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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 6/13/22 Stifel Financial Corp. 8-K:5 6/13/22 11:230K Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 40K 6: R1 Document and Entity Information HTML 60K 9: XML IDEA XML File -- Filing Summary XML 12K 7: XML XBRL Instance -- d357491d8k_htm XML 28K 8: EXCEL IDEA Workbook of Financial Reports XLSX 6K 3: EX-101.DEF XBRL Definitions -- sf-20220613_def XML 44K 4: EX-101.LAB XBRL Labels -- sf-20220613_lab XML 74K 5: EX-101.PRE XBRL Presentations -- sf-20220613_pre XML 46K 2: EX-101.SCH XBRL Schema -- sf-20220613 XSD 17K 10: JSON XBRL Instance as JSON Data -- MetaLinks 15± 23K 11: ZIP XBRL Zipped Folder -- 0001193125-22-172898-xbrl Zip 13K
| 8-K |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM i 8-K
CURRENT REPORT
Pursuant To Section 13 OR 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): i June 13, 2022
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
| i Delaware | i 001-09305 | i 43-1273600 | ||
| (State of incorporation) | (Commission File Number) |
(IRS Employer Identification No.) |
i 501 N. Broadway, i St. Louis, i Missouri i 63102-2188
(Address of principal executive offices and zip code)
i (314) i 342-2000
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
| Title of Each Class |
Trading Symbol(s) |
Name of Each Exchange on Which Registered | ||
| i Common Stock, $0.15 par value per share | i SF | i New York Stock Exchange | ||
| Depository Shares, each representing 1/1,000th interest in a share of 6.25% Non-Cumulative Preferred Stock, Series B | i SF-PB | i New York Stock Exchange | ||
| Depository Shares, each representing 1/1,000th interest in a share of 6.125% Non-Cumulative Preferred Stock, Series C | i SF-PC | i New York Stock Exchange | ||
| Depository Shares, each representing 1/1,000th interest in a share of 4.50% Non-Cumulative Preferred Stock, Series D | i SF-PD | i New York Stock Exchange | ||
| i 5.20% Senior Notes due 2047 | i SFB | i New York Stock Exchange |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| i ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company i ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
The Annual Meeting of Shareholders of Stifel Financial Corp. (the “Company”) was held on June 13, 2022 to (i) elect ten members of the Board of Directors; (ii) approve, on an advisory basis, the compensation of the named executive officers of the Company, as disclosed in the Company’s Proxy Statement; and (iii) ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2022.
As of April 14, 2022, the record date for the Annual Meeting, there were 106,572,333 shares of common stock outstanding and entitled to vote. At the Annual Meeting, 99,896,585 shares of common stock were represented in person or by proxy, constituting a quorum.
The final results for the proposals voted on at the Annual Meeting are set forth below:
Proposal 1 – Election of Directors:
The Company’s shareholders elected ten directors to hold office until the 2023 annual meeting of shareholders or until their respective successors are elected and qualified or until their earlier death, resignation or removal. The following table shows the results of the shareholders’ votes:
| For | Withhold Authority |
Abstentions | Broker Non-votes |
|||||||||||||
| Adam T. Berlew |
87,965,385 | 1,501,824 | — | 10,429,376 | ||||||||||||
| Kathleen L. Brown |
87,333,830 | 2,133,379 | — | 10,429,376 | ||||||||||||
| Michael W. Brown |
87,122,515 | 2,344,694 | — | 10,429,376 | ||||||||||||
| Robert E. Grady |
85,657,840 | 3,809,369 | — | 10,429,376 | ||||||||||||
| Ronald J. Kruszewski |
86,364,419 | 3,102,790 | — | 10,429,376 | ||||||||||||
| Daniel J. Ludeman |
88,705,408 | 761,801 | — | 10,429,376 | ||||||||||||
| Maura A. Markus |
86,938,716 | 2,528,493 | — | 10,429,376 | ||||||||||||
| David A. Peacock |
86,334,852 | 3,132,357 | — | 10,429,376 | ||||||||||||
| Thomas W. Weisel |
88,330,869 | 1,136,340 | — | 10,429,376 | ||||||||||||
| Michael J. Zimmerman |
89,086,858 | 380,351 | — | 10,429,376 | ||||||||||||
Proposal 2 – To approve, on an advisory basis, the compensation of the named executive officers of the Company, as disclosed in the Proxy Statement:
| For |
Against |
Abstentions |
Broker Non-votes | |||
| 86,992,865 |
2,204,713 | 269,631 | 10,429,376 |
Proposal 3 – To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2022:
| For |
Against |
Abstentions |
Broker Non-votes | |||
| 98,352,356 |
1,434,594 | 109,635 | N/A |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| STIFEL FINANCIAL CORP. | ||||||
| Date: June 13, 2022 | By: | |||||
| Name: | James M. Marischen | |||||
| Title: | Chief Financial Officer | |||||
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 12/31/22 | ||||
| Filed on / For Period end: | 6/13/22 | 4, DEF 14A | ||
| 4/14/22 | ||||
| List all Filings | ||||