Current Report Filing (8-k)
06 October 2016 - 11:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
October 4, 2016
Date of report (Date of earliest event reported)
PIPER JAFFRAY COMPANIES
(Exact Name of Registrant as Specified in its Charter)
Delaware
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1-31720
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30-0168701
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(State of Incorporation)
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(Commission File Number)
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(I.R.S. Employer
Identification No.)
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800 Nicollet Mall, Suite 1000
Minneapolis, Minnesota
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55402
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(Address of Principal Executive Offices)
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(Zip Code)
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(612) 303-6000
(Registrants Telephone Number, Including Area Code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2):
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.02.
Departure of Directors or Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
.
On October 4, 2016, Piper Jaffray Companies (the Company) appointed Stuart C. Harvey, Jr. to serve as President and Chief Operating Officer of the Company, effective November 7, 2016.
Mr. Harvey, 54, rejoined the Company in August 2015 as a partner and managing director in its merchant banking group. From 1993 to 2003, he was a managing director in the Companys investment banking department. Prior to rejoining the Company, Mr. Harvey was Chairman, President, and CEO of Ceridian Corporation (Ceridian), a provider of human capital management software and services, from August 2010 to October 2013, and Executive Chairman from October 2013 to August 2015. From October 2013 to November 2014, Mr. Harvey was Chairman, CEO, and President of Comdata, Inc., a subsidiary that was split off by Ceridian that operated fleet and corporate card payments and services. From April 2003 to August 2010, Mr. Harvey was with Elavon Global Acquiring Solutions, Inc. (Elavon), a wholly owned subsidiary of U.S. Bancorp that provides credit card payment processing solutions, becoming Elavons president in 2005 and CEO in 2008.
Mr. Harvey will be eligible to participate in the Companys standard annual and long-term executive compensation programs.
Mr.
Harvey
is
not
a
party
to
any
transaction
with
any
related
person
required
to
be
disclosed
pursuant
to
Item
404(a)
of
Regulation
S-K.
Item 7.01.
Regulation FD Disclosure
.
The Companys press release, issued October 6, 2016, announcing Mr. Harveys appointment is furnished as Exhibit 99 to this Current Report on Form 8-K.
The press release is being furnished pursuant to Item 7.01, and shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act), or otherwise subject to the liabilities under Section 18 of the Exchange Act. Furthermore, the information shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933, as amended, or the Exchange Act.
Item 9.01
Financial Statements and Exhibits
.
(d)
Exhibit
99
Press Release dated October 6, 2016
2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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PIPER JAFFRAY COMPANIES
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Date: October 6, 2016
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/s/ John W. Geelan
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John W. Geelan
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General Counsel and Secretary
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3
EXHIBIT INDEX
No.
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Description
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Manner of Filing
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99
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Press release dated October 6, 2016
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Furnished Electronically
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4
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