0001230245-16-000309.txt : 20161101 0001230245-16-000309.hdr.sgml : 20161101 20161101164809 ACCESSION NUMBER: 0001230245-16-000309 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161031 FILED AS OF DATE: 20161101 DATE AS OF CHANGE: 20161101 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER JAFFRAY COMPANIES CENTRAL INDEX KEY: 0001230245 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 300168701 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL, SUITE 1000 STREET 2: MAIL STOP J09S02 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612) 303-6000 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL, SUITE 1000 STREET 2: MAIL STOP J09S02 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DUFF ANDREW S CENTRAL INDEX KEY: 0001185482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31720 FILM NUMBER: 161965314 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-10-31 0001230245 PIPER JAFFRAY COMPANIES PJC 0001185482 DUFF ANDREW S 800 NICOLLET MALL MINNEAPOLIS MN 55402 1 1 0 0 Chairman and CEO Common Stock 2016-10-31 4 G 0 4558 0 D 244237 D Common Stock 10 I By minor children The reported transaction was a gift by the reporting person to a non-profit organization. /s/ John W. Geelan for Andrew S. Duff 2016-11-01