0001230245-16-000326.txt : 20161115
0001230245-16-000326.hdr.sgml : 20161115
20161115193309
ACCESSION NUMBER: 0001230245-16-000326
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161114
FILED AS OF DATE: 20161115
DATE AS OF CHANGE: 20161115
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: 162001089
MAIL ADDRESS:
STREET 1: 800 NICOLLET MALL
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-11-14
0001230245
PIPER JAFFRAY COMPANIES
PJC
0001185482
DUFF ANDREW S
800 NICOLLET MALL
MINNEAPOLIS
MN
55402
1
1
0
0
Chairman and CEO
Common Stock
2016-11-14
4
M
0
32149
41.09
A
276386
D
Common Stock
2016-11-14
4
S
0
17749
65.042
D
258637
D
Common Stock
2016-11-14
4
S
0
13680
65.8954
D
244957
D
Common Stock
2016-11-14
4
S
0
720
66.7056
D
244237
D
Common Stock
10
I
By minor children
Employee Stock Option (right to buy)
41.09
2016-11-14
4
M
0
32149
0
D
2011-02-15
2018-02-15
Common Stock
32149
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.5500 to $65.5500 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.6000 to $66.6000 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.6500 to $66.8500 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.
/s/ John W. Geelan for Andrew S. Duff
2016-11-15