0001209191-19-035596.txt : 20190607
0001209191-19-035596.hdr.sgml : 20190607
20190607164351
ACCESSION NUMBER: 0001209191-19-035596
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190605
FILED AS OF DATE: 20190607
DATE AS OF CHANGE: 20190607
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: 19886510
MAIL ADDRESS:
STREET 1: C/O INVESTORS FINANCIAL SERVICES CORP
STREET 2: 200 CLARENDON ST
CITY: BOSTON
STATE: MA
ZIP: 02116
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-06-05
0
0000720672
STIFEL FINANCIAL CORP
SF
0001180238
OATES JAMES M
501 NORTH BROADWAY
ST. LOUIS
MO
63102
1
0
0
0
Common Stock
2019-06-06
4
M
0
1900
0.00
A
19297
D
Phantom Stock Units
0.00
2019-06-05
4
A
0
1900
0.00
A
Common Stock
1900
24572
D
Phantom Stock Units
0.00
2019-06-06
4
M
0
1900
0.00
D
Common Stock
1900
22672
D
Units vest quarterly over a one year period.
No expiration date for these Units.
Currently exercisable.
/s/ James Oates
2019-06-07