RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2016 Annual Grant) Under the PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG- TERM INCENTIVE PLAN AND MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN Notice of GrantRestricted Stock and Mutual • February 25th, 2016 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
Piper Jaffray Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the Company (the “Employee”) (i) a Restricted Stock Award pursuant to the Company’s Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “2003 Plan”), and (ii) to the extent the Employee has so elected for this award cycle, a Mutual Fund Restricted Share Award (the “MFRS Award”) pursuant to the Company’s Mutual Fund Restricted Share Investment Plan, as amended from time to time (the “MFRS Plan” and together with the Restricted Stock Plan, the “Plans”). The terms and conditions of the Restricted Stock Award and any MFRS Award that has been elected (collectively, the “Awards”) are set forth in this Restricted Stock and Mutual Fund Restricted Share Agreement (the “Agreement”), consisting of this Notice of Grant and the Terms and Conditions on the following pages. This Agreement and the Awards are subject to
RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2016 Annual Grant – California-based employees) Under the PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN AND MUTUAL FUND RESTRICTED SHARE INVESTMENT...Restricted Stock and Mutual Fund Restricted Share Agreement • February 25th, 2016 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
Piper Jaffray Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the Company (the “Employee”) (i) a Restricted Stock Award pursuant to the Company’s Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “2003 Plan”), and (ii) to the extent the Employee has so elected for this award cycle, a Mutual Fund Restricted Share Award (the “MFRS Award”) pursuant to the Company’s Mutual Fund Restricted Share Investment Plan, as amended from time to time (the “MFRS Plan” and together with the Restricted Stock Plan, the “Plans”). The terms and conditions of the Restricted Stock Award and any MFRS Award that has been elected (collectively, the “Awards”) are set forth in this Restricted Stock and Mutual Fund Restricted Share Agreement (the “Agreement”), consisting of this Notice of Grant and the Terms and Conditions on the following pages. This Agreement and the Awards are subject to
THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • February 25th, 2016 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
THIS THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) made and entered into as of December 18, 2015, 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”):
