Piper Jaffray Companies (Form: 8-K)  

 


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

     
Date of Report (Date of Earliest Event Reported):   May 9, 2012

Piper Jaffray Companies
__________________________________________
(Exact name of registrant as specified in its charter)

     
Delaware 1-31720 30-0168701
_____________________
(State or other jurisdiction
_____________
(Commission
______________
(I.R.S. Employer
of incorporation) File Number) Identification No.)
      
800 Nicollet Mall, Suite 800, Minneapolis, Minnesota   55402
_________________________________
(Address of principal executive offices)
  ___________
(Zip Code)
     
Registrant’s telephone number, including area code:   (612) 303-6000

Not Applicable
______________________________________________
Former name or former address, if changed since last report

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ]  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ]  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


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Item 5.07. Submission of Matters to a Vote of Security Holders.

(a)   The Company’s 2012 annual meeting of shareholders was held on May 9, 2012. The holders of 15,550,919 shares of common stock, 81 percent of the outstanding shares entitled to vote as of the record date, were represented at the meeting in person or by proxy.

(b)   At the annual meeting, Andrew S. Duff, Michael R. Francis, B. Kristine Johnson, Addison L. Piper, Lisa K. Polsky, Frank L. Sims, Jean M. Taylor, Michele Volpi and Hope B. Woodhouse were elected as directors to serve a one-year term expiring at the annual meeting of shareholders in 2013. The following table shows the vote totals for each of these individuals:
                 
Name   Votes For   Authority Withheld
Andrew S. Duff
    12,348,439       1,133,831  
Michael R. Francis
    12,413,046       1,069,224  
B. Kristine Johnson
    12,419,537       1,062,733  
Addison L. Piper
    12,401,924       1,080,346  
Lisa K. Polsky
    12,129,455       1,352,815  
Frank L. Sims
    12,393,497       1,088,773  
Jean M. Taylor
    12,109,772       1,372,498  
Michele Volpi
    12,134,490       1,347,780  
Hope B. Woodhouse
    13,209,161       273,109  

Broker non-votes for each director totaled 2,068,649.

At the annual meeting, our shareholders also approved the proposal to ratify the selection of Ernst & Young LLP as the independent auditor for 2012. The following table indicates the specific voting results for this proposal:

             
Proposal   Votes For   Votes Against   Abstentions
Ratify the selection of Ernst &
Young LLP as the independent
auditor for 2012.
  15,284,932


  114,552


  151,435


At the annual meeting, our shareholders also cast an advisory vote to approve the compensation of officers disclosed in the proxy statement, or a “say-on-pay” vote. The following table indicates the specific voting results for this proposal:

                         
Proposal Votes For Votes Against Abstentions
Advisory resolution approving the
    10,506,887       2,287,731       687,652  
compensation of the officers disclosed in the proxy statement, or a “say-on-pay” vote.
                       

Broker non-votes for this proposal totaled 2,068,649.


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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

         
    Piper Jaffray Companies
          
May 10, 2012   By:   James L. Chosy
       
        Name: James L. Chosy
        Title: General Counsel and Secretary