STIFEL FINANCIAL CORP. (NYSE:SF) Files An 8-K Other EventsItem 8.01 Other Events.
As previously disclosed, on October4, 2017, Stifel Financial Corp. (the “Company”) completed the sale of $200,000,000 aggregate principal amount of the Company’s 5.20% Senior Notes due 2047 (the “Notes”), to an Underwriting Agreement dated as of September27, 2017, among the Company and Keefe, Bruyette& Woods, Inc., Merrill Lynch, Pierce, Fenner& Smith Incorporated and Morgan Stanley& Co. LLC, as representatives of the underwriters named in ScheduleA thereto (the “Underwriters”). On October27, 2017, the Company completed the sale of an additional $25,000,000 aggregate principal amount of Notes (the “Option Notes”), to the Underwriters’ exercise of a portion of their over-allotment option to purchase additional Notes.
In connection with the offering of the Option Notes, the Company is filing this Current Report on Form 8-K to add as an exhibit to the Registration Statement the opinion of counsel with respect to the status of the Option Notes as binding obligations (Exhibit 5.1 to this Current Report on Form 8-K).
Item 8.01 Exhibits.
|
Exhibit No. |
Description of Exhibit |
| 5.1 | Opinion of Bryan Cave LLP. |
| 23.1 | Consent of Bryan Cave LLP (included in Exhibit 5.1). |
EXHIBIT INDEX
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STIFEL FINANCIAL CORP ExhibitEX-5.1 2 d485989dex51.htm EX-5.1 EX-5.1 BRYAN CAVE LLP One Metropolitan Square,…To view the full exhibit click here
About STIFEL FINANCIAL CORP. (NYSE:SF)
Stifel Financial Corp. is a financial holding company. Its principal subsidiary is Stifel, Nicolaus & Company, Incorporated, a retail and institutional wealth management and investment banking firm. Its principal activities are private client services, including securities transaction and financial planning services; institutional equity and fixed income sales, trading, research and municipal finance; investment banking services, including mergers and acquisitions, public offerings and private placements, and retail and commercial banking, including personal and commercial lending programs. It operates through three segments. The Global Wealth Management segment consists of the Private Client Group and Stifel Bank businesses. The Institutional Group segment includes research, equity and fixed income institutional sales and trading, investment banking, public finance and syndicate. The Other segment includes interest income from stock borrow activities and interest income.
