-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BwvdsL6uVfCb7wD0jmkbRF8TNbdJ2yyB6NC6IZfxWIp46/1VR9Cjdxt35yUT5Zep L7mKTVFcFnsOc0PzAMkzKw== 0000757657-10-000004.txt : 20100512 0000757657-10-000004.hdr.sgml : 20100512 20100512164730 ACCESSION NUMBER: 0000757657-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100512 DATE AS OF CHANGE: 20100512 EFFECTIVENESS DATE: 20100512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STEPHENS INC /AR/ CENTRAL INDEX KEY: 0000757657 IRS NUMBER: 710641478 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01458 FILM NUMBER: 10824973 BUSINESS ADDRESS: STREET 1: 111 CENTER ST CITY: LITTLE ROCK STATE: AR ZIP: 72201 BUSINESS PHONE: 501-377-2000 MAIL ADDRESS: STREET 1: 111 CENTRE STREET CITY: LITTLE ROCK STATE: AR ZIP: 72201 13F-HR 1 si101st.txt 13F QUARTERLY FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2010 Check here if Amendment [ ]; Amendment Number: This amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Stephens Inc. Address: 111 Center Street Little Rock, AR 72201 13F File Number: 28-1458 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Phil Shellabarger Title: Senior Vice President, Chief Compliance Officer - Broker Dealer Phone: (501) 377-2225 Signature, Place, and Date of Signing: /s/ Phil Shellabarger Little Rock, Arkansas May 7, 2010 Stephens Inc. files 13f filings #28-2738 and #28-01458 as one filing. Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 347 Form 13F Information Table Value Total: $909,515 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE TITLE OF VALUE PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) SHARES SH CALL DSCRETN MANAGERS SOLE SHARED NONE - ---------------------------------------------------------------------------------------------------------------------------- AGL RES INC COM 001204106 470 12152 SH DEFINED 0 12152 0 AES CORP COM 00130H105 1351 122800 SH DEFINED 0 122800 0 AMB PROPERTY CORP COM 00163T109 872 32000 SH DEFINED 0 32000 0 AMR CORP COM 001765106 334 36675 SH DEFINED 0 36675 0 AT&T INC COM 00206R102 7788 301378 SH DEFINED 0 301378 0 ABBOTT LABS COM 002824100 1765 33506 SH DEFINED 0 33506 0 ACTIVISION BLIZZARD INC COM 00507V109 28 2292 SH DEFINED 0 2292 0 AETNA INC NEW COM 00817Y108 225 6398 SH DEFINED 0 6398 0 AFFILIATED 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SOUTHWESTERN ENERGY CO COM 845467109 92 2270 SH DEFINED 0 2270 0 SPRINT NEXTEL CORP COM SER 852061100 144 37808 SH DEFINED 0 37808 0 STATOIL ASA SPONSORE 85771P102 205 8800 SH DEFINED 0 8800 0 STRAYER ED INC COM 863236105 9 35 SH DEFINED 0 35 0 SYSCO CORP COM 871829107 804 27261 SH DEFINED 0 27261 0 TJX COS INC NEW COM 872540109 89 2100 SH DEFINED 0 2100 0 TELEFONICA S A SPONSORE 879382208 576 8108 SH DEFINED 0 8108 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 6790 107641 SH DEFINED 0 107641 0 3M CO COM 88579Y101 1231 14734 SH DEFINED 0 14734 0 TIME WARNER INC COM NEW 887317303 1273 40712 SH DEFINED 0 40712 0 TIME WARNER CABLE INC COM 88732J207 438 8207 SH DEFINED 0 8207 0 TOTAL S A SPONSORE 89151E109 1103 19011 SH DEFINED 0 19011 0 TOYOTA MOTOR CORP SP ADR R 892331307 518 6440 SH DEFINED 0 6440 0 TYSON FOODS INC CL A 902494103 503 26250 SH DEFINED 0 26250 0 US BANCORP DEL COM NEW 902973304 2720 105090 SH DEFINED 0 105090 0 UNILEVER PLC SPON ADR 904767704 804 27472 SH DEFINED 0 27472 0 UNILEVER N V N Y SHS 904784709 230 7625 SH DEFINED 0 7625 0 UNITED NAT FOODS INC COM 911163103 3 115 SH DEFINED 0 115 0 UNITED PARCEL SERVICE INC CL B 911312106 1750 27175 SH DEFINED 0 27175 0 UNITED STS GASOLINE FD LP UNITS 91201T102 656 17323 SH DEFINED 0 17323 0 UNITED STATES OIL FUND LP UNITS 91232N108 221 5480 SH DEFINED 0 5480 0 UNITED STS 12 MONTH OIL FD L UNIT BEN 91288V103 2403 58800 SH DEFINED 0 58800 0 UNITED STS 12 MONTH NAT GAS UNIT BEN 91288X109 1114 27444 SH DEFINED 0 27444 0 UNITED TECHNOLOGIES CORP COM 913017109 911 12374 SH DEFINED 0 12374 0 UNITEDHEALTH GROUP INC COM 91324P102 447 13672 SH DEFINED 0 13672 0 UNUM GROUP COM 91529Y106 318 12820 SH DEFINED 0 12820 0 VANGUARD SPECIALIZED PORTFOL DIV APP 921908844 8002 163880 SH DEFINED 0 163880 0 VANGUARD WORLD FD MEGA VAL 921910840 244 6627 SH DEFINED 0 6627 0 VANGUARD BD INDEX FD INC SHORT TR 921937827 754 9425 SH DEFINED 0 9425 0 VANGUARD INTL EQUITY INDEX F EMR MKT 922042858 2506 59462 SH DEFINED 0 59462 0 VANGUARD WORLD FDS FINANCIA 92204A405 763 23530 SH DEFINED 0 23530 0 VANGUARD WORLD FDS HEALTH C 92204A504 1297 22875 SH DEFINED 0 22875 0 VARIAN MED SYS INC COM 92220P105 328 5925 SH DEFINED 0 5925 0 VENTAS INC COM 92276F100 366 7710 SH DEFINED 0 7710 0 VANGUARD INDEX FDS GROWTH E 922908736 1761 31700 SH DEFINED 0 31700 0 VANGUARD INDEX FDS STK MRK 922908769 761 12770 SH DEFINED 0 12770 0 VERIZON COMMUNICATIONS INC COM 92343V104 5370 173107 SH DEFINED 0 173107 0 VISA INC COM CL A 92826C839 651 7150 SH DEFINED 0 7150 0 VODAFONE GROUP PLC NEW SPONS AD 92857W209 1336 57310 SH DEFINED 0 57310 0 WAL MART STORES INC COM 931142103 7959 143150 SH DEFINED 0 143150 0 WALGREEN CO COM 931422109 2319 62536 SH DEFINED 0 62536 0 WASTE MGMT INC DEL COM 94106L109 802 23300 SH DEFINED 0 23300 0 WELLPOINT INC COM 94973V107 674 10474 SH DEFINED 0 10474 0 WELLS FARGO & CO NEW COM 949746101 2530 81289 SH DEFINED 0 81289 0 WESTERN UN CO COM 959802109 1472 86790 SH DEFINED 0 86790 0 WHITNEY HLDG CORP COM 966612103 414 30000 SH DEFINED 0 30000 0 WHOLE FOODS MKT INC COM 966837106 14 400 SH DEFINED 0 400 0 WILLIAMS COS INC DEL COM 969457100 1768 76550 SH DEFINED 0 76550 0 WINDSTREAM CORP COM 97381W104 1915 175857 SH DEFINED 0 175857 0 XILINX INC COM 983919101 543 21300 SH DEFINED 0 21300 0 XEROX CORP COM 984121103 286 29285 SH DEFINED 0 29285 0 YAMANA GOLD INC COM 98462Y100 241 24420 SH DEFINED 0 24420 0 YUM BRANDS INC COM 988498101 231 6020 SH DEFINED 0 6020 0 ZIMMER HLDGS INC COM 98956P102 324 5474 SH DEFINED 0 5474 0 ZIX CORP COM 98974P100 38 16500 SH DEFINED 0 16500 0 COVIDIEN PLC SHS G2554F105 4812 95713 SH DEFINED 0 95713 0 INVESCO LTD SHS G491BT108 4048 184775 SH DEFINED 0 184775 0 ASML HOLDING N V NY REG S N07059186 4 111 SH DEFINED 0 111 0 CORE LABORATORIES N V COM N22717107 5 40 SH DEFINED 0 40 0 VISTAPRINT N V SHS N93540107 5 85 SH DEFINED 0 85 0 STAR BULK CARRIERS CORP COM Y8162K105 236 81000 SH DEFINED 0 81000 0
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