PIPER JAFFRAY COMPANIES (NYSE:PJC) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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PIPER JAFFRAY COMPANIES (NYSE:PJC) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On November21, 2017, Piper Jaffray Companies (the “Company”) announced that Timothy L. Carter, Treasurer of the Company, will assume the role of Chief Financial Officer, effective as of January1, 2018.

Mr.Carter, 50, joined the Company’s accounting department in 1995. He was named Controller in 1999, and Chief Accounting Officer in 2006. He became Treasurer of the Company in 2008 with responsibilities for managing the treasury and financial planning and analysis functions of the Company. In 2010, he assumed additional responsibilities as Head of Financial Risk for managing the Company’s market and credit risk.

As Chief Financial Officer of the Company, Mr.Carter will continue to be eligible to participate in the Company’s standard annual and long-term executive compensation programs.

There are no family relationships between Mr.Carter and any other executive officer or director of the Company that require disclosure under Item 401(d)of Regulation S-K. Mr.Carter is not a party to any transaction with any related person required to be disclosed to Item 404(a)of Regulation S-K.

Item 7.01. Regulation FD Disclosure.

On November21, 2017, the Company issued a press release announcing the events discussed in Item 5.02 above, the text of which is furnished as Exhibit99 hereto. The information contained in this Item 7.01 and Exhibit99 is being furnished, and shall not be deemed “filed” for purposes of Section18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under Section18 of the Exchange Act. Furthermore, the information contained in this Item 7.01 and Exhibit99 shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933, as amended, or the Exchange Act.

Item 9.01.Financial Statements and Exhibits.

(d)Exhibits.

Press Release dated November21, 2017.


PIPER JAFFRAY COMPANIES Exhibit
EX-99 2 a17-27392_1ex99.htm EX-99 Exhibit 99   Piper Jaffray Companies 800 Nicollet Mall,…
To view the full exhibit click here

About PIPER JAFFRAY COMPANIES (NYSE:PJC)

Piper Jaffray Companies is an investment bank and asset management company, which serves the needs of corporations, private equity groups, public entities, non-profit entities and institutional investors in the United States and internationally. The Company provides products and services, including equity and debt capital markets products, financial advisory services, equity and fixed income institutional brokerage, equity and fixed income research, and asset management services. Its segments include Capital Markets and Asset Management. The Capital Markets segment provides investment banking and institutional sales, trading and research services for various equity and fixed income products. The Capital Markets segment also includes the alternative asset management funds and its principal investments. The Asset Management segment includes its traditional asset management business and its investments in registered funds and private funds or partnerships that it manages.