PIPER JAFFRAY COMPANIES (NYSE:PJC) Files An 8-K Submission of Matters to a Vote of Security Holders

PIPER JAFFRAY COMPANIES (NYSE:PJC) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07.Submission of Matters to a Vote of Security Holders.

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(a)

The Company’s 2018 annual meeting of shareholders was held on May 17, 2018. The holders of 12,353,497 shares of common stock, 81.27 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, Chad R. Abraham, Andrew S. Duff, William R. Fitzgerald, 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 2019. The following table shows the vote totals for each of these individuals:

Name

Votes For

Votes Against

Abstentions

Chad R. Abraham

10,547,970

80,145

9,800

Andrew S. Duff

10,483,585

144,628

9,702

William R. Fitzgerald

10,518,830

108,496

10,589

B. Kristine Johnson

10,505,146

123,042

9,727

Addison L. Piper

10,505,203

122,303

10,409

Sherry M. Smith

10,456,528

171,736

9,651

Philip E. Soran

10,581,543

46,518

9,854

Scott C. Taylor

10,542,190

85,613

10,112

Michele Volpi

10,520,279

108,165

9,471

Broker non-votes for each director totaled 1,715,582.

At the annual meeting, our shareholders also approved the proposal to ratify the selection of Ernst & Young LLP as the independent auditor for 2018. The following table indicates the specific voting results for this proposal:

Proposal

Votes For

Votes Against

Abstentions

Ratify the selection of Ernst & Young LLP as the independent auditor for 2018.

12,043,627

299,468

10,402

At the annual meeting, our shareholders also cast an advisory vote to approve the compensation of officers disclosed in the proxy statement, or a “say-on-pay” vote. The following table indicates the specific voting results for this proposal:

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.

9,953,928

646,047

37,940

Broker non-votes for this proposal totaled 1,715,582.


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.

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