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Stifel Financial Corp. 
 MO
  SEC # 720672


        
3  Related Registrants:   

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2,485  SEC Filings
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  from  4/11/94  to  3/28/24  (Today)

  List All Filings  or
  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘8-K’ — Current Report — Form 8-K — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Stifel Financial Corp. 

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Forms
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, Documents
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& Exhibits
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 in  836 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/28/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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341

8-K Items: 
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9/28/23
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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33
7/8/16 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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9
1/24/24"Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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81
9/28/23"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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11
7/15/16 OLD
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  Securities & Trading: 
Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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6
7/22/21 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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2
4/14/08 OLD
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ‘EX-16’
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2
11/21/06 OLD"Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD  — ‘EX-7’
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1
3/8/24 New Document this Past Month!
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  New Document this Past Month!  — List of Directors & Officers
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30
8/11/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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7
6/7/23"Submission of Matters to a Vote of Security Holders — Item 5.0717
3/28/24 New Document this Past Month!
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  New Document this Past Month!  — ‘EX-99’
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90
7/22/21 OLD
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  Events: 
Other Events — Item 8.01  OLD 84
3/28/24 New Document this Past Month!
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  Financials: 
Financial Statements and Exhibits — Item 9.01  New Document this Past Month!  — Financial Reports
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282

2/16/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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36
2/12/2413F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F — Assets Under Management
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53
11/7/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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112
9/14/23S-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-36
6/21/2311-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K26
5/8/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A18
4/28/23ARSUpdate:  Annual Reports to Security Holders15
4/28/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A — Financial Reports
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32
7/23/21 OLDCERTTrading:  Certifications by Securities Exchanges Approving Listings — Form CERT  OLD 3
7/22/21 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 9
7/16/21 OLD424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities  OLD 10
7/15/21 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 13
7/15/21 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 11
10/4/19 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 3
7/3/19 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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30
8/8/18 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 26
8/7/18 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 4
7/19/18 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 14
7/19/18 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 5
7/17/18 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 7
12/26/17 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 18
10/12/17 OLDCERTNYSTrading:  Certifications by the NYSE Approving Listings — Form CERT  OLD 4
8/16/17 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 7
1/17/17 OLDDRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 2
1/17/17 OLD424B7Registration:  Prospectuses – Selling Security Holders – Info Previously Omitted  OLD 6
3/1/16 OLDNT 10-KUpdate:  Notices of Late Filings of Form 10-K Annual Reports — Form 12b-25  OLD 2
6/4/14 OLD13F-NTOwnership:  Quarterly Holdings Notices by Money Managers — Form 13F  OLD  — Assets Under Management
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5
3/12/14 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 4
2/18/14 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 2
8/30/13 OLD4Ownership:  Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4  OLD 1
2/19/13 OLDPOS EXRegistration:  Post-Effective Amendment of a Registration Statement – Additional Exhibits  OLD 1
5/25/12 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD 1
11/10/10 OLDNT 10-QUpdate:  Notices of Late Filings of Form 10-Q Quarterly Reports — Form 12b-25  OLD 3
7/2/10 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 3
7/2/10 OLDPOSASRRegistration:  Post-Effective Amendment of an Automatic Shelf Registration Statement — Form S-3/F-3ASR  OLD 1
3/18/08 OLD424B4Registration:  Prospectuses – Info Previously Omitted & New Facts or Events  OLD 2
6/29/07 OLDNT 11-KUpdate:  Notices of Late Filings of Form 11-K Annual Reports — Form 12b-25  OLD 2
5/15/07 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD 3
1/27/06 OLDREGDEXRegistration:  Notice of an Exempt Offering of Securities — Form D  OLD 1
10/14/03 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 3
4/17/02 OLDS-3MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-3 Registration  OLD 1
3/27/02 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 5
6/16/97 OLDS-2Registration:  Registration Statements — Form S-2  OLD 2
5/18/94 OLDS-3DRegistration:  Registration Statement – Securities for a Dividend or Interest Reinvestment Plan (Immediately Effective) — Form S-3  OLD 1

Form-Specific Documents: 
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2/12/24INFO-TABLEPortfolio Securities Holdings – Info Tables — Form 13F — Assets Under Management
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45

General Exhibits: 
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3/8/24 New Exhibit this Past Month!EX-10Material Contracts  New Exhibit this Past Month! 54
2/16/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/16/24EX-23Consents of Experts and Counsel128
2/16/24EX-4Instruments, Including Indentures, Defining the Rights of Security Holders46
2/16/24EX-21Subsidiaries Lists32
9/14/23EX-FILING FEESFiling Fees1
9/14/23EX-5Opinions of Counsel re: Legality58
9/14/23EX-24Power of Attorney1
9/14/23EX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-28
8/11/23EX-3Articles of Incorporation/Organization and Bylaws10
7/21/21 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 16
7/17/18 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 10
3/1/16 OLDEX-9Voting Trust Agreements  OLD 2
2/18/14 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 12
4/2/01 OLDEX-13Annual and Quarterly Reports to Security Holders  OLD 8

Additional Exhibits: 
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3/28/24 New Exhibit this Past Month!EX-99  &  EX-99.*Miscellaneous Exhibits, such as Press Releases  New Exhibit this Past Month!  — Press Releases
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& Conference Calls
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EX-99.*  Form-Specific Exhibits...  Form N-14:  2 Articles of Incorporation/Organization
411

Financials: 
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3/28/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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6,517
3/28/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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125
3/28/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 565
3/28/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 79
3/28/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
118
2/16/24EX-31Certifications — §302 – SOA’02181
2/16/24EX-32Certifications — §906 – SOA’02150
8/11/17 OLDEX-12Statements re: Computations of Ratios  OLD 6
7/15/16 OLDEX-7Correspondence from an Accountant re: Non-Reliance on a Previously Issued Audit Report or Completed Interim Review  OLD 1
4/14/08 OLDEX-16Letters re: Changes in Accountants  OLD 5
11/14/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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32
11/10/97 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 18

Graphics: 
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3/28/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 5,008

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers


4 Related Managers who also Reported Holdings for this Manager

As Of
In descending order
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/12/2412/31/23  59 of 3,386  $2,595  
 SD
 
Dorsey & Whitney Trust Co. LLC
11/13/139/30/13  126 of 126  $926  
 OR
 
Montibus Capital Management LLC [ formerly Timberline Asset Management LLC ]
11/13/139/30/13  165 of 165  $265  
 MO
 
Missouri Valley Partners, Inc.
8/13/136/30/13  1,374 of 1,374  $5,520  
 MO
 
Stifel Nicolaus & Co. Inc./MO


Forms
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, Documents
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& Exhibits
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 in  1,678 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 860630
 

        
Latest Filing  Type    Category    Description        Documents
     
3/15/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 1,455
3/15/24 New Document this Past Month!144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 144  New Document this Past Month! 7
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G72
4/28/233Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 332
2/8/23 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 45
8/20/21 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 3
7/15/21 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 13
8/8/18 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 11
3/25/08 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 9
10/14/03 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 3

Letters: 
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7/11/19 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC28
7/11/19 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 3

General Exhibits: 
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4/26/10 OLDEX-10Material Contract  OLD 1
4/26/10 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1
7/3/97 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 2

Additional Exhibits: 
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8/20/21 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 28

Graphics: 
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8/8/18 OLDGRAPHICPhotos, Images and Graphs  OLD 177


        

Filings History

Year    # of Filings
In descending order
2024 40
2023 94
2022 83
2021 95
2020 114
2019 98
2018 169
2017 133
2016 151
2015 120
2014 95
2013 134
2012 122
2011 97
2010 111
2009 100
2008 109
2007 139
2006 94
2005 97
2004 93
2003 78
2002 22
2001 11
2000 15
1999 11
1998 11
1997 15
1996 17
1995 11
1994 6

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