UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
FORM 10-Q/A
(Amendment No. 1)
(Mark One)
x
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the quarterly period ended September 30, 2005
OR
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from to
Commission file number 1-9305
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STIFEL FINANCIAL CORP. |
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(Exact name of registrant as specified in its charter) |
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DELAWARE |
43-1273600 |
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(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
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501 N. Broadway, St. Louis, Missouri |
63102-2188 |
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(Address of principal executive offices) |
(Zip Code) |
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Registrant's telephone number, including area code |
314-342-2000 |
__________________________________________________________________
(Former name, former address, and former fiscal year, if changed since last report)
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 reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No ¨
Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act). Yes x No ¨
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ¨ No x
As of October 31, 2005, there were 10,020,298 shares of Stifel Financial Corp. common stock, par value $0.15, outstanding.
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STIFEL FINACIAL CORP.
Amendment No. 1 to the Quarterly Report on Form 10-Q
For the Quarter Ended September 30, 2005
Explanatory Note
Stifel Financial Corp. ("SFC") is filing this Amendment No. 1 to the it's Quarterly Report on Form 10-Q ("Amendment No. 1") for the quarter ended September 30, 2005 in order to amend Part II. Item 6. in its entirety to the Quarterly Report on Form 10-Q originally filed with the U.S. Securities and Exchange Commission (the "Commission") on November 9, 2005 (the "Original Filing"). With the exception of the foregoing, no other information in the Form 10-Q is being supplemented, updated or amended.
PART II. OTHER INFORMATION
Item 6. Exhibits
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(a) |
Exhibits: |
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10 |
Acquisition agreement by and between Stifel Financial Corp. and Citigroup Inc., filed herewith. |
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11 |
Statement re computation of per share earnings (set forth in "Note F - Earnings Per Share ("EPS")" of the Notes to Condensed Consolidated Financial Statements (Unaudited)). |
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31.1 |
Certification by the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
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31.2 |
Certification by the Chief Financial Officer pursuant to Section 302 of the |
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32 |
Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. This exhibit is furnished to the SEC. |
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SIGNATURES
Pursuant to the requirement of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
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STIFEL FINANCIAL CORP .(Registrant) |
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Date: January 17, 2006 |
By: /s/ Ronald J. Kruszewski Ronald J. Kruszewski |
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Date: January 17, 2006 |
By: /s/ James M. Zemlyak James M. Zemlyak |
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EXHIBIT INDEX
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Exhibit No. |
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Description |
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10 |
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Acquisition agreement by and between Stifel Financial Corp. and Citigroup Inc. |
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31.1 |
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Certification by the Chief Executive Officer pursuant to |
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31.2 |
Certification by the Chief Financial Officer pursuant to Section |
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32 |
Certification pursuant to 18 U.S.C. Section 1350, as adopted |
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