S-8 POS Termination of ARI Inducement Plan
As filed with the Securities and Exchange Act on March 30, 2015
 
 
 
 
Registration No. 333-165094


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
 
 
 
 

Post-Effective Amendment No. 1
to
FORM S‑8

REGISTRATION STATEMENT UNDER THE
SECURITIES ACT OF 1933
 
 
 
 
 
PIPER JAFFRAY COMPANIES
(Exact Name of Registrant as Specified in its Charter)
 
 
 
 
 
Delaware
 
 
 
30-0168701
(State or other Jurisdiction of
Incorporation or Organization)
 
 
 
(I.R.S. Employer
Identification Number)
 
 
 
 
 
800 Nicollet Mall, Suite 1000
 
 
 
 
Minneapolis, Minnesota
 
 
 
55402
(Address of Principal Executive Offices)
 
 
 
(Zip Code)

PIPER JAFFRAY COMPANIES
2010 EMPLOYMENT INDUCEMENT AWARD PLAN
(Full title of the plan)
 
 
 
 
 
John W. Geelan
General Counsel and Secretary
Piper Jaffray Companies
800 Nicollet Mall, Suite 1000
Minneapolis, Minnesota 55402
(Name and address of agent for service)

(612) 303-6000
(Telephone number, including area code, of agent for service)
 
 
 
 
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer: þ
Accelerated filer: o
Non-accelerated filer: o
Smaller reporting company: o
 
 
 
 
 
 
 
 
 
 




EXPLANATORY NOTE

DEREGISTRATION OF SECURITIES

This Post-Effective Amendment No. 1 (the “Post-Effective Amendment”) relates to the Registration Statement on Form S-8 (File No. 333-165094) (the “Registration Statement”) filed by Piper Jaffray Companies (the “Company”) with the Securities and Exchange Commission on February 26, 2010. The Registration Statement registered an aggregate of 400,000 shares of the Company’s common stock, $.01 par value per share (“Common Stock”), to be issued pursuant to the Company’s 2010 Employment Inducement Award Plan (the “Inducement Plan”).
The final equity awards granted under the Inducement Plan vested on March 1, 2015. As a result, the Company terminated the Inducement Plan on March 25, 2015. This Post-Effective Amendment No. 1 to the Registration Statement hereby deregisters 303,240 shares of Common Stock of the Company that were previously registered pursuant to the Registration Statement and were available for grant under the Inducement Plan or subject to awards under the Inducement Plan that have been forfeited, canceled, settled, or otherwise terminated without a distribution of shares to a participant as of the date hereof. The Registration Statement is hereby amended, as appropriate, to reflect the deregistration of such Common Stock.






SIGNATURES

The Registrant. Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S‑8 and has duly caused this Post-Effective Amendment No. 1 to the Registration Statement on Form S-8 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Minneapolis, State of Minnesota, on March 30, 2015.
 
PIPER JAFFRAY COMPANIES
 
 
 
 
By:
/s/ Andrew S. Duff
 
 
Name: Andrew S. Duff
 
 
Title: Chairman and Chief Executive Officer
No other person is required to sign this Post-Effective Amendment on behalf of the Registrant in reliance on Rule 478 under the Securities Act of 1933, as amended.