RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2018 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 26th, 2018 • 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) 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 MFRS Award (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 all of the provisions of the applicable Plans. Any capitalized term that is not defined i
RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2018 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 26th, 2018 • 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) 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 MFRS Award (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 all of the provisions of the applicable Plans. Any capitalized term that is not defined i
PIPER JAFFRAY COMPANIES AMENDED AND RESTATED PERFORMANCE SHARE UNIT AGREEMENTPiper Jaffray Companies • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Performance Share Unit Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company (the “Employee”).
SEPARATION AGREEMENT AND RELEASESeparation Agreement and Release • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
This SEPARATION AGREEMENT AND RELEASE (the “Agreement”) is made and entered into by and between PIPER JAFFRAY & CO. (“PJC” or the “Company”), and Stuart C. Harvey, Jr. (“Employee”). The Company and Employee shall be referenced individually as a “Party,” and collectively as the “Parties.”
FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
THIS FIFTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) made and entered into as of December 16, 2017 (the “Effective Date”), 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 STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2018 Annual Grant - Andrew S. Duff) Under the PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN AND MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN Notice of...Restricted Stock and Mutual Fund Restricted Share Agreement • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
Piper Jaffray Companies, a Delaware corporation (the “Company”), hereby grants to the below-named director of the Company (the “Chairman”) (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) 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 MFRS Award (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 all of the provisions of the applicable Plans. Any capitalized term that is not defined in this Agreement shall have the
AMENDMENT NO. 1 TO SEPARATION AGREEMENT AND RELEASESeparation Agreement and Release • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies
This AMENDMENT NO. 1 TO SEPARATION AGREEMENT AND RELEASE (the “Amendment”) is made and entered into by and between PIPER JAFFRAY & CO. (“PJC” or the “Company”), and Stuart C. Harvey, Jr. (“Employee”). The Company and Employee shall be referenced individually as a “Party,” and collectively as the “Parties.”
CONFIDENTIAL SEPARATION AGREEMENT AND RELEASEConfidential Separation Agreement and Release • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
This CONFIDENTIAL SEPARATION AGREEMENT AND RELEASE (the “Agreement”) is made and entered into by and between ADVISORY RESEARCH, INC. (“ARI”), and its Affiliates, including without limitation, PIPER JAFFRAY & CO. (“PJC”), collectively, the “Company”, and Christopher D. Crawshaw (“Employee”). The Company and Employee shall be referenced individually as a “Party,” and collectively as the “Parties.”
PIPER JAFFRAY COMPANIES AMENDED AND RESTATED PERFORMANCE SHARE UNIT AGREEMENTPiper Jaffray Companies • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Performance Share Unit Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named Chairman of the Company’s Board of Directors (the “Chairman”).
