UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 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): September 23, 2008
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
Delaware |
1-9305 |
43-1273600 |
Registrant's telephone number, including area code (314) 342-2000
___________________________N/A___________________________
(Former name or former address, if changed since last report)
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):
[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 8.01 Other Events.
On September 23, 2008, Stifel Financial Corp. (the "Company") announced that it intends to commence an underwritten public offering of 1,200,000 shares of its common stock. Of these shares, 1,000,000 will be offered by the Company and 200,000 will be offered by The Western and Southern Life Insurance Company. The underwriters will be granted a 30-day option to purchase up to an additional 150,000 shares of common stock from the Company and 30,000 shares from Western and Southern to cover over-allotments, if any. The Company will not receive any proceeds from the sale of common stock by the selling stockholder. The offering will be made pursuant to an effective shelf registration statement previously filed with the Securities and Exchange Commission.
Cautionary Statement Concerning Forward-Looking Statements
This Current Report on Form 8-K contains certain statements that may be deemed to be "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. All statements in this report not dealing with historical results are forward-looking and are based on various assumptions. The forward-looking statements in this report are subject to risks and uncertainties that could cause actual results to differ materially from those expressed in or implied by the statements. Factors that may cause actual results to differ materially from those contemplated by such forward-looking statements include, among other things, the following possibilities: our goals, intentions and expectations; our business plans and growth strategies; our ability to integrate and manage our acquired businesses; estimates of our risks and future costs and benefits; and forecasted demographic and economic trends relating to our industry; and other risk factors referred to from time to time in filings made by Stifel with the Securities and Exchange Commission. Forward-looking statements speak only as to the date they are made. Stifel does not undertake to update forward-looking statements to reflect circumstances or events that occur after the date the forward-looking statements are made. Stifel disclaims any intent or obligation to update these forward-looking statements.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
Exhibit Number |
Description of Exhibit |
99.1 |
Press Release, dated September 23, 2008, announcing the Proposed Public Offering of Common Stock |
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: September 23, 2008 |
By: /s/ Ronald J. Kruszewski |
Name: Ronald J. Kruszewski |
|
Title: President and Chief Executive Officer |
Exhibit Number |
Description of Exhibit |
99.1 |
Press Release, dated September 23, 2008, announcing the Proposed Public Offering of Common Stock |