UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
Delaware | 43-1273600 | |
(State of incorporation or organization) | (IRS Employer Identification No.) | |
One Financial Plaza 501 North Broadway St. Louis, MO |
63102-2102 | |
(Address of principal executive offices) | (Zip Code) |
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class to be so Registered |
Name of Each Exchange on Which Each Class is to be so Registered | |
Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.25% Non-Cumulative Preferred Stock, Series A |
New York Stock Exchange, Inc. |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box. x
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box. ¨
Securities Act registration statement file number to which this form relates:
333-201398 (if applicable)
Securities to be registered pursuant to Section 12(g) of the Act:
None
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. | Description of Securities to be Registered. |
The securities to be registered hereby are the depositary shares (the Depositary Shares), each representing a 1/1,000th interest in a share of 6.25% Non-Cumulative Preferred Stock, Series A, $1.00 par value per share and $25,000 liquidation preference per share (the Series A Preferred Stock), of Stifel Financial Corp. (the Registrant). The descriptions of the Series A Preferred Stock and the Depositary Shares are contained in the sections captioned Description of the Preferred Stock and Description of the Depositary Shares, each in the Registrants Prospectus Supplement, dated July 11, 2016, to the Registrants Prospectus, dated January 8, 2015, included in the Registrants registration statement on Form S-3 (File No. 333-201398) and each of those sections is incorporated herein by reference.
Item 2. | Exhibits. |
Exhibit No. |
Description of Exhibit | |
1. | Restated Certificate of Incorporation, as amended, filed with the Secretary of State of Delaware on June 3, 2009, incorporated herein by reference to Exhibit 4.1 to Stifel Financial Corp.s Registration Statement on Form S-8 (Registration File No. 333-160523) filed on July 10, 2009. | |
2. | Amended and Restated By-Laws of Stifel Financial Corp., effective August 7, 2012, incorporated by reference to Exhibit 3.2 to Stifel Financial Corp.s Current Report on Form 8-K filed August 10, 2012. | |
3. | Certificate of Designations, Preferences, and Rights of the Special Voting Preferred Stock, incorporated herein by reference to Exhibit 3.1 to Stifel Financial Corp.s Current Report on Form 8-K filed on July 1, 2010. | |
4. | Certificate of Designations of 6.25% Non-Cumulative Preferred Stock, Series A, incorporated by reference to Exhibit 3.1 to the Registrants Current Report on Form 8-K filed on July 15, 2016. | |
5. | Deposit Agreement, dated as of July 15, 2016, between the Registrant and Computershare Inc. and Computershare Trust Company, N.A., jointly as Depositary, incorporated by reference to Exhibit 4.1 to the Registrants Current Report on Form 8-K filed on July 15, 2016. | |
6. | Form of Depositary Receipt (included in Exhibit 5 hereto). | |
7. | Form of certificate representing the Series A Preferred Stock. |
SIGNATURES
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.
STIFEL FINANCIAL CORP. | ||||||
Date: July 15, 2016 | By: | /s/ Ronald J. Kruszewski | ||||
Name: Ronald J. Kruszewski | ||||||
Title: Chairman and Chief Executive Officer |
EXHIBIT INDEX
Exhibit No. |
Description of Exhibit | |
1. | Restated Certificate of Incorporation, as amended, filed with the Secretary of State of Delaware on June 3, 2009, incorporated herein by reference to Exhibit 4.1 to Stifel Financial Corp.s Registration Statement on Form S-8 (Registration File No. 333-160523) filed on July 10, 2009. | |
2. | Amended and Restated By-Laws of Stifel Financial Corp., effective August 7, 2012, incorporated by reference to Exhibit 3.2 to Stifel Financial Corp.s Current Report on Form 8-K filed August 10, 2012. | |
3. | Certificate of Designations, Preferences, and Rights of the Special Voting Preferred Stock, incorporated herein by reference to Exhibit 3.1 to Stifel Financial Corp.s Current Report on Form 8-K filed on July 1, 2010. | |
4. | Certificate of Designations of 6.25% Non-Cumulative Preferred Stock, Series A, incorporated by reference to Exhibit 3.1 to the Registrants Current Report on Form 8-K filed on July 15, 2016. | |
5. | Deposit Agreement, dated as of July 15, 2016, between the Registrant and Computershare Inc. and Computershare Trust Company, N.A., jointly as Depositary, incorporated by reference to Exhibit 4.1 to the Registrants Current Report on Form 8-K filed on July 15, 2016. | |
6. | Form of Depositary Receipt (included in Exhibit 5 hereto). | |
7. | Form of certificate representing the Series A Preferred Stock. |
Exhibit 7
FORM OF
6.25% NON-CUMULATIVE PREFERRED STOCK, SERIES A
Certificate Number | Number of Shares of Series A Preferred Stock |
CUSIP NO.: 860630 508
STIFEL FINANCIAL CORP.
6.25% Non-Cumulative Preferred Stock, Series A
(par value $1.00 per share)
(liquidation preference $25,000 per share)
Stifel Financial Corp., a Delaware corporation (the Company), hereby certifies that [ ] (the Holder) is the registered owner of [ ] fully paid and non-assessable shares of the Companys designated 6.25% Non-Cumulative Preferred Stock, Series A, with a par value of $1.00 per share and a liquidation preference of $25,000 per share (the Series A Preferred Stock). The shares of Series A Preferred Stock are transferable on the books and records of the Registrar, in person or by a duly authorized attorney, upon surrender of this certificate duly endorsed and in proper form for transfer. The designations, rights, privileges, restrictions, preferences and other terms and provisions of the Series A Preferred Stock represented hereby are and shall in all respects be subject to the provisions of the Certificate of Designations dated July 14, 2016 as the same may be amended from time to time (the Certificate of Designations). Capitalized terms used herein but not defined shall have the meaning given them in the Certificate of Designations. The Company will provide a copy of the Certificate of Designations to a Holder without charge upon written request to the Company at its principal place of business.
Reference is hereby made to select provisions of the Series A Preferred Stock set forth on the reverse hereof, and to the Certificate of Designations, which select provisions and the Certificate of Designations shall for all purposes have the same effect as if set forth at this place.
Upon receipt of this certificate, the Holder is bound by the Certificate of Designations and is entitled to the benefits thereunder.
Unless the Registrar has properly countersigned, these shares of Series A Preferred Stock shall not be entitled to any benefit under the Certificate of Designations or be valid or obligatory for any purpose.
IN WITNESS WHEREOF, this certificate has been executed on behalf of the Company by its [Title] and by its [Title] this day of , .
STIFEL FINANCIAL CORP. | ||
By: |
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Name: |
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Title: |
By: |
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Name: |
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Title: |
Series A
REGISTRARS COUNTERSIGNATURE
These are shares of Series A Preferred Stock referred to in the within-mentioned Certificate of Designations.
Dated:
COMPUTERSHARE TRUST COMPANY, N.A., as Registrar
By: |
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Name: |
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Title: |
Series A
REVERSE OF CERTIFICATE
Dividends on each share of Series A Preferred Stock shall be payable at the rate provided in the Certificate of Designations.
The shares of Series A Preferred Stock shall be redeemable at the option of the Company in the manner and in accordance with the terms set forth in the Certificate of Designations.
The Company shall furnish without charge to each holder who so requests the powers, designations, preferences and relative, participating, optional or other special rights of each class or Series of share capital issued by the Company and the qualifications, limitations or restrictions of such preferences and/or rights.
ASSIGNMENT
FOR VALUE RECEIVED, the undersigned assigns and transfers the shares of Series A Preferred Stock evidenced hereby to:
(Insert assignees social security or taxpayer identification number, if any) | ||
(Insert address and zip code of assignee) | ||
and irrevocably appoints: | ||
as agent to transfer the shares of Series A Preferred Stock evidenced hereby on the books of the Transfer Agent. The agent may substitute another to act for him or her. | ||
Date: | ||
Signature: | ||
(Sign exactly as your name appears on the other side of this Certificate) | ||
Signature Guarantee: |
(Signature must be guaranteed by an eligible guarantor institution that is a bank, stockbroker, savings and loan association or credit union meeting the requirements of the Transfer Agent, which requirements include membership or participation in the Securities Transfer Agents Medallion Program (STAMP) or such other signature guarantee program as may be determined by the Transfer Agent in addition to, or in substitution for, STAMP, all in accordance with the Securities Exchange Act of 1934, as amended.)
Series A