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