Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
STIFEL FINANCIAL CORP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
ATTN: JAMES G. LASCHOBER
501 N. BROADWAY
ST. LOUIS, MO 63102-2102
Phone Number:
subscription required
Item 3. Related Persons
Name
RONALD J. KRUSZEWSKI
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS AND CHIEF EXECUTIVE OFFICER
Item 3. Related Persons
Name
THOMAS W. WEISEL
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS
Item 3. Related Persons
Name
BRUCE A. BEDA
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MICHAEL W. BROWN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
KATHLEEN BROWN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN P. DUBINSKY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ROBERT E. GRADY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
FREDERICK O. HANSER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
RICHARD J. HIMELFARB
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
VICE CHAIRMAN, SENIOR VICE PRESIDENT AND DIRECTOR
Item 3. Related Persons
Name
MAURA F. MARKUS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS B. MICHAUD
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
PRESIDENT AND CHIEF EXECUTIVE OFFICER OF KEEFE, BRUYETTE WOODS AND DIRECTOR
Item 3. Related Persons
Name
THOMAS P. MULROY
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CO-PRESIDENT, CO-DIRECTOR OF INSTITUTIONAL GROUP AND DIRECTOR
Item 3. Related Persons
Name
VICTOR J. NESI
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CO-PRESIDENT, CO-DIRECTOR OF INSTITUTIONAL GROUP AND DIRECTOR
Item 3. Related Persons
Name
JAMES M. OATES
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
BEN A. PLOTKIN
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
VICE CHAIRMAN AND SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
KELVIN R. WESTBROOK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JAMES M. ZEMLYAK
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CO-PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR
Item 3. Related Persons
Name
MICHAEL J. ZIMMERMAN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DAVID D. SLINEY
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
MARK P. FISHER
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT, GENERAL COUNSEL AND CORPORATE SECRETARY
Item 4. Industry Group
OTHER BANKING AND FINANCIAL SERVICES
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
01/03/2017
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
Yes
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
9357543
Total Amount Sold
9357543
Total Remaining to be Sold
0
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
65
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
STIFEL FINANCIAL CORP
Issuer Signature
/S/ MARK P. FISHER
Signer Name
MARK P. FISHER
Signer Title
SENIOR VP, CORPORATE SECRETARY GENERAL COUNSEL
Signature Date
01/17/2017
