Chief Compliance Officer

MA/A 0000724683 XXXXXXXX Meghan Anderson 612-303-5696 meghan.g.anderson@pjc.com Melissa.D.Richason@pjc.com Ann.C.McCague@pjc.com Gregory.S.Byer@pjc.com Registration@pjc.com karen.j.costello@pjc.com PIPER JAFFRAY & CO. 000000665 41-0953246 866-00024-00 867-01178-00 008-15204 000000665 ALL 50 US STATES; PR U.S. COMMODITY FUTURES TRADING COMMISSION NFA 0001427 800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020 612-303-6000 612-303-6295 Add 1420 FIFTH AVE SUITE 4300 SEATTLE WA 98101 206-628-2882 206-343-2103 Add 2321 ROSECRANS AVE SUITE 3200 EL SEGUNDO CA 90245 310-406-1940 Add 11635 ROSEWOOD STREET LEAWOOD KS 66211 913-345-3300 913-345-3393 Add 1200 17TH STREET SUITE 1250 DENVER CO 80202 303-820-5865 303-820-5891 Add 1300 SW FIFTH AVE. SUITE 3650 PORTLAND OR 97201 503-275-8300 503-275-8312 N 800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020 http://www.piperjaffray.com ANNCHARLOTTE NMN MCCAGUE Chief Compliance Officer

800 Nicollet Mall Suite 1000 Minneapolis MN 55402-7020

612-303-6359 612-303-6295 Ann.C.McCague@pjc.com GREGORY SCOTT BYER PRINCIPAL/ ASSOCIATE COMPLIANCE DIRECTOR

800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020

612-303-6429 612-303-6295 Gregory.S.Byer@pjc.com PIPER JAFFRAY INVESTMENT MANAGEMENT LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-68637 PJC CAPITAL PARTNERS LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-77373 PIPER JAFFRAY LTD. Y COMPANIES HOUSE, REGISTRAR OF COMPANIES FOR ENGLAND AND WALES 3846990 - UK TAX/REGISTRATION NUMBER X0 ADVISORY RESEARCH INC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-14172 PIPER JAFFRAY VENTURES INC. Y STATE OF DELAWARE 2004658 DE PIPER JAFFRAY ASIA HOLDINGS LIMITED N PIPER JAFFRAY HONG KONG LIMITED Y Securities and Futures Commission BFG356 K3 December DE 07-28-1969 N 638 133 133 0 0 135 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection Brokerage Of MEI Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor 141 Amend Broker-dealer municipal securities dealer or government securities broker or dealer DUFF, ANDREW SCOTT ANDREW DUFF Y Y N Amend Broker-dealer municipal securities dealer or government securities broker or dealer ABRAHAM, CHAD RICHARD CHAD ABRAHAM Y Y N Amend Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FAIRMAN IV, FRANCIS EVARTS FRANK FAIRMAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer GEELAN JR., JOHN WILLIAM JOHN GEELAN Y Y N Amend Broker-dealer municipal securities dealer or government securities broker or dealer KLINEFELTER, JEFFREY PAUL JEFF KLINEFELTER Y Y N Amend Broker-dealer municipal securities dealer or government securities broker or dealer LARUE, ROBERT SCOTT SCOTT LARUE Y Y Y Securities and Futures Commission AUW237 K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer MCCAGUE, ANNCHARLOTTE NMN ANN MCCAGUE Y Y N Amend Broker-dealer municipal securities dealer or government securities broker or dealer SCHONEMAN, DEBBRA LYNN DEB SCHONEMAN Y Y N Amend Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WINGES, MARTIN BRADLEY BRAD WINGES Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ADLER, MARK JEROME MARK ADLER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ARMAGNO JR, MICHAEL A MIKE ARMAGNO Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor AVEY, DUSTIN JAY DUSTIN AVEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BARATTA, JEFFREY ALLEN JEFF BARATTA Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BESSETTE, CHRISTOPHER PAUL CHRIS BESSETTE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BOCK, MICHELLE MARIE MICHELLE BOCK Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BOEHM, BARRETT LANDON LANDON BOEHM Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BRADFORD, DANIELLE NICOLE DANIELLE BRADFORD Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BRASHER, KELLY PAIGE KELLY BRASHER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor BRODY, JOANNA LYNN JOANNA BRODY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CALABRO JR, RICHARD NICHOLAS RICHARD CALABRO Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CALDWELL, CHRISTOPHER WOLFE KIT CALDWELL Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CARLSON, TREVOR LOUIS TREVOR CARLSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CARTY, TIMOTHY PATRICK TIMOTHY CARTY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CAVALIER, STEPHEN ANTHONY STEVE CAVALIER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CHANEY, JOYCE ELAINE JOYCE CHANEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COAN, JOHN BARTHOLOMEW JOHN COAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COLEMAN, CHRISTOPHER MICHAEL CHRIS COLEMAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COURTNEY, MATTHEW THOMAS MATTHEW COURTNEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor CREGGER, HELEN HELEN CREGGER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DAVIS, WILLIAM COLEMAN BILL DAVIS Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DEWEERDT, NATHANIEL NATHAN DEWEERDT Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DILLINGHAM, JACK CLIFTON JACK DILLINGHAM Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor DONEFF, DARCI LEE DARCI DONEFF Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor EDWARDS, KIMBERLY KAYE KIM EDWARDS Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor FLANNERY, CHRISTOPHER JOHN CHRIS FANNERY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FOLSOM JR, JAMES ELISHA JAMES FOLSOM Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FREDERICK SR, WILLIAM RANDALL WILLIAM FREDERICK Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FREDERICKSON, MICHAEL ALDEN MIKE FREDERICKSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GERBER, JEREMY JOSEPH JEREMY GERBER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GILLASPIE, MATTHEW ROGER MATTHEW GILLASPIE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GILLIAM, CURTIS MCCOWN CURT GILLIAM Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GOFFOY, ARMAN TODD TODD GOFFOY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GREEN, NATHAN VANCE NATHAN GREEN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HAGEN, NICHOLAS PATRICK NICK HAGEN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HALL, MATTHEW CRAIG MATTHEW HALL Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HEINEN, NEIL AUGUST NEIL HEINEN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HENDERSON, WILLIAM PAUL BILL HENDERSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HENNINGSGARD, JOHN DAVID JOHN HENNINGSGARD Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HERINGER, ERIC ADRIAN ERIC HERINGER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HEROUX, P JONATHAN JONATHAN HEROUX Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor HROMATKA, JAY FRANCIS JAY HROMATKA Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KEITH, MICHAEL LEROY MICHAEL KEITH Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KELLEY, TIMOTHY HALLMAN TIM KELLEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KILEY, DAVID EMMETT DAVID KILEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KIM, JIN YOUNG JIN KIM Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KLEVEN, KEITH PETER KEITH KLEVEN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KLINGES JR, DAVID HENRY DAVID KLINGES Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KOLP, DEBORAH LEE DEBBIE KOLP Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor KOSTER, KATHERINE ANN KATIE KOSTER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor LAFLEUR, THOMAS MARK TOM LAFLEUR Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LANEY, JANET SUE JANET LANEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LANGNER, BRADLEY GORDON BRADLEY LANGNER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LE, HY QUANG HY LE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEE, DANIEL J DANIEL LEE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEE, JUSTIN ARTHUR JUSTIN LEE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEE, MARK JAMES MARK LEE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEHMAN, JAMES DALE DALE LEHMAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LEHMAN, JAMES PAUL PAUL LEHMAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LI, IVORY R. IVORY LI Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LIEN, MELANIE KAY MELANIE LIEN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LUND, MICHAEL PETER MICHAEL LUND Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LUNDE, ERIC ROBERT ERIC LUNDE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MACMILLAN, LAUREN MARIE LAUREN MACMILLAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCCARTHY, JAMES L CHIP MCCARTHY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCCARTHY, ROMY LEIGH ROMY MCCARTHY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCCOY, JONATHAN BLAINE JONATHAN MCCOY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Commodity trading advisor Other municipal advisor MCGUFFEE II, JERE SHEFFIELD JERE MCGUFFEE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCGUIRE, DENNIS JAMES DENNIS MCGUIRE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MCQUERRY, KRISTEN CIARA KRISTEN MCQUERRY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MILLER, JOHN VONIER JOHN MILLER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MITCHELL, DENNIS VERLE DENNIS MITCHELL Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MOLONEY, MICHAEL WHIT WHIT MOLONEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MONWAI, JUSTIN WEN JUSTIN MONWAI Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MORENO, RENE ANTONIO RENE MORENO Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor MORGAN, KEITH JOSEPH KEITH MORGAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NASSIF, JOSEPH ELIAN JOSEPH NASSIF Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NELSON, DEREK LELAND DEREK NELSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor NIGGEL, JOSEPH ANDREW JOE NIGGEL Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor O'LEARY, PATRICK JAMES PATRICK O'LEARY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor O'STEAN, STEPHEN GREGORY GREG O'STEAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor OSWALD, TIMOTHY JOHN TIM OSWALD Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PAAUWE, DIANE LYNN DIANE PAAUWE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PELLICCI, JOHN FERRO JOHN PELLICCI Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PETERSON, JOHN DAVID JOHN PETERSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PHILLIPPI, PETER JON PETER PHILLIPPI Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PISCATELLI, MARK STEPHEN MARK PISCATELLI Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PRCELA, MICHAEL FRANCIS MICHAEL PRCELA Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PREZIOSO, MARIE LAVINIA MARIE PREZIOSO Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor PROESCHEL, STEVEN JOHN STEVE PROESCHEL Y Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RANGEL, PARKER OGDEN PARKER RANGEL Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RAPISTA, ANTHONY LASERNA TONY RAPISTA Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RATTNER, YAFFA TZIPORAH YAFFA RATTNER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor REYES, RUSSELL CARCALLAS RUSS REYES Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RIVARD, BRENT MATTHEW BRENT RIVARD Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RUTH, JONATHAN DOUGLAS JONATHAN RUTH Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SAMUELS, CAROL ELTING CAROL SAMUELS Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SCHOBER JR, RICHARD ARNOLD DICK SCHOBER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SCHULZ, EUGENE RICHARD GENE SCHULZ Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SHELBY, CHRISTOPHER MILO CHRISTOPHER SHELBY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SHELLEY, ROBERT EUGENE ROBERT SHELLEY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SHEMS, NESSY NESSY SHEMS Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SILVER, MARC GLENN MARC SILVER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SMITH, MICHAEL CHARLES MICHAEL SMITH Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SMITH, WENDY ANN WENDY SMITH Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SORENSEN, BRUCE ELLIOTT BRUCE SORENSEN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SOVDE, LINDSAY ANNE LINDSAY SOVDE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SPENGLER, JOHN EDWARD BRIGHAM JEB SPENGLER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SQUIRES, TRAVIS RAY TRAVIS SQUIRES Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor STEFAN, RYAN CHRISTOPHER RYAN STEFAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SWANSON, RYAN LEWIS RYAN SWANSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor SWARTZ, GREGORY GELON GREG SWARTZ Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor THOMPSON, SHANNON BUCKLEY SHANNON THOMPSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor VAHRENBERG, GREGORY MICHAEL GREG VAHRENBERG Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor VANDEVENTER, TODD CHARLES TODD VANDEVENTER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WADE, JENNIFER LYNN JENNIFER WADE Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WALL, EDMUND JOSEPH ED WALL Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WATKINS, BRENDAN PATRICK BRENDAN WATKINS Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WEAVER, MATTHEW WILLIAM MATT WEAVER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WERNER, GEORGE CLAYTON GEORGE WERNER Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WHITSON, THOMAS WAYNE TOM WHITSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WILSON, JENNIFER LYNNE JENNIFER WILSON Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WIRT, BRADLEY DEAN BRAD WIRT Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WOODARD, STEPHEN WALLACE STEVE WOODARD Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WRIGHT JR, TRENNIS LEE TRENNIS WRIGHT Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ZAPPALA, ALEXIS PAMELA ALEXIS ZAPPALA Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor ZHANG, NAICHUN PATRICK ZHANG Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer PATRICK CHARLES GRAY PAT GRAY Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor LOHR, RICHARD W. RICHARD LOHR Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor GUOBADIA, OGIEVA OGIEVA GUOBADIA Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor WILDMAN, WILLIAM WILLIAM WILDMAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor COAN, THOMAS THOMAS COAN Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor RIEBELING, MICHAEL MICHAEL RIEBELING Y Y N N N N N N N N N N N N N N PIPER JAFFRAY COMPANIES 0001230245 Schedule A N N N N N Y N Y Y N Y N Y N Y Y N Y N N Y Y N N N Y PIPER JAFFRAY COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y ANDREW SCOTT DUFF CHAIRMAN, CEO; BOARD MEMBER 12-19-2003 NA Y 000719526 DEBBRA LYNN SCHONEMAN CHIEF FINANCIAL OFFICER 05-16-2008 NA Y 001980635 FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 001171131 ANNCHARLOTTE NMN MCCAGUE CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 001108448 MARTIN BRADLEY WINGES HEAD OF FIXED INCOME SERVICES; BOARD MEMBER 01-01-2009 NA Y 001929509 CHAD RICHARD ABRAHAM CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 002190836 ROBERT SCOTT LARUE CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 003185126 JEFFREY PAUL KLINEFELTER HEAD OF EQUITIES; BOARD MEMBER 07-01-2012 NA Y 002961501 JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 004905460 Add PIPER JAFFRAY COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y Amend ANDREW SCOTT DUFF CHAIRMAN, CEO; BOARD MEMBER 12-19-2003 NA Y 000719526 Add DEBBRA LYNN SCHONEMAN CHIEF FINANCIAL OFFICER 05-16-2008 NA Y 001980635 Add FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 001171131 Add ANNCHARLOTTE NMN MCCAGUE CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 001108448 Add MARTIN BRADLEY WINGES HEAD OF FIXED INCOME SERVICES; BOARD MEMBER 01-01-2009 NA Y 001929509 Add CHAD RICHARD ABRAHAM CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 002190836 Add ROBERT SCOTT LARUE CO-HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 003185126 Add JEFFREY PAUL KLINEFELTER HEAD OF EQUITIES; BOARD MEMBER 07-01-2012 NA Y 002961501 Add JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 004905460 9-E2 PIPER JAFFRAY & CO. 000000665 113448 9-E2 PIPER JAFFRAY & CO. 000000665 113449 9-E2 PIPER JAFFRAY & CO 000000665 113450 9-D2 PIPER JAFFRAY & CO. 000000665 113452 9-E2 PIPER JAFFRAY & CO. 000000665 113453 9-E2 PIPER JAFFRAY & CO. 000000665 113454 9-E2 PIPER JAFFRAY & CO. 000000665 113455 9-E2 PIPER JAFFRAY & CO. 000000665 142257 9-D2 9-D4 PIPER JAFFRAY & CO. 000000665 150226 9-E2 PIPER JAFFRAY & CO. 000000665 203527 9-E2 PIPER JAFFRAY & CO. 000000665 229628 9-E2 PIPER JAFFRAY & CO. 000000665 257012 9-E2 PIPER JAFFRAY & CO. 000000665 267470 9-E2 PIPER JAFFRAY & CO. 000000665 271078 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McCague Ann C. McCague Chief Compliance Officer 08-14-2015 001108448 N N N N N Y Y Y N N N N Y N N N N Y N N