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): August 2, 2022

STIFEL FINANCIAL CORP.

(Exact name of registrant as specified in its charter)

Delaware	001-09305	43-1273600
(State of incorporation)	(Commission<br>File Number)	(IRS Employer<br>Identification No.)

501 N. Broadway, St. Louis, Missouri 63102-2188

(Address of principal executive offices and zip code)

(314) 342-2000

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class	Trading<br>Symbol(s)	Name of Each Exchange<br>on Which Registered
Common Stock, $0.15 par value per share	SF	New York Stock Exchange
Depository Shares, each representing 1/1,000th interest in a share of 6.25% Non-Cumulative Preferred Stock, Series B	SF-PB	New York Stock Exchange
Depository Shares, each representing 1/1,000th interest in a share of 6.125% Non-Cumulative Preferred Stock, Series C	SF-PC	New York Stock Exchange
Depository Shares, each representing 1/1,000th interest in a share of 4.50% Non-Cumulative Preferred Stock, Series D	SF-PD	New York Stock Exchange
5.20% Senior Notes due 2047	SFB	New York Stock Exchange

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)
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☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On August 2, 2022, Stifel Financial Corp, (the “Company”) announced that the Board of Directors appointed Jim Kavanaugh as Director of the Company effective August 2, 2022.

Mr. Kavanaugh will receive the annual retainer paid to all non-management directors. Compensation for non-management directors is described in the Company’s corresponding Proxy Statement under “Non-Employee Director Compensation”.

A copy of the press release containing this information is attached as Exhibit 99.1 to this Report on Form 8-K.

Item 9.01 Financial Statements and Exhibits.

(d)     Exhibits.

Exhibit<br>Number	Description
99.1	Press release dated August 9, 2022.
104	Cover Page Interactive Data File (embedded within the Inline XBRL document).

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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.<br> <br>(Registrant)
Date: August 9, 2022	By:	/s/ James M. Marischen
	Name:	James M. Marischen
	Title:	Chief Financial Officer

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EX-99.1

Exhibit 99.1

FOR IMMEDIATE RELEASE

STIFEL APPOINTS JIM KAVANAUGH TO BOARD OF DIRECTORS

ST. LOUIS, August 9, 2022 — Stifel Financial Corp. (NYSE: SF) today announced that Jim Kavanaugh has been appointed a member of the firm’s Board of Directors, effective August 2, 2022.

“Jim represents all the qualities we want in a Board member,” said Ronald J. Kruszewski, Chairman and CEO of Stifel. “Jim is widely recognized as an innovative business executive, an inclusive leader, and an outstanding corporate citizen deeply committed to giving back to the community. We are thrilled to welcome Jim to our Board and look forward to his future contributions to the firm.”

Jim Kavanaugh is the Co-Founder and CEO of World Wide Technology (WWT), a $14.5 billion Information Technology systems integrator and business partner to 70 of the Fortune 100 companies. Under his leadership, WWT has been named a “great place to work” by Fortune Magazine for 11 consecutive years. In 2021, Glassdoor named Jim as one of the best CEOs in America.

Prior to co-founding WWT in 1990, Jim played professional soccer and represented the United States Olympic and Pan American Team in 1984. He is also an investor/owner of Major League Soccer franchise St. Louis City SC, and the National Hockey League’s St. Louis Blues.

Jim earned a Bachelor of Science degree in Business Administration from Saint Louis University and is a member of the University’s Smurfit-Stone Entrepreneurial Alumni Hall of Fame. He has also been a trustee of the board for his alma mater since 2010. Jim also serves as Vice Chair of the American Cancer Society’s CEOs Against Cancer of Missouri (St. Louis chapter) and supports many other charitable organizations including the ALS Association, Toys for Tots, Junior Achievement, and United Way.

Stifel Company Information

Stifel Financial Corp. (NYSE: SF) is a financial services holding company headquartered in St. Louis, Missouri, that conducts its banking, securities, and financial services business through several wholly owned subsidiaries. Stifel’s broker-dealer clients are served in the United States through Stifel, Nicolaus & Company, Incorporated, including its Eaton Partners business division; Keefe, Bruyette & Woods, Inc.; Miller Buckfire & Co., LLC; and Stifel Independent Advisors, LLC. The Company’s broker-dealer affiliates provide securities brokerage, investment banking, trading, investment advisory, and related financial services to individual investors, professional money managers, businesses, and municipalities. Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions. Stifel Trust Company, N.A. and Stifel Trust Company Delaware, N.A. offer trust and related services. To learn more about Stifel, please visit the Company’s website at www.stifel.com. For global disclosures, please visit https://www.stifel.com/investor-relations/press-releases.

StifelInvestor Relations Contact

Joel Jeffrey, (212) 271-3610

investorrelations@stifel.com

Stifel Media RelationsContact

Neil Shapiro, (212) 271-3447

shapiron@stifel.com