 2 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Del Mintz ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ( ) (b) ( ) 3 SEC USE ONLY 4 SOURCE OF FUNDS* PF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ( ) 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. 7 SOLE VOTING POWER 625,500 NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 625,500 10 SHARED DISPOSITIVE POWER -0- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 625,500 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* ( ) 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.0% 14 TYPE OF REPORTING PERSON* IN The Schedule 13D filed on June 19, 1996, as previously amended on June 27, 1996, is hereby further amended as follows: Item 3 is hereby amended to read as follows: ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The 625,500 shares of Common Stock, par value $.15 per share, of the Issuer, to which this Statement relates, were acquired by Mr. Mintz for $4,570,614. The shares of Common Stock were acquired for cash utilizing Mr. Mintz's personal funds. Item 5 is hereby amended to read as follows: ITEM 5. INTEREST IN SECURITIES OF ISSUER. (a-b) As of the date of this Statement, Mr. Mintz beneficially owns 625,500 shares of the Common Stock. Based on the 4,463,647 shares of Common Stock reported outstanding in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended June 28, 1996, Mr. Mintz beneficially owns approximately 14.0% of the outstanding shares of Common Stock. Mr. Mintz has the sole power to vote and dispose of 625,500 shares of the Common Stock. (c) Within the past 60 days, Mr. Mintz has effected the following purchases of the Common Stock (in addition to shares previously reported on Amendment No.1 to this Schedule 13D) in open market transactions: PURCHASE DATE SHARES PRICE TOTAL 9/10/96 200 $7.00 $1,400.00 9/10/96 1000 $7.25 $7,250.00 9/12/96 31,100 $7.9956 $248,663.16 9/12/96 500 $8.00 $4,000.00 9/16/96 20,000 $8.00 $160,000.00 9/16/96 13,500 $8.00 $108,000.00 (d-e) Not applicable. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Statement is true, complete and correct. Dated: September 17, 1996 By /s/ Del Mintz ______________________ Name: Del Mintz -----END PRIVACY-ENHANCED MESSAGE-----