0001209191-21-003630.txt : 20210114 0001209191-21-003630.hdr.sgml : 20210114 20210114164602 ACCESSION NUMBER: 0001209191-21-003630 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210112 FILED AS OF DATE: 20210114 DATE AS OF CHANGE: 20210114 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: 21529216 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 2021-01-12 0 0000720672 STIFEL FINANCIAL CORP SF 0001180238 OATES JAMES M 501 NORTH BROADWAY ST. LOUIS MO 63102 1 0 0 0 Common Stock 2021-01-12 4 M 0 6004 0.00 A 12842 D Phantom Stock Units 0.00 2021-01-12 4 M 0 6004 0.00 D Common Stock 6004 22184 D Currently exercisable. No expiration date for these Units. /s/ James Oates 2021-01-14