May 11, 2017 |
Date of report (Date of earliest event reported) |
PIPER JAFFRAY COMPANIES |
(Exact Name of Registrant as Specified in its Charter) |
Delaware | 1-31720 | 30-0168701 | ||
(State of Incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
800 Nicollet Mall, Suite 1000 Minneapolis, Minnesota | 55402 | |
(Address of Principal Executive Offices) | (Zip Code) |
(612) 303-6000 |
(Registrant's Telephone Number, Including Area Code) |
(a) | The Company’s 2017 annual meeting of shareholders was held on May 11, 2017. The holders of 11,789,045 shares of common stock, 77.74 percent of the outstanding shares entitled to vote as of the record date, were represented at the meeting in person or by proxy. |
(b) | At the annual meeting, Andrew S. Duff, William R. Fitzgerald, Michael E. Frazier, B. Kristine Johnson, Addison L. Piper, Sherry M. Smith, Philip E. Soran, Scott C. Taylor and Michele Volpi were elected as directors to serve a one-year term expiring at the annual meeting of shareholders in 2018. The following table shows the vote totals for each of these individuals: |
Name | Votes For | Votes Against | Abstentions | ||||||
Andrew S. Duff | 10,055,159 | 355,301 | 14,556 | ||||||
William R. Fitzgerald | 10,367,128 | 45,048 | 12,840 | ||||||
Michael E. Frazier | 10,385,912 | 26,562 | 12,542 | ||||||
B. Kristine Johnson | 10,273,795 | 138,436 | 12,785 | ||||||
Addison L. Piper | 10,329,412 | 82,689 | 12,915 | ||||||
Sherry M. Smith | 10,298,689 | 113,718 | 12,609 | ||||||
Philip E. Soran | 10,395,876 | 16,663 | 12,477 | ||||||
Scott C. Taylor | 10,325,668 | 86,815 | 12,533 | ||||||
Michele Volpi | 10,271,826 | 83,704 | 69,486 |
Proposal | Votes For | Votes Against | Abstentions | |||||||
Ratify the selection of Ernst & Young LLP as the independent auditor for 2017. | 11,541,507 | 231,590 | 15,948 |
Proposal | Votes For | Votes Against | Abstentions | |||||||
Advisory (non-binding) resolution approving the compensation of the officers disclosed in the proxy statement, or a “say-on-pay” vote. | 9,929,328 | 470,171 | 25,517 |
Proposal | One Year | Two Years | Three Years | Abstentions | |||||||||
Advisory (non-binding) resolution on the frequency of future “say-on-pay” votes. | 7,774,269 | 9,312 | 2,576,003 | 65,432 |
(d) | Based on the results of the advisory vote recommending the frequency of future "say-on-pay" votes, the Board of Directors has determined to include a shareholder vote on executive compensation in its proxy materials on an annual basis. |
PIPER JAFFRAY COMPANIES | ||||||
Date: May 12, 2017 | By | /s/ John W. Geelan | ||||
John W. Geelan | ||||||
General Counsel and Secretary |