Filing Details

Accession Number:
0001230245-14-000209
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-18 17:08:48
Reporting Period:
2014-11-17
Filing Date:
2014-11-18
Accepted Time:
2014-11-18 17:08:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1230245 Piper Jaffray Companies PJC Security Brokers, Dealers & Flotation Companies (6211) 300168701
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1185482 S Andrew Duff 800 Nicollet Mall
Minneapolis MN 55402
Chairman And Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-11-17 11,719 $39.62 172,889 No 4 M Direct
Common Stock Disposition 2014-11-17 10,148 $56.30 162,741 No 4 S Direct
Common Stock Disposition 2014-11-17 1,571 $57.16 161,170 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2014-11-17 11,719 $0.00 11,719 $39.62
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2008-02-22 2015-02-22 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 10 Indirect By minor children
Common Stock 2,707 Indirect By PJC Retirement Plan
Footnotes
  1. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 5, 2014.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.92 to $56.89 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.97 to $57.38 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.
  4. Based on a plan report dated November 17, 2014.