FORM 8-K

 

 

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 4, 2015

 

 

STIFEL FINANCIAL CORP.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-09305   43-1273600
(State of incorporation)  

(Commission

File Number)

 

(IRS Employer

Identification No.)

One Financial Plaza

501 North Broadway

St. Louis, Missouri 63102-2102

(Address of principal executive offices, including zip code)

(Registrant’s telephone number, including area code): (314) 342-2000

Not Applicable

(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 May 5, 2015, the Compensation Committee of the Board of Directors (“Compensation Committee”) approved the Stifel Financial Corp. Wealth Accumulation Plan 2015 Restatement, referred to herein as the “2015 Restatement.” The 2015 Restatement was filed as Exhibit 10 to the Stifel Financial Corp. Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 11, 2015. On August 4, 2015, the Compensation Committee approved changes to the types of deferred compensation opportunities as described in Appendix A to the 2015 Restatement.

A copy of the Stifel Financial Corp. Wealth Accumulation Plan 2015 Restatement is attached hereto as Exhibit 10.1 and is incorporated by reference herein.

Item 9.01 Financial Statements and Exhibits.

 

  (d) Exhibits.

 

Exhibit
Number

  

Description of Exhibit

10.1    Stifel Financial Corp. Wealth Accumulation Plan 2015 Restatement.


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 4, 2015     By:  

/s/ James M. Zemlyak

    Name:   James M. Zemlyak
    Title:   President and Chief Financial Officer


EXHIBIT INDEX

 

Exhibit
Number

  

Description of Exhibit

10.1    Stifel Financial Corp. Wealth Accumulation Plan 2015 Restatement.