Form D · Other Banking and Financial Services
PIPER JAFFRAY COMPANIES
Minneapolis, MN · CIK 0001230245
Offering snapshot reported Oct 15, 2019 · SEC filing
- Reported sold
- Yet to sell Offering amount: $175M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $175M Reported outside-investor minimum
- First sale
- Yet to occur As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 15, 2019 | Initial | Yet to sell | No comparison | 1 | SEC filing |
| Nov 24, 2015 | Initial | $47,911,000 | No comparison | 1 | SEC filing |
| Jun 11, 2014 | Initial | $0 | No comparison | 1 | SEC filing |
| Dec 13, 2012 | Initial | $125,000,000 | No comparison | 38 | SEC filing |
| Mar 9, 2010 | Initial | $39,662,793 | No comparison | 15 | SEC filing |
| Jan 12, 2010 | Initial | $120,000,000 | No comparison | 8 | SEC filing |
Offering details
- Securities
- Debt
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-351081
Source: Form D, filed Oct 15, 2019. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Chad R. Abraham | Director, Executive |
| James Baker | Executive |
| Timothy L. Carter | Executive |
| James L. Chosy | Executive |
| Christopher D. Crawshaw | Executive |
| Andrew S. Duff | Director, Executive |
| Christine Esckilsen | Executive |
| Francis E. Fairman | Executive |
| Frank E. Fairman | Executive |
| Todd R. Firebaugh | Executive |
| William R. Fitzgerald | Director |
| Michael R. Francis | Director |
| Virginia Gambale | Director |
| John W. Geelan | Executive |
| Victoria M. Holt | Director |
| B. Kristine Johnson | Director |
| Jeffrey P. Klinefelter | Executive |
| Alex P.M. Ko | Executive |
| R. Scott La Rue | Executive |
| Scott La Rue | Executive |
| Brien M. O'brien | Executive |
| Robert W. Peterson | Executive |
| Addison L. Piper | Director |
| Lisa K. Polsky | Director |
| Shawn Quant | Executive |
| Jon W. Salveson | Executive |
| Thomas P. Schnettler | Executive |
| Debbra L. Schoneman | Director, Executive |
| Thomas S. Schreier | Director |
| Frank L. Sims | Director |
| Sherry M. Smith | Director |
| Philip E. Soran | Director |
| Scott C. Taylor | Director |
| Jean M. Taylor | Director |
| Michele Volpi | Director |
| David I. Wilson | Executive |
| Martin Bradley Winges | Executive |
| Brad Winges | Executive |
| M. Brad Winges | Executive |
| Hope B. Woodhouse | Director |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
800 Nicollet Mall, Suite 1000 Mail Stop J09 S02
Minneapolis, MN, 55402
Minneapolis, MN, 55402