PIPER JAFFRAY COMPANIES AMENDED AND RESTATED Restricted Stock Agreement (2015 Annual Grant – California-based employees)Restricted Stock Agreement • February 26th, 2015 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Restricted Stock Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company or an Affiliate of the Company (the “Employee”). The Company maintains the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “Plan”), and the Board of Directors of the Company has delegated to the Compensation Committee (the “Committee”) the authority to determine the awards to be granted under the Plan. The Board of Directors of the Company or the Committee (or the delegee of either) has determined that the Employee is eligible to receive an award under the Plan in the form of restricted stock and has set the terms thereof. Accordingly, the Company hereby grants this award to the Employee under the following terms:
SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • February 26th, 2015 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
THIS SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) made and entered into as of December 19, 2014, by and between: PIPER JAFFRAY & CO., a Delaware corporation (“Borrower”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”); has reference to the following facts and circumstances (the “Preambles”):
RESTRICTED LIMITED PARTNERSHIP INTEREST AGREEMENTRestricted Limited Partnership Interest Agreement • February 26th, 2015 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is an Agreement (“Agreement”) between Piper Jaffray Investment Management LLC (“PJIM”), a Delaware corporation (the “Company”) an indirect, wholly-owned subsidiary of Piper Jaffray Companies (“PJC”), and M. Bradley Winges, an employee of the Company or an Affiliate of the Company (the “Employee”), which contains certain restrictive covenants that Employee agrees to abide by as a condition of becoming entitled to subscribe for a limited partnership interest in the Piper Jaffray Municipal Opportunities Fund, L.P. (“Fund”). By entering into this Agreement and agreeing to abide by the following terms and conditions, the Company hereby allows the Employee to subscribe for a limited partnership interest in the Fund, by signing the attached Subscription Agreement & Limited Power of Attorney:
PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN MUTUAL FUND RESTRICTED SHARE AGREEMENT (2015 Annual Grant)Restricted Share Agreement • February 26th, 2015 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Mutual Fund Restricted Share Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company or an Affiliate of the Company (the “Employee”). The Company maintains the Piper Jaffray Companies Mutual Fund Restricted Share Investment Plan, as amended from time to time (the “Plan”), which allows the Employee the option of receiving a portion (not less than ten percent (10%) or more than fifty percent (50%)) of the award that would otherwise have been granted to the Employee under the Piper Jaffray Companies Amended 2003 Annual and Long-Term Incentive Plan, in the form of restricted stock or other equity of the Company, instead in the form of restricted property consisting of shares of selected mutual funds managed by Affiliates of the Company. Based on the Employee’s election, the Company hereby grants this award to the Employee under the terms contained in this Agreement and the Plan. Unless the contex
PIPER JAFFRAY COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN MUTUAL FUND RESTRICTED SHARE AGREEMENT (2015 Annual Grant – California-based employees)Fund Restricted Share Agreement • February 26th, 2015 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Mutual Fund Restricted Share Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company or an Affiliate of the Company (the “Employee”). The Company maintains the Piper Jaffray Companies Mutual Fund Restricted Share Investment Plan, as amended from time to time (the “Plan”), which allows the Employee the option of receiving a portion (not less than ten percent (10%) or more than fifty percent (50%)) of the award that would otherwise have been granted to the Employee under the Piper Jaffray Companies Amended 2003 Annual and Long-Term Incentive Plan, in the form of restricted stock or other equity of the Company, instead in the form of restricted property consisting of shares of selected mutual funds managed by Affiliates of the Company. Based on the Employee’s election, the Company hereby grants this award to the Employee under the terms contained in this Agreement and the Plan. Unless the contex
