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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/28/22 Stifel Financial Corp. 8-K:7,9 11/28/22 12:254K Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 37K 2: EX-99.1 Miscellaneous Exhibit HTML 14K 7: R1 Document and Entity Information HTML 59K 10: XML IDEA XML File -- Filing Summary XML 13K 8: XML XBRL Instance -- d372519d8k_htm XML 28K 9: EXCEL IDEA Workbook of Financial Reports XLSX 9K 4: EX-101.DEF XBRL Definitions -- sf-20221128_def XML 44K 5: EX-101.LAB XBRL Labels -- sf-20221128_lab XML 74K 6: EX-101.PRE XBRL Presentations -- sf-20221128_pre XML 46K 3: EX-101.SCH XBRL Schema -- sf-20221128 XSD 18K 11: JSON XBRL Instance as JSON Data -- MetaLinks 15± 23K 12: ZIP XBRL Zipped Folder -- 0001193125-22-293407-xbrl Zip 19K
| 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 November 28, 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 |
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 7.01 | Regulation FD Disclosure. |
On November 28, 2022, Stifel Financial Corp. (the “Company”) issued a press release to disclose selected operating results for October 31, 2022. A copy of the press release is attached as Exhibit 99.1 to this Report on Form 8-K, and is incorporated by reference.
The exhibit is being furnished pursuant to Item 2.02, and the information contained therein shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that Section, nor shall it be deemed incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act.
| Item 9.01 | Financial Statements and Exhibits. |
| (d) | Exhibits. |
| Exhibit Number |
Description | |
| 99.1 | Press release dated November 28, 2022. | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
2
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. (Registrant) | ||||||
| Date: November 28, 2022 | By: | |||||
| Name: | James M. Marischen | |||||
| Title: | Chief Financial Officer | |||||
3
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / For Period end: | 11/28/22 | None on these Dates | ||
| 10/31/22 | ||||
| List all Filings | ||||