Item 8.01 Other Events.
On September 9, 2009, Stifel Financial Corp. (the "Company") announced that
it intends to commence an underwritten public offering of 1,200,000 shares of
its common stock. The underwriters will be granted a 30-day option to purchase
up to an additional 180,000 shares of common stock from the Company to cover
over-allotments, if any. 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: the ability to successfully integrate the
acquired companies or to complete the acquisition of the branch offices and
financial advisors as part of the our transaction with UBS; a material adverse
change in the financial condition; the risk of borrower, depositor and other
customer attrition; a change in general business and economic conditions;
changes in the interest rate environment, deposit flows, loan demand, real
estate values, and competition; changes in accounting principles, policies or
guidelines; changes in legislation and regulation; other economic, competitive,
governmental, regulatory, geopolitical, and technological factors affecting the
companies' operations, pricing, and services; 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 9, 2009, announcing the Proposed Public
Offering of Common Stock
|