| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | | OMB APPROVAL | | OMB Number: | 3235-0104 | | Expires: | February 28, 2011 | | Estimated average burden | | hours per response | 0.5 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year)
09/22/2009 | 3. Issuer Name and Ticker or Trading Symbol
PIPER JAFFRAY COMPANIES
[PJC]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)| X | Director | | 10% Owner | | Officer (give title below) | | Other (specify below) | |
| 5. If Amendment, Date of Original Filed (Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
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| 1. Title of Security (Instr.
4)
| 2.
Amount of Securities Owned (Instr.
4)
| 3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
| 4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock
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0
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D
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year)
| 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Excercise Price of Derivative Security
| 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)
| 6. Nature of Indirect Beneficial Ownership (Instr. 5)
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
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| Explanation of Responses: |
| /s/ James L. Chosy for Virginia Gambale | 09/23/2009 |
| ** Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
EX-24
This statement confirms that I have authorized and designated James L.
Chosy, John W. Geelan, and Melissa D. Richason, and each of them, as my
attorney-in-fact to execute and file on my behalf all Forms 3 (Initial
Statement of Beneficial Ownership of Securities), Forms 4 (Statement of
Changes in Beneficial Ownership of Securities) and Forms 5 (Annual
Statement of Changes in Beneficial Ownership), including any and all
amendments thereto, that I may be required to file with the Securities
and Exchange Commission as a result of my ownership of or transactions
in securities of Piper Jaffray Companies. This power of attorney shall
continue in effect until I am no longer required to file Forms 4 and 5
with regard to my ownership of or transactions in securities of Piper
Jaffray Companies, unless I earlier revoke this power of attorney in a
writing delivered to the above-named attorneys-in-fact. I acknowledge
that the above-named attorneys-in-fact are not assuming any of my
responsibilities to comply with Section 16 of the Securities Exchange
Act of 1934.
Dated: September 11, 2009
Signature: /s/ Virginia Gambale
Printed Name: Virginia Gambale