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 |
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 |
Description of Exhibit | |
| 10.1 | Stifel Financial Corp. Wealth Accumulation Plan 2015 Restatement. | |