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