Piper Jaffray Companies Contracts & Agreements

Amended and Restated Credit Agreement, dated (Filed With SEC on November 7, 2024)

Form of Performance Share Unit Agreement for 202 (Filed With SEC on February 26, 2024)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 26, 2024)

Amended and Restated Credit Agreement, dated December 20, 2022, by and between Piper Sandler Companies and U.S. Bank National Association (Filed With SEC on February 26, 2024)

Eleventh Amendment to Amended and Restated Loan Agreement, dated December 8, 2023, by and between Piper Sandler & Co. and U.S. Bank National Association (Filed With SEC on February 26, 2024)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 202 (Filed With SEC on February 26, 2024)

Letter Agreement, dated August 8, 2023, by and between Piper Sandler Companies and Katherine P. Clune (Filed With SEC on September 12, 2023)

First Amendment to Amended and Restated Credit Agreement, dated April 26, 2023, by and between Piper Sandler Companies and U.S. Bank National Association (Filed With SEC on August 2, 2023)

Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (as amended and restated May 17, 2023) (Filed With SEC on May 18, 2023)

Form of Performance Share Unit Agreement for 2023 Leadership Team Grants under the Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 24, 2023)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 24, 2023)

Amended and Restated Credit Agreement, dated December 20, 2022, by and between Piper Sandler Companies and U.S. Bank National Association (Filed With SEC on February 24, 2023)

Amended and Restated Loan Agreement (Filed With SEC on February 24, 2023)

Piper Sandler Companies Amended and Restated Mutual Fund Restricted Share Investment Plan, effective as of November 16, 2022 (Filed With SEC on February 24, 2023)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 2023 (related to performance in 2022) under the Piper Sandler Companies Amended and... (Filed With SEC on February 24, 2023)

Form of Non-Qualified Stock Option Agreement for 2023 Special Grant under the Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 10, 2023)

Termination Letter, dated April 18, 2022, by and between Piper Sandler Companies and Brian R. Sterling (Filed With SEC on August 2, 2022)

Form of Performance Share Unit Agreement for 2022 Leadership Team Grants under the Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 25, 2022)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 25, 2022)

Amended and Restated Loan Agreement dated December 28, 2012, between Piper Sandler & Co. and U.S. Bank National Association (Filed With SEC on February 25, 2022)

Ninth Amendment to Amended and Restated Loan Agreement, dated December 10, 2021, between Piper Sandler & Co. and U.S. Bank National Association (Filed With SEC on February 25, 2022)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 2022 (related to performance in 2021) under the Piper Sandler Companies Amended and... (Filed With SEC on February 25, 2022)

Amendment Letter, dated January 10, 2022, by and between Piper Sandler Companies and Brian R. Sterling (Filed With SEC on February 25, 2022)

Amendment Letter, dated March 10, 2021, by and between Piper Sandler Companies and Jonathan J. Doyle (Filed With SEC on May 6, 2021)

Form of Performance Share Unit Agreement for 2021 Leadership Team Grants under the Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 25, 2021)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 25, 2021)

Credit Agreement, dated December 20, 2019, by and between Piper Sandler Companies and U.S. Bank National Association, as conformed through the first amendment, dated January 15,... (Filed With SEC on February 25, 2021)

Eighth Amendment to Amended and Restated Loan Agreement, dated December 11, 2020, between Piper Sandler & Co. and U.S. Bank National Association (Filed With SEC on February 25, 2021)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 2021 (related to performance in 2020) under the Piper Sandler Companies Amended and... (Filed With SEC on February 25, 2021)

Transition Services Agreement, dated December 31, 2020, by and between Piper Sandler & Co. and Brian R. Sterling (Filed With SEC on February 25, 2021)

Description of Securities (Filed With SEC on February 28, 2020)

Form of Performance Share Unit Agreement for 2020 Leadership Team Grants under the Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 28, 2020)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 28, 2020)

Seventh Amendment to Amended and Restated Loan Agreement, dated December 13, 2019, between Piper Sandler & Co. and U.S. Bank National Association (Filed With SEC on February 28, 2020)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 2020 (related to performance in 2019) under the Piper Sandler Companies Amended and... (Filed With SEC on February 28, 2020)

Equity Consideration Restricted Stock Agreement, dated July 9, 2019, by and between Piper Sandler Companies and Jonathan J. Doyle (Filed With SEC on February 28, 2020)

Letter Agreement, dated as of July 8, 2019, between the Company and Jonathan J. Doyle (Filed With SEC on January 6, 2020)

Credit Agreement, dated as of December 20, 2019, by and between Piper Jaffray Companies and U.S. Bank National Association (Filed With SEC on December 20, 2019)

Note Purchase Agreement, dated October 15, 2019, by and among Piper Jaffray Companies, Piper Jaffray & Co., and the Purchasers party thereto (Filed With SEC on October 15, 2019)

Agreement and Plans of Merger, dated July 9, 2019, by and between Piper Jaffray Companies, SOP Holdings, LLC, Sandler ONeill & Partners Corp., Sandler ONeill & Partners L.P. and... (Filed With SEC on July 10, 2019)

Form of Performance Share Unit Agreement for 2019 Leadership Team Grants under the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 26, 2019)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 26, 2019)

Sixth Amendment to Amended and Restated Loan Agreement, dated December 14, 2018, between Piper Jaffray & Co. and U.S. Bank National Association (Filed With SEC on February 26, 2019)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 2019 (related to performance in 2018) under the Piper Jaffray Companies Amended and... (Filed With SEC on February 26, 2019)

Form of Specimen Certificate for Piper Jaffray Companies Common Stock (Filed With SEC on February 26, 2018)

Form of Performance Share Unit Agreement for 2018 Leadership Team Grants under the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 26, 2018)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 26, 2018)

Fifth Amendment to Amended and Restated Loan Agreement, dated December 16, 2017, between Piper Jaffray & Co. and U.S. Bank National Association (Filed With SEC on February 26, 2018)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 2018 (related to performance in 2017) under the Piper Jaffray Companies Amended and... (Filed With SEC on February 26, 2018)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for California-based Employee Grants in 2018 (related to performance in 2017) under the Piper Jaffray Companies... (Filed With SEC on February 26, 2018)

Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Andrew S. Duff in 2018 (related to performance in 2017) under the Piper Jaffray Companies Amended and... (Filed With SEC on February 26, 2018)

Form of 2018 Performance Share Unit Agreement for Andrew S. Duff under the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 26, 2018)

Separation Agreement and Release, dated December 4, 2017, between Piper Jaffray & Co. and Stuart C. Harvey, Jr (Filed With SEC on February 26, 2018)

Amendment No.1 to Separation Agreement and Release, dated December 22, 2017, between Piper Jaffray & Co. and Stuart C. Harvey, Jr (Filed With SEC on February 26, 2018)

Confidential Separation Agreement and Release, dated October 6, 2017, between Advisory Research, Inc. and Christopher D. Crawshaw (Filed With SEC on February 26, 2018)

Form of Non-Qualified Stock Option Agreement for 2018 Promotional Grants under the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on February 9, 2018)

Post-Termination Agreement, dated as of January 1, 2018, between Piper Jaffray Companies and Andrew S. Duff (Filed With SEC on January 4, 2018)

First Amendment to Second Amended and Restated Indenture (Secured Commercial Paper Notes - Series I), dated September 29, 2017, between Piper Jaffray & Co. and the Bank of New... (Filed With SEC on November 8, 2017)

Amended and Restated Indenture (Secured Commercial Paper Notes Series II), dated as of April 30, 2015, between Piper Jaffray & Co. and the Bank of New York Mellon (Filed With SEC on October 2, 2017)

First Amendment to Amended and Restated Indenture (Secured Commercial Paper Notes Series II), dated as of September 29, 2017, between Piper Jaffray & Co. and the Bank of New York... (Filed With SEC on October 2, 2017)

SEPARATION AGREEMENT AND GENERAL RELEASE (Filed With SEC on August 4, 2017)

[U.S. Bank Letterhead] (Filed With SEC on May 9, 2017)

SECOND AMENDMENT TO SECURITIES PURCHASE AGREEMENT (Filed With SEC on May 9, 2017)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT (Filed With SEC on February 24, 2017)

FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on February 24, 2017)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN (Amended and Restated as of December 13, 2016) (Filed With SEC on February 24, 2017)

RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2017 Annual Grant) Under the PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN AND... (Filed With SEC on February 24, 2017)

RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2017 Annual Grant - California-based employees) Under the PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND... (Filed With SEC on February 24, 2017)

FIRST AMENDMENT TO SECURITIES PURCHASE AGREEMENT (Filed With SEC on May 4, 2016)

CONSULTING AGREEMENT FOR SERVICES OF INDEPENDENT CONTRACTOR (Filed With SEC on May 4, 2016)

PIPER JAFFRAY COMPANIES RESTRICTED STOCK AGREEMENT (Relating to Equity Consideration under the Securities Purchase Agreement described below) (Filed With SEC on May 4, 2016)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN (Amended and Restated as of February 16, 2016) (Filed With SEC on May 4, 2016)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee:No. of Performance Share Units Covered:Date... (Filed With SEC on May 4, 2016)

SECURITIES PURCHASE AGREEMENT among PIPER JAFFRAY COMPANIES (Parent) PIPER JAFFRAY & CO. (Buyer) SIMMONS & COMPANY INTERNATIONAL (TexCo) SCI JV LP (Seller) SCI GP, LLC (GP Seller)... (Filed With SEC on November 17, 2015)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee:No. of Performance Share Units Covered:Date... (Filed With SEC on August 5, 2015)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN (As amended and restated effective May 13, 2015) (Filed With SEC on May 14, 2015)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN Restricted Stock Agreement (2015 Annual Grant) Name of Employee:No. of Shares Covered:Date of... (Filed With SEC on February 26, 2015)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN Restricted Stock Agreement (2015 Annual Grant California-based employees) Name of... (Filed With SEC on February 26, 2015)

SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on February 26, 2015)

RESTRICTED LIMITED PARTNERSHIP INTEREST AGREEMENT (Filed With SEC on February 26, 2015)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN MUTUAL FUND RESTRICTED SHARE AGREEMENT (2015 Annual Grant) Name of Employee:Date of Award: February __,... (Filed With SEC on February 26, 2015)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN MUTUAL FUND RESTRICTED SHARE AGREEMENT (2015 Annual Grant California-based employees) Name of Employee:Date of... (Filed With SEC on February 26, 2015)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT (Filed With SEC on July 30, 2014)

PIPER JAFFRAY & CO. Issuer THE BANK OF NEW YORK MELLON Trustee SECOND AMENDED AND RESTATED INDENTURE Dated as of April 21, 2014 SECURED COMMERCIAL PAPER NOTES- SERIES III (Filed With SEC on April 21, 2014)

CONSULTING AGREEMENT (Filed With SEC on March 19, 2014)

INDEMNIFICATION AGREEMENT (Filed With SEC on March 17, 2014)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN Restricted Stock Agreement (201_ Annual Grant) Name of Employee:No. of Shares Covered:Date of... (Filed With SEC on February 28, 2014)

FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on February 28, 2014)

ADVISORY RESEARCH, INC. LONG-TERM INCENTIVE PLAN (Filed With SEC on February 28, 2014)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN MUTUAL FUND RESTRICTED SHARE AGREEMENT (201_ Annual Grant) Name of Employee:Date of Award: Shares... (Filed With SEC on February 28, 2014)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee:No. of Performance Share Units Covered:Date... (Filed With SEC on July 31, 2013)

PIPER JAFFRAY COMPANIES DEFERRED COMPENSATION PLAN ARTICLE 1 Nature and Purpose of Plan (Filed With SEC on July 31, 2013)

AGREEMENT AND PLAN OF MERGER among PIPER JAFFRAY COMPANIES, (Parent) PIPER JAFFRAY & CO., (Buyer) PIPER JAFFRAY NEWCO INC., (Merger Sub) SEATTLE-NORTHWEST SECURITIES CORPORATION,... (Filed With SEC on April 17, 2013)

PIPER JAFFRAY & CO. Issuer THE BANK OF NEW YORK MELLON Trustee INDENTURE Dated as of April 1, 2013 SECURED COMMERCIAL PAPER NOTES - SERIES III (Filed With SEC on April 1, 2013)

AGREEMENT OF PURCHASE AND SALE among PIPER JAFFRAY ASSET MANAGEMENT INC., PIPER JAFFRAY COMPANIES, FIDUCIARY ASSET MANAGEMENT LLC, THE WILEY ANGELL FAMILY TRUST and WILEY D.... (Filed With SEC on March 11, 2013)

AMENDED AND RESTATED LOAN AGREEMENT (Filed With SEC on February 27, 2013)

SUMMARY OF COMPENSATION ARRANGEMENT (Filed With SEC on February 27, 2013)

SECOND AMENDMENT To EMPLOYMENT AGREEMENT (Filed With SEC on February 8, 2013)

PIPERJAFFRAY COMPANIES $125,000,000 VARIABLE RATE SENIOR NOTES, CLASS A ANDCLASS B NOTE PURCHASE AGREEMENT Dated November 30, 2012 TABLE OF CONTENTS (Filed With SEC on November 30, 2012)

PIPER JAFFRAY & CO. Issuer THE BANK OF NEW YORK MELLON Trustee SECOND AMENDEDAND RESTATED INDENTURE Dated as of June 11, 2012 SECURED COMMERCIAL PAPER NOTES TABLE OF CONTENTS (Filed With SEC on August 2, 2012)

PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT (Filed With SEC on August 2, 2012)

SIXTH AMENDMENT TO LOAN AGREEMENT (BROKER-DEALER VRDN FACILITY) (Filed With SEC on August 2, 2012)

U.S. BANCORP CENTER MINNEAPOLIS, MINNESOTA OFFICE LEASE AGREEMENT BETWEEN WELLS REIT 800NICOLLETT AVENUE OWNER, LLC, a Delaware limited liability company (LANDLORD) AND PIPER... (Filed With SEC on June 1, 2012)

THIRD AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on May 4, 2012)

PIPER JAFFRAY & CO. Issuer THE BANK OF NEW YORK MELLON Trustee INDENTURE Dated as of April 2, 2012 SECURED COMMERCIAL PAPER NOTES- SERIES II i TABLE OF CONTENTS (Filed With SEC on April 5, 2012)

PIPER JAFFRAY COMPANIES 2012 Compensation and Benefits for Non-EmployeeDirectors (Filed With SEC on February 27, 2012)

FIFTH AMENDMENT TO LOAN AGREEMENT (BROKER-DEALER VRDN FACILITY) (Filed With SEC on February 27, 2012)

SECOND AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on February 27, 2012)

PIPER JAFFRAY COMPANIES AMENDMENT TO RESTRICTED STOCK AGREEMENT (Filed With SEC on February 27, 2012)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN (Filed With SEC on February 27, 2012)

PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN MUTUAL FUND RESTRICTED SHARE AGREEMENT (2012 Annual Grant) (Filed With SEC on February 27, 2012)

FIRST AMENDMENT to EMPLOYMENT AGREEMENT (Filed With SEC on February 27, 2012)

EMPLOYMENT AGREEMENT (Filed With SEC on January 11, 2012)

FIRST AMENDMENT TO CREDIT AGREEMENT AND WAIVER (Filed With SEC on November 3, 2011)

EX-101 INSTANCE DOCUMENT (Filed With SEC on February 28, 2011)

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant (Filed With SEC on December 30, 2010)

EX-101 INSTANCE DOCUMENT (Filed With SEC on November 3, 2010)

Amounts in thousands, except share data (Filed With SEC on May 7, 2010)

Investment Banking We raise capital through equity and debt financings for our corporate clients. We operate in seven focus industries: business services, clean technology and... (Filed With SEC on February 26, 2010)

Financial Statements and Exhibits (Filed With SEC on January 4, 2010)

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant (Filed With SEC on December 30, 2009)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on December 21, 2009)

Amounts in thousands, except share data (Filed With SEC on July 31, 2009)

Investment Banking We raise capital through equity and debt financings for our corporate clients. We operate in eight focus industries, namely, the alternative energy, business... (Filed With SEC on March 2, 2009)

LOAN AGREEMENT (Filed With SEC on November 10, 2008)

Amended and Restated 2003 Annual & Long-Term Incentive Plan (Filed With SEC on August 1, 2008)

Form of Restricted Stock Agreement (Filed With SEC on August 1, 2008)

Employment Agreement (Filed With SEC on August 1, 2008)

Summary of Non-Employee Director Compensation Program (Filed With SEC on February 28, 2008)

LOAN AGREEMENT (AUCTION RATE SECURITIES FACILITY) (Filed With SEC on February 22, 2008)

LOAN AGREEMENT (BROKER-DEALER ARS FACILITY) (Filed With SEC on February 22, 2008)

AMENDMENT to AGREEMENT OF PURCHASE AND SALE (Filed With SEC on September 14, 2007)

Equity Purchase Agreement (Filed With SEC on July 3, 2007)

Deferred Compensation Plan for Non-Employee Directors (Filed With SEC on May 4, 2007)

Agreement and Purchase of Sale (Filed With SEC on April 13, 2007)

Form of Stock Option Agreement (Filed With SEC on March 1, 2007)

Form of Restricted Stock Agreement (Filed With SEC on March 1, 2007)

Summary of Non-Employee Director Compensation Program (Filed With SEC on March 1, 2007)

Summary of Compensation Agreement (Filed With SEC on March 1, 2007)

Form of Notice Period Agreement (Filed With SEC on March 1, 2007)

Master Confirmation (Filed With SEC on November 3, 2006)

Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on August 4, 2006)

ASSET PURCHASE AGREEMENT among PIPER JAFFRAY COMPANIES, PIPER JAFFRAY & CO., and UBS FINANCIAL SERVICES INC. Dated as of April 10, 2006 Relating to the Purchase and Sale of the... (Filed With SEC on April 11, 2006)

Form of Stock Option Agreement (Filed With SEC on March 1, 2006)

Summary of Non-Employee Director Compensation Program (Filed With SEC on March 1, 2006)

Amended and Restated 2003 Annual and Long-Term Incentive Plan (Filed With SEC on August 4, 2004)

Form of Stock Option Agreement for Annual Employee Grant (Filed With SEC on August 4, 2004)

Form of Restricted Stock Agreement for Annual Employee Grant (Filed With SEC on August 4, 2004)

Form of Stock Option Agreement for Non-Employee Director Grants (Filed With SEC on August 4, 2004)

Separation and Distribution Agreement (Filed With SEC on March 8, 2004)

Rights Agreement (Filed With SEC on March 8, 2004)

Employee Benefits Agreement (Filed With SEC on March 8, 2004)

Tax Sharing Agreement (Filed With SEC on March 8, 2004)

Insurance Matters Agreement (Filed With SEC on March 8, 2004)

Business Alliance Agreement (Filed With SEC on March 8, 2004)

2003 Long-Term Incentive Plan (Filed With SEC on March 8, 2004)

Subordinated Loan Agreement (Filed With SEC on March 8, 2004)

Form of Cash Award Agreement (Filed With SEC on March 8, 2004)

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Piper Jaffray Companies Contracts & Agreements