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 4, 2011

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 2011 annual meeting of shareholders was held on May 4, 2011. The holders of 17,351,109 shares of common stock, 89 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 and Michele Volpi were elected as directors to serve a one-year term expiring at the annual meeting of shareholders in 2012. The following table shows the vote totals for each of these individuals:
                 
Name   Votes For   Authority Withheld
Andrew S. Duff
    14,992,639       861,857  
Michael R. Francis
    14,817,514       1,036,982  
B. Kristine Johnson
    14,834,504       1,019,992  
Addison L. Piper
    15,108,388       746,108  
Lisa K. Polsky
    14,709,131       1,145,365  
Frank L. Sims
    15,053,663       800,833  
Jean M. Taylor
    14,656,028       1,198,468  
Michele Volpi
    14,731,302       1,123,194  

Broker non-votes for each director totaled 1,496,613.

At the annual meeting, our shareholders also approved the proposal to ratify the selection of Ernst & Young LLP as the independent auditor for 2011. 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 2011.
  17,214,840


  102,659


  33,610


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
            13,050,175               2,262,779               541,542  
approving the compensation of the officers disclosed in the proxy statement, or a “say-on-pay” vote.
                                               

Broker non-votes for this proposal totaled 1,496,613.

At the annual meeting, our shareholders also cast an advisory vote recommending the frequency of future say-on-pay votes. The following table indicates the specific voting results for this proposal:

                                 
Proposal   1 Year   2 Years   3 Years   Abstentions
Advisory vote recommending
    8,001,901       151,951       7,106,437       594,207  
frequency of future say-on-pay votes.
                               

Broker non-votes for this proposal totaled 1,496,613.

(d)   Based on the results of the advisory vote recommending the frequency of future say-on-pay votes, the Board of Directors has determined to include a shareholder vote on executive compensation in its proxy materials on an annual basis.


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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 6, 2011   By:   James L. Chosy
       
        Name: James L. Chosy
        Title: General Counsel and Secretary