0001230245-19-000018.txt : 20190220 0001230245-19-000018.hdr.sgml : 20190220 20190220160258 ACCESSION NUMBER: 0001230245-19-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190216 FILED AS OF DATE: 20190220 DATE AS OF CHANGE: 20190220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker James P CENTRAL INDEX KEY: 0001763980 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31720 FILM NUMBER: 19618237 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-02-16 0001230245 PIPER JAFFRAY COMPANIES PJC 0001763980 Baker James P 800 NICOLLET MALL MINNEAPOLIS MN 55402 0 1 0 0 Global Co-Head IB and Cap Mkts Common Stock 2019-02-16 4 F 0 152 0 D 42241 D Common Stock 2019-02-16 4 F 0 416 0 D 41825 D Common Stock 2019-02-16 4 A 0 3428 0 A 45253 D Common Stock 25699 I By Spouse as sole Trustee and Beneficiary for Irrevocable Trust Common Stock 25699 I By Irrevocable Trust The shares are held in an irrevocable trust for the benefit of the reporting person's spouse. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. The shares are held in an irrevocable trust for the benefit of the reporting person. The reporting person is trustee of the trust. /s/ John W. Geelan for James P. Baker 2019-02-20