# PIPER JAFFRAY COMPANIES — Form D

PIPER JAFFRAY COMPANIES of MINNEAPOLIS, MN, a company, filed a Form D exempt-offering notice with the SEC on 2012-12-13. The offering totals $125.0M, of which $125.0M was reported sold. Industry: Other Banking and Financial Services.

## Offering

- Filed: 2012-12-13
- Form: D
- Accession: 0001552029-12-000001
- Industry: Other Banking and Financial Services
- Exemptions: 06
- Total offering: $125.0M
- Amount sold: $125.0M
- Minimum investment: $100K
- Investors: 38
- Date of first sale: 2012-11-30
- Security types: debt
- Revenue range: Over $100,000,000
- SEC file number: 021-188286

## Issuer

- Name: PIPER JAFFRAY COMPANIES
- CIK: 0001230245
- Entity type: Corporation
- Jurisdiction: DELAWARE
- Address: 800 NICOLLET MALL, SUITE 1000, MINNEAPOLIS, MN, 55402
- Phone: (612) 303-6000

## Officers, directors & promoters (46)

_Showing 25 of 46 people._

| Name | Role | Location |
| --- | --- | --- |
| Michael R Francis | Director | Minneapolis, MN |
| Frank L Sims | Director | Minneapolis, MN |
| Jean M Taylor | Director | Minneapolis, MN |
| Michele M Volpi | Director | Minneapolis, MN |
| Hope B Woodhouse | Director | Minneapolis, MN |
| James L Chosy | Executive Officer | Minneapolis, MN |
| Jeffrey D Klinefelter | Executive Officer | Minneapolis, MN |
| Scott D LaRue | Executive Officer | Minneapolis, MN |
| Brien M O'Brien | Executive Officer | Minneapolis, MN |
| Brad L Winges | Executive Officer | Minneapolis, MN |
| Martin Bradley Winges | Executive Officer | Minneapolis, MN |
| Philip E Soran | Director | Minneapolis, MN |
| Chad R Abraham | Director | Minneapolis, MN |
| Chad R Abraham | Executive Officer | Minneapolis, MN |
| Victoria M Holt | Director | Minneapolis, MN |
| Addison L Piper | Director | Minneapolis, MN |
| B. Kristine Johnson | Director | Solana Beach, CA |
| Debbra L Schoneman | Director | Minneapolis, MN |
| Debbra L Schoneman | Executive Officer | Minneapolis, MN |
| Scott C Taylor | Director | Minneapolis, MN |
| Thomas S Schreier | Director | Minneapolis, MN |
| Sherry M Smith | Director | Minneapolis, MN |
| Frank E Fairman | Executive Officer | Minneapolis, MN |
| James E Baker | Executive Officer | Minneapolis, MN |
| R. Scott LaRue | Executive Officer | Minneapolis, MN |

## Other filings by this issuer (5)

| Filed | Form | Offering | Sold |
| --- | --- | --- | --- |
| [2019-10-15](https://search.stillhousedata.com/formd/0001230245-19-000098) | D | $175.0M | $175.0M |
| [2015-11-24](https://search.stillhousedata.com/formd/0001230245-15-000156) | D | $47.9M | $47.9M |
| [2014-06-11](https://search.stillhousedata.com/formd/0001230245-14-000158) | D | $50.0M | — |
| [2010-03-09](https://search.stillhousedata.com/formd/0001426716-10-000003) | D | $39.7M | $39.7M |
| [2010-01-12](https://search.stillhousedata.com/formd/0001426716-10-000001) | D | $120.0M | $120.0M |

## More

- [CIK 1230245 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1230245&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001552029-12-000001.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.