-----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, B0GjblsXqkboMC7yMbe64oIRaUs44adYciox8jeHuyHeBavBtLrgLdiPUl348kva BoeWRP84k/+H2SSTT1qeSg== 0001180238-03-000011.txt : 20030904 0001180238-03-000011.hdr.sgml : 20030904 20030904130913 ACCESSION NUMBER: 0001180238-03-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030901 FILED AS OF DATE: 20030904 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: 03880966 BUSINESS ADDRESS: STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP STREET 2: 200 CLARENDON ST CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6179376015 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 X0201 4 2003-09-01 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M P O BOX 250 ELKINS NH 03233 1 0 0 0 Common Stock 41000 D Common Stock 4700 I by Spouse Phantom Stock Units 0 2003-09-01 4 A 0 97 12.89 A 2003-09-01 2013-09-01 Common Stock 97 97 D Phantom Stock Units 0 2003-09-01 4 A 0 24 0 A 2003-09-01 2013-09-01 Common Stock 24 121 D Phantom Stock Units 0 2002-01-02 2012-01-02 Common Stock 150 150 D Phantom Stock Units 0 2002-01-29 2012-01-29 Common Stock 131 131 D Phantom Stock Units 0 2002-02-01 2012-02-01 Common Stock 136 136 D Phantom Stock Units 0 2002-03-01 2012-03-01 Common Stock 130 130 D Phantom Stock Units 0 2002-04-01 2012-04-01 Common Stock 122 122 D Phantom Stock Units 0 2002-05-01 2012-05-01 Common Stock 117 117 D Phantom Stock Units 0 2002-05-09 2012-05-09 Common Stock 125 125 D Phantom Stock Units 0 2002-06-01 2012-06-01 Common Stock 115 115 D Phantom Stock Units 0 2002-07-01 2012-07-01 Common Stock 124 124 D Phantom Stock Units 0 2002-07-23 2012-07-23 Common Stock 116 116 D Phantom Stock Units 0 2002-08-01 2012-08-01 Common Stock 129 129 D Phantom Stock Units 0 2002-09-03 2012-09-03 Common Stock 121 121 D Phantom Stock Units 0 2002-10-01 2012-10-01 Common Stock 124 124 D Phantom Stock Units 0 2002-10-28 2012-10-28 Common Stock 149 149 D Phantom Stock Units 0 2002-11-01 2012-11-01 Common Stock 130 130 D Phantom Stock Units 0 2002-12-02 2012-12-02 Common Stock 133 133 D Phantom Stock Units 0 2003-01-02 2013-01-02 Common Stock 142 142 D Phantom Stock Units 0 2003-01-30 2013-01-30 Common Stock 156 156 D Phantom Stock Units 0 2003-02-03 2013-02-03 Common Stock 133 133 D Phantom Stock Units 0 2003-03-03 2013-03-03 Common Stock 131 131 D Phantom Stock Units 0 2003-04-01 2013-04-01 Common Stock 134 134 D Phantom Stock Units 0 2003-05-01 2013-05-01 Common Stock 129 129 D Phantom Stock Units 0 2003-05-12 2013-05-12 Common Stock 146 146 D Phantom Stock Units 0 2013-06-01 2013-06-01 Common Stock 125 125 D Phantom Stock Units 0 2003-07-01 2013-07-01 Common Stock 126 126 D Phantom Stock Units 0 2003-08-01 2013-08-01 Common Stock 128 128 D Phantom Stock Units 0 2003-08-06 2013-08-06 Common Stock 319 319 D Phantom Stock Units 0 Common Stock 2487 2487 D Currently exercisable. No expiration date for these Units. By: Forrest M. Smith For: James M. Oates 2003-09-04 -----END PRIVACY-ENHANCED MESSAGE-----