SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A No. 1
(Mark One)
/x/Annual report pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934 [Fee Required]
For the fiscal year ended December 31, 1994
/ /Transition report pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934 [No Fee Required]
For the transition period from ___________________ to _________________.
Commission file number 1-9305
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
DELAWARE 43-1273600
(State or other jurisdiction of (I.R.S. Employer Identification No.)
incorporation or organization)
500 N. Broadway
St. Louis, Missouri 63102-2188
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code 314-342-2000
Securities registered pursuant to Section 12(b) of the Act:
Name of Each Exchange
Title of Each Class On Which Registered
Common Stock, Par Value $.15 per share New York Stock Exchange
Chicago Stock Exchange
Preferred Stock Purchase Rights New York Stock Exchange
Chicago Stock Exchange
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act
of 1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such report) and (2) has been subject to
such filing requirements for the past 90 days. Yes /x/ No / /
Indicate by check mark if disclosure of delinquent filers pursuant to Item
405 of Regulation S-K is not contained herein, and will not be contained,
to the best of registrant's knowledge in definitive proxy or information
statements incorporated by reference in Part III of this Form 10-K, or any
amendment to this Form 10-K. /x/
Aggregate market value of voting stock held by non-affiliates of the
registrant at March 15, 1995 was $23,760,907.
Shares of Common Stock outstanding at March 15, 1995: 4,198,780 shares,
par value $.15 per share.
<PAGE>
EXHIBIT INDEX
Stifel Financial Corp. and Subsidiaries
Annual Report on Form 10-K/A No. 1
Year Ended December 31, 1994
Exhibit
Number Description
- ------- ----------------------------
27. Financial Data Schedule BD.
<TABLE> <S> <C>
<ARTICLE> BD
<LEGEND>
This schedule contains summary financial information extracted from the
consolidated statement of financial condition dated December 31, 1994 and
the statement of operations for the year ended December 31, 1994 and is
qualified in its entirety by reference to such financial statements.
</LEGEND>
<MULTIPLIER> 1,000
<S> <C>
<PERIOD-TYPE> YEAR
<FISCAL-YEAR-END> DEC-31-1994
<PERIOD-START> JAN-01-1994
<PERIOD-END> DEC-31-1994
<CASH> 8,241
<RECEIVABLES> 163,822
<SECURITIES-RESALE> 0
<SECURITIES-BORROWED> 3,530
<INSTRUMENTS-OWNED> 23,319
<PP&E> 4,779
<TOTAL-ASSETS> 222,208
<SHORT-TERM> 65,650
<PAYABLES> 63,105
<REPOS-SOLD> 0
<SECURITIES-LOANED> 43,405
<INSTRUMENTS-SOLD> 4,252
<LONG-TERM> 11,520
<COMMON> 649
0
0
<OTHER-SE> 33,577
<TOTAL-LIABILITY-AND-EQUITY> 222,208
<TRADING-REVENUE> 22,567
<INTEREST-DIVIDENDS> 10,918
<COMMISSIONS> 40,024
<INVESTMENT-BANKING-REVENUES> 11,969
<FEE-REVENUE> 2,542
<INTEREST-EXPENSE> 6,138
<COMPENSATION> 60,652
<INCOME-PRETAX> (9,221)
<INCOME-PRE-EXTRAORDINARY> (9,221)
<EXTRAORDINARY> 0
<CHANGES> 0
<NET-INCOME> (5,503)
<EPS-PRIMARY> (1.29)
<EPS-DILUTED> (1.29)
</TABLE>
