Piper Jaffray Companies Contracts & Agreements

186 Contracts & Agreements
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Piper Sandler Companies 2025 Performance Share Unit Agreement under Amended and Restated 2003 Annual and Long-Term Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2025
Piper Sandler Companies 2025 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2025
Amended and Restated Credit Agreement between Piper Sandler Companies and U.S. Bank National Association (as of December 20, 2022)
Credit Agreements
Piper Jaffray Companies
Capital Markets
DE
2025
Piper Sandler Companies 2025 Restricted Stock and Mutual Fund Restricted Share Agreement for Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2025
Amended and Restated Credit Agreement between Piper Sandler Companies and U.S. Bank National Association (as of December 20, 2022)
Credit Agreements
Piper Jaffray Companies
Capital Markets
DE
2024
Piper Sandler Companies 2024 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2024
Piper Sandler Companies 2024 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2024
Amended and Restated Credit Agreement Between Piper Sandler Companies and U.S. Bank National Association (as of December 20, 2022, Conformed Through Second Amendment)
Credit Agreements
Piper Jaffray Companies
Capital Markets
DE
2024
Eleventh Amendment to Amended and Restated Loan Agreement between Piper Sandler & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2024
Piper Sandler Companies 2024 Restricted Stock and Mutual Fund Restricted Share Agreement for Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2024
Piper Sandler & Co. Conditional Employment Offer Letter to Kate Clune
Employment Agreements
Piper Jaffray Companies
Capital Markets
MN
2023
First Amendment to Amended and Restated Credit Agreement between Piper Sandler Companies and U.S. Bank National Association
Credit Agreements
Piper Jaffray Companies
Capital Markets
2023
Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (Effective May 17, 2023)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2023
Piper Sandler Companies 2023 Performance Share Unit Agreement under Amended and Restated 2003 Annual and Long-Term Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2023
Amended and Restated Credit Agreement between Piper Sandler Companies and U.S. Bank National Association (December 20, 2022)
Credit Agreements
Piper Jaffray Companies
Capital Markets
DE
2023
Amended and Restated Loan Agreement Between Piper Sandler & Co. and U.S. Bank National Association (as Amended Through Tenth Amendment)
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2023
Piper Sandler Companies Amended and Restated Mutual Fund Restricted Share Investment Plan (2022)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2023
Piper Sandler Companies 2023 Restricted Stock and Mutual Fund Restricted Share Agreement for Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2023
Piper Sandler Companies Non-Qualified Stock Option Agreement with Chad R. Abraham (2023)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2023
Piper Sandler Companies 2022 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2022
Amended and Restated Loan Agreement between Piper Sandler & Co. and U.S. Bank National Association (as of December 28, 2012, conformed through Ninth Amendment)
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2022
Ninth Amendment to Amended and Restated Loan Agreement between Piper Sandler & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2022
Piper Sandler Companies 2022 Restricted Stock and Mutual Fund Restricted Share Agreement for Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2022
Amendment to Transition Services Agreement between Piper Sandler & Co. and Brian R. Sterling
Modification Agreements
Piper Jaffray Companies
Capital Markets
2022
Amended Offer Letter between Piper Sandler & Co. and Jonathan J. Doyle (March 2021)
Employment Agreements
Piper Jaffray Companies
Capital Markets
2021
Piper Sandler Companies 2021 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2021
Credit Agreement Between Piper Sandler Companies and U.S. Bank National Association Dated December 20, 2019
Credit Agreements
Piper Jaffray Companies
Capital Markets
DE
2021
Eighth Amendment to Amended and Restated Loan Agreement between Piper Sandler & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2021
Piper Sandler Companies 2021 Restricted Stock and Mutual Fund Restricted Share Agreement for Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2021
Transition Services Agreement between Piper Sandler & Co. and Brian R. Sterling
Transition Agreements
Piper Jaffray Companies
Capital Markets
NY
2021
Description of Capital Stock and Anti-Takeover Provisions of Piper Sandler Companies
Piper Jaffray Companies
Capital Markets
2020
Piper Sandler Companies 2020 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2020
Seventh Amendment to Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2020
Piper Sandler Companies 2020 Restricted Stock and Mutual Fund Restricted Share Agreement with Employee
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2020
Piper Jaffray Companies Equity Consideration Restricted Stock Agreement with Jonathan J. Doyle
Stock Agreements
Piper Jaffray Companies
Capital Markets
DE
2020
Employment Agreement between Piper Jaffray Companies and Jonathan J. Doyle (Sandler O’Neill & Partners) – July 1, 2019
Employment Agreements
Piper Jaffray Companies
Capital Markets
NY
2020
Credit Agreement between Piper Jaffray Companies and U.S. Bank National Association dated December 20, 2019
Credit Agreements
Piper Jaffray Companies
Capital Markets
DE
2019
Note Purchase Agreement for $175,000,000 Fixed Rate Senior Notes between Piper Jaffray Companies and Purchasers (including Piper Jaffray & Co.)
Note Agreements
Piper Jaffray Companies
Capital Markets
DE
2019
Piper Jaffray Companies 2019 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2019
Sixth Amendment to Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
DE
2019
Piper Jaffray Companies 2018 Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2019
Piper Jaffray Companies 2018 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Fifth Amendment to Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Piper Jaffray Companies 2018 Restricted Stock and Mutual Fund Restricted Share Agreement with Employee
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Piper Jaffray Companies 2018 Restricted Stock and Mutual Fund Restricted Share Agreement for California-Based Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Restricted Stock and Mutual Fund Restricted Share Agreement (2018 Annual Grant – Andrew S. Duff and Piper Jaffray Companies)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Piper Jaffray Companies 2018 Performance Share Unit Agreement for Andrew S. Duff under Amended and Restated 2003 Annual and Long-Term Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Piper Jaffray Companies Non-Qualified Stock Option Agreement under 2003 Incentive Plan (2018 Grant)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
Piper Jaffray Companies and Andrew Duff Post-Termination Equity Vesting and Restrictive Covenant Agreement
Separation Agreements
Piper Jaffray Companies
Capital Markets
DE
2018
First Amendment to Second Amended and Restated Indenture between Piper Jaffray & Co. and The Bank of New York Mellon
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2017
Amended and Restated Indenture for Secured Commercial Paper Notes (Series II-A) between Piper Jaffray & Co. and The Bank of New York Mellon, dated April 30, 2015
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2017
First Amendment to Amended and Restated Indenture between Piper Jaffray & Co. and The Bank of New York Mellon
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2017
Fourth Amendment to Amended and Restated Loan Agreement and Pricing Letter between U.S. Bank National Association and Piper Jaffray & Co.
Loan Agreements
Piper Jaffray Companies
Capital Markets
2017
Second Amendment to Securities Purchase Agreement between Piper Jaffray & Co. and SCI JV LP
Purchase Agreements
Piper Jaffray Companies
Capital Markets
2017
Piper Jaffray Companies 2017 Performance Share Unit Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2017
Fourth Amendment to Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
DE
2017
Piper Jaffray Companies Amended and Restated Mutual Fund Restricted Share Investment Plan (2016)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2017
Piper Jaffray Companies 2017 Restricted Stock and Mutual Fund Restricted Share Agreement for Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2017
Piper Jaffray Companies 2017 Restricted Stock and Mutual Fund Restricted Share Agreement for California-Based Employees
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2017
First Amendment to Securities Purchase Agreement among Piper Jaffray Companies, Piper Jaffray & Co., Simmons & Company International, SCI JV LP, SCI GP, LLC, and Simmons & Company...
Purchase Agreements
Piper Jaffray Companies
Capital Markets
2016
Consulting Agreement for Services of Independent Contractor between Piper Jaffray & Co. and Michael E. Frazier
Consulting Agreements
Piper Jaffray Companies
Capital Markets
2016
Piper Jaffray Companies Restricted Stock Agreement with Michael Frazier (Equity Consideration)
Stock Agreements
Piper Jaffray Companies
Capital Markets
DE
2016
Piper Jaffray Companies Amended and Restated Mutual Fund Restricted Share Investment Plan (2016)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2016
Piper Jaffray Companies 2016 Performance Share Unit Agreement under Amended and Restated 2003 Annual and Long-Term Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2016
Securities Purchase Agreement among Piper Jaffray Companies, Piper Jaffray & Co., Simmons & Company International, SCI JV LP, SCI GP, LLC, and Simmons & Company International...
Purchase Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Second Amended and Restated Note Purchase Agreement between Piper Jaffray Companies and Purchasers (October 8, 2015)
Note Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies Performance Share Unit Agreement under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (as of May 13, 2015)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies 2015 Employee Restricted Stock Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies 2015 Restricted Stock Agreement for California-Based Employees under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Second Amendment to Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Restricted Limited Partnership Interest Agreement between Piper Jaffray Investment Management LLC and M. Bradley Winges
Limited Partnership Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies 2015 Mutual Fund Restricted Share Agreement for Employee Grants
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies Mutual Fund Restricted Share Agreement (2015 Annual Grant – California-Based Employees)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2015
Piper Jaffray Companies Performance Share Unit Agreement under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2014
Amended and Restated Note Purchase Agreement between Piper Jaffray Companies and Purchasers (June 2, 2014)
Note Agreements
Piper Jaffray Companies
Capital Markets
DE
2014
Second Amended and Restated Indenture between Piper Jaffray & Co. and The Bank of New York Mellon (Series III-A CP Notes)
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2014
Consulting Agreement between Advisory Research, Inc. and Brien M. O’Brien
Consulting Agreements
Piper Jaffray Companies
Capital Markets
IL
2014
Piper Jaffray Companies Restricted Stock Agreement for Employee Grants under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2014
First Amendment to Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
2014
Advisory Research, Inc. Long-Term Incentive Plan Agreement
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
MN
2014
Piper Jaffray Companies Mutual Fund Restricted Share Agreement for Employee Grants (201_ Annual Grant)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2014
Piper Jaffray Companies Performance Share Unit Agreement under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2013
Agreement and Plan of Merger among Piper Jaffray Companies, Piper Jaffray & Co., Piper Jaffray Newco Inc., and Seattle-Northwest Securities Corporation (April 16, 2013)
Merger Agreements
Piper Jaffray Companies
Capital Markets
WA
2013
Indenture Agreement for Secured Commercial Paper Notes (Series III-A) between Piper Jaffray & Co. and The Bank of New York Mellon, dated April 1, 2013
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2013
Purchase Agreement for Sale of 100% Membership Interest in Fiduciary Asset Management LLC by Piper Jaffray Asset Management Inc. to The Wiley Angell Family Trust
Purchase Agreements
Piper Jaffray Companies
Capital Markets
MN
2013
Amended and Restated Loan Agreement between Piper Jaffray & Co. and U.S. Bank National Association (December 28, 2012)
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2013
Second Amendment to Employment Agreement between Piper Jaffray Companies and Brien M. O’Brien
Employment Agreements
Piper Jaffray Companies
Capital Markets
2013
Note Purchase Agreement between Piper Jaffray Companies and Purchasers (November 30, 2012)
Note Agreements
Piper Jaffray Companies
Capital Markets
DE
2012
Second Amended and Restated Indenture between Piper Jaffray & Co. and The Bank of New York Mellon (June 11, 2012)
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2012
Sixth Amendment to Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
2012
Office Lease Agreement between Wells REIT – 800 Nicollet Avenue Owner, LLC and Piper Jaffray & Co. (U.S. Bancorp Center, Minneapolis)
Lease Agreements
Piper Jaffray Companies
Capital Markets
2012
Third Amendment to Credit Agreement among Piper Jaffray Companies, Subsidiaries, Lenders, and SunTrust Bank (May 2, 2012)
Credit Agreements
Piper Jaffray Companies
Capital Markets
NY
2012
Fifth Amendment to Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
2012
Second Amendment to Credit Agreement among Piper Jaffray Companies, Subsidiaries, Lenders, and SunTrust Bank
Credit Agreements
Piper Jaffray Companies
Capital Markets
NY
2012
First Amendment to Employment Agreement between Piper Jaffray Companies and Brien M. O'Brien
Employment Agreements
Piper Jaffray Companies
Capital Markets
2012
Employment Agreement between Piper Jaffray Companies and Brien M. O'Brien (2012)
Employment Agreements
Piper Jaffray Companies
Capital Markets
DE
2012
First Amendment to Credit Agreement and Waiver among Piper Jaffray Companies, Subsidiaries, Lenders, and SunTrust Bank
Credit Agreements
Piper Jaffray Companies
Capital Markets
NY
2011
Piper Jaffray Companies 2011 Restricted Stock Agreement under Amended and Restated 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2011
Piper Jaffray Companies Deferred Compensation Plan for Non-Employee Directors (Amended and Restated Effective January 1, 2009)
Compensation Agreements
Piper Jaffray Companies
Capital Markets
DE
2011
Piper Jaffray Companies 2011 Non-Employee Director Compensation and Benefits Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2011
Fourth Amendment to Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
2011
Compromise Agreement Between Piper Jaffray Limited and David Wilson Regarding Employment Termination
Separation Agreements
Piper Jaffray Companies
Capital Markets
2011
Amendment to Restricted Stock Agreements for Severance-Related Vesting Acceleration – Piper Jaffray Companies
Severance Agreements
Piper Jaffray Companies
Capital Markets
2011
Credit Agreement among Piper Jaffray Companies and Lenders, with SunTrust Bank as Administrative Agent (December 29, 2010)
Credit Agreements
Piper Jaffray Companies
Capital Markets
NY
2010
Piper Jaffray Companies $120,000,000 Variable Rate Senior Notes Note Purchase Agreement (2009)
Note Agreements
Piper Jaffray Companies
Capital Markets
MN
2010
Third Amendment to Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
2010
Piper Jaffray Companies Restricted Stock Agreement with Brien O'Brien (March 1, 2010)
Stock Agreements
Piper Jaffray Companies
Capital Markets
IL
2010
First Amendment to Sublease Agreement between U.S. Bancorp and Piper Jaffray & Co. (March 26, 2010)
Lease Agreements
Piper Jaffray Companies
Capital Markets
2010
First Amendment to Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
2010
Second Amendment to Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
NY
2010
Piper Jaffray Companies $120,000,000 Variable Rate Senior Notes Due December 31, 2010 Note Purchase Agreement
Note Agreements
Piper Jaffray Companies
Capital Markets
MN
2010
Indenture Agreement for Secured Commercial Paper Notes between Piper Jaffray & Co. and The Bank of New York Mellon (2009)
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2009
Securities Purchase Agreement among Piper Jaffray Companies, Piper Jaffray Newco Inc., Advisory Research Holdings, Inc., and Sellers
Purchase Agreements
Piper Jaffray Companies
Capital Markets
IL
2009
Loan Agreement (Broker-Dealer VRDN Facility) between Piper Jaffray & Co. and U.S. Bank National Association dated September 30, 2008
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2008
Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (as of May 7, 2008)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2008
Piper Jaffray Companies Restricted Stock Agreement under 2003 Incentive Plan (Employee Name Redacted)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2008
Piper Jaffray Companies Restricted Stock Agreement under 2003 Incentive Plan (Employee)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2008
Employment Agreement among Goldbond Capital Holdings Limited, Piper Jaffray Companies, and Ko, Po Ming
Employment Agreements
Piper Jaffray Companies
Capital Markets
2008
Piper Jaffray Companies Summary of Non-Employee Director Compensation Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2008
Loan Agreement (Auction Rate Securities Facility) between Piper Jaffray Funding II Inc. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2008
Loan Agreement (Broker-Dealer ARS Facility) between Piper Jaffray & Co. and U.S. Bank National Association
Loan Agreements
Piper Jaffray Companies
Capital Markets
MN
2008
Amendment to Agreement of Purchase and Sale among Piper Jaffray Investment Management Inc., Piper Jaffray Companies, WG CAR, LLC, and Principals
Purchase Agreements
Piper Jaffray Companies
Capital Markets
2007
Equity Purchase Agreement among Piper Jaffray Companies, Sellers, Ko Po Ming, and Principals for Goldbond Capital Holdings Limited
Purchase Agreements
Piper Jaffray Companies
Capital Markets
2007
Piper Jaffray Companies Deferred Compensation Plan for Non-Employee Directors (Amended and Restated as of April 1, 2007)
Compensation Agreements
Piper Jaffray Companies
Capital Markets
DE
2007
Agreement of Purchase and Sale among Piper Jaffray Newco Inc., Piper Jaffray Companies, WG CAR, LLC, and Principals (April 12, 2007)
Purchase Agreements
Piper Jaffray Companies
Capital Markets
MO
2007
Piper Jaffray Companies Non-Qualified Stock Option Agreement (Employee) under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2007
Piper Jaffray Companies Restricted Stock Agreement under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2007
Piper Jaffray Companies Summary of Non-Employee Director Compensation Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2007
Summary of Compensation Arrangement for Addison L. Piper with Piper Jaffray Companies
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2007
Notice Period Agreement between Piper Jaffray & Co. and Management Committee Members
Employment Agreements
Piper Jaffray Companies
Capital Markets
2007
Master Confirmation for Accelerated Stock Buyback between Goldman, Sachs & Co. and Piper Jaffray Companies
Purchase Agreements
Piper Jaffray Companies
Capital Markets
MN
2006
Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (as of May 2, 2006)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2006
Asset Purchase Agreement among Piper Jaffray Companies, Piper Jaffray & Co., and UBS Financial Services Inc. (April 10, 2006)
Purchase Agreements
Piper Jaffray Companies
Capital Markets
NY
2006
Piper Jaffray Companies Non-Qualified Stock Option Agreement (Employee) under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2006
Piper Jaffray Companies Summary of Non-Employee Director Compensation Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2006
Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2004
Piper Jaffray Companies Non-Qualified Stock Option Agreement (Employee) under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2004
Piper Jaffray Companies Restricted Stock Agreement (Annual Employee Grant) under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2004
Piper Jaffray Companies Non-Qualified Stock Option Agreement for Non-Employee Directors under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2004
Separation and Distribution Agreement between U.S. Bancorp and Piper Jaffray Companies (December 23, 2003)
Separation Agreements
Piper Jaffray Companies
Capital Markets
MN
2004
Rights Agreement between Piper Jaffray Companies and Mellon Investor Services LLC dated December 31, 2003
Warrant Agreements
Piper Jaffray Companies
Capital Markets
NJ
2004
Employee Benefits Agreement between U.S. Bancorp and Piper Jaffray Companies (December 22, 2003)
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2004
Tax Sharing Agreement between U.S. Bancorp and Piper Jaffray Companies (December 23, 2003)
Piper Jaffray Companies
Capital Markets
MN
2004
Insurance Matters Agreement between U.S. Bancorp and Piper Jaffray Companies (December 23, 2003)
Piper Jaffray Companies
Capital Markets
DE
2004
Business Alliance Agreement between U.S. Bancorp and Piper Jaffray Companies (December 23, 2003)
Collaboration Agreements
Piper Jaffray Companies
Capital Markets
MN
2004
Piper Jaffray Companies 2003 Long-Term Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2004
Subordinated Loan Agreement between USB Holdings, Inc. and U.S. Bancorp Piper Jaffray Inc. dated December 22, 2003
Subordination Agreement
Piper Jaffray Companies
Capital Markets
NY
2004
Piper Jaffray Companies Cash Award Agreement with Employee (January 27, 2004)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
2004
U.S. Bancorp Piper Jaffray Inc. Second Century 2000 Deferred Compensation Plan
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2004
U.S. Bancorp Piper Jaffray Inc. Second Century Growth Deferred Compensation Plan (Amended and Restated Effective September 30, 1998)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
2004
Piper Sandler Companies 2023 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2023
Termination Letter for Transition Services Agreement between Piper Sandler & Co. and Brian R. Sterling
Termination Agreements
Piper Jaffray Companies
Capital Markets
2022
Piper Sandler Companies 2022 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2022
Piper Sandler Companies 2021 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2021
Piper Sandler Companies 2020 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2020
Agreement and Plans of Merger among Piper Jaffray Companies, SOP Holdings, Sandler O’Neill Entities, and Others (July 9, 2019)
Merger Agreements
Piper Jaffray Companies
Capital Markets
DE
2019
Piper Jaffray Companies 2019 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2019
Piper Jaffray Companies 2018 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2018
Separation Agreement and General Release between Piper Jaffray & Co. and Stuart C. Harvey, Jr.
Separation Agreements
Piper Jaffray Companies
Capital Markets
MN
2018
Amendment No. 1 to Separation Agreement and Release between Piper Jaffray & Co. and Stuart C. Harvey, Jr.
Separation Agreements
Piper Jaffray Companies
Capital Markets
2018
Separation Agreement and General Release between Advisory Research, Inc. and Christopher D. Crawshaw
Separation Agreements
Piper Jaffray Companies
Capital Markets
MN
2018
Separation Agreement and General Release between Jeff Klinefelter and Piper Jaffray & Co.
Separation Agreements
Piper Jaffray Companies
Capital Markets
DE
2017
Piper Jaffray Companies 2017 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2017
Piper Jaffray Companies Amended and Restated Deferred Compensation Plan for Non-Employee Directors (Effective May 4, 2016)
Compensation Agreements
Piper Jaffray Companies
Capital Markets
DE
2016
Piper Jaffray Companies 2015 Non-Employee Director Compensation and Benefits Policy
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2015
Piper Jaffray Companies 2015 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2015
Indemnification Agreement between Piper Jaffray Companies and Officer or Director
Indemnification Agreements
Piper Jaffray Companies
Capital Markets
DE
2014
Piper Jaffray Companies 2014 Non-Employee Director Compensation and Benefits Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2014
Piper Jaffray Companies Deferred Compensation Plan for Management and Highly Compensated Employees
Compensation Agreements
Piper Jaffray Companies
Capital Markets
MN
2013
Piper Jaffray Companies 2013 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2013
Compensation Arrangement Letter Agreement between Piper Jaffray Investment Management, LLC and M. Brad Winges (October 25, 2012)
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2013
Piper Jaffray Companies Performance Share Unit Agreement under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2012
Indenture Agreement for Secured Commercial Paper Notes (Series II-A) between Piper Jaffray & Co. and The Bank of New York Mellon, dated April 2, 2012
Indenture Agreements
Piper Jaffray Companies
Capital Markets
NY
2012
Piper Jaffray Companies 2012 Non-Employee Director Compensation Program Summary
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2012
Amendment to Restricted Stock Agreement between Piper Jaffray Companies and Brien O'Brien
Modification Agreements
Piper Jaffray Companies
Capital Markets
2012
Piper Jaffray Companies Mutual Fund Restricted Share Investment Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2012
Piper Jaffray Companies Mutual Fund Restricted Share Agreement (2012 Annual Grant) with Employee
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2012
Employee Benefits Letter Agreement between Piper Jaffray Companies and Brien M. O'Brien (March 1, 2010)
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2010
Piper Jaffray Companies Restricted Stock Agreement (Annual Grant) under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2010
Piper Jaffray Companies Restricted Stock Agreement (Annual Grant) under 2003 Incentive Plan
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2010
Piper Jaffray Companies 2010 Non-Employee Director Compensation and Benefits Policy
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2010
International Assignment Letter of Understanding between Piper Jaffray & Co. and Robert W. Peterson
Assignment Agreements
Piper Jaffray Companies
Capital Markets
2010
Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (as Amended May 7, 2009)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2009
Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan (as of January 1, 2009)
Bonus & Incentive Agreements
Piper Jaffray Companies
Capital Markets
DE
2009
Piper Jaffray Companies 2009 Non-Employee Director Compensation and Benefits Policy
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2009