NYSE CSA FORM 1D SUBORDINATED LOAN AGREEMENT - CASH THIS AGREEMENT is entered into this 22nd day of December 2003, between USB Holdings, Inc. (the "Lender") and U.S. Bancorp Piper Jaffray Inc., (the "Organization"). 1. GENERAL - Subject to the terms...Piper Jaffray Companies • March 8th, 2004 • Investment advice • New York
Rights Agreement Dated as of December 31, 2003Rights Agreement • December 31st, 2003 • Piper Jaffray Companies • Investment advice • New York
SERVICES LLCRights Agreement • March 8th, 2004 • Piper Jaffray Companies • Investment advice • New York
EXHIBIT 10.1 EMPLOYEE BENEFITS AGREEMENT BY AND BETWEENEmployee Benefits Agreement • March 8th, 2004 • Piper Jaffray Companies • Investment advice
EXHIBIT 2.1 SEPARATION AND DISTRIBUTION AGREEMENT by and betweenSeparation and Distribution Agreement • March 8th, 2004 • Piper Jaffray Companies • Investment advice • Delaware
Exhibit 10.6 FORM OF SUBORDINATED LOAN AGREEMENT - CASH THIS AGREEMENT is entered into this _____ day of ___________________ 2003, between USB Holdings, Inc. (the "Lender") and U.S. Bancorp Piper Jaffray Inc., (the "Organization"). 1. GENERAL Subject...Subordinated Loan Agreement • October 23rd, 2003 • Piper Jaffray Companies • Investment advice • New York
and MELLON INVESTOR SERVICES LLC Form of Rights Agreement Dated as of [ ], 2003 TABLE OF CONTENTSAgreement • October 23rd, 2003 • Piper Jaffray Companies • Investment advice • New York
RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2024 Annual Grant) Under the PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG- TERM INCENTIVE PLAN AND MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN Notice of GrantRestricted Stock and Mutual • February 26th, 2024 • Piper Sandler Companies • Security brokers, dealers & flotation companies • Delaware
Piper Sandler Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the Company (the “Employee”) (i) a Restricted Stock Award pursuant to the Company’s Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “2003 Plan”), and (ii) a Mutual Fund Restricted Share Award (the “MFRS Award”) pursuant to the Company’s Mutual Fund Restricted Share Investment Plan, as amended from time to time (the “MFRS Plan” and together with the Restricted Stock Plan, the “Plans”). The terms and conditions of the Restricted Stock Award and MFRS Award (collectively, the “Awards”) are set forth in this Restricted Stock and Mutual Fund Restricted Share Agreement (the “Agreement”), consisting of this Notice of Grant and the Terms and Conditions on the following pages. This Agreement and the Awards are subject to all of the provisions of the applicable Plans. Any capitalized term that is not defined i
EXHIBIT 10.4 BUSINESS ALLIANCE AGREEMENT by and betweenBusiness Alliance Agreement • March 8th, 2004 • Piper Jaffray Companies • Investment advice • Delaware
EXHIBIT 10.2 FORM OF TAX SHARING AGREEMENT This TAX SHARING AGREEMENT (this "AGREEMENT"), is entered into as of [______], by and between U.S. Bancorp, a Delaware corporation ("PARENT"), and Piper Jaffray Companies, a Delaware corporation and an...Form of Tax Sharing Agreement • October 23rd, 2003 • Piper Jaffray Companies • Investment advice
PIPER SANDLER COMPANIES AMENDED AND RESTATED PERFORMANCE SHARE UNIT AGREEMENTPiper Sandler Companies • February 26th, 2024 • Piper Sandler Companies • Security brokers, dealers & flotation companies • Delaware
This is a Performance Share Unit Agreement (“Agreement”) between Piper Sandler Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company (the “Employee”).
FORM OF EMPLOYEE BENEFITS AGREEMENTEmployee Benefits Agreement • December 15th, 2003 • Piper Jaffray Companies • Investment advice
PIPER JAFFRAY COMPANIES AMENDED AND RESTATED PERFORMANCE SHARE UNIT AGREEMENTPiper Jaffray Companies • May 4th, 2016 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Performance Share Unit Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company (the “Employee”).
RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2018 Annual Grant - California-based employees) Under the PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN AND MUTUAL FUND RESTRICTED SHARE INVESTMENT...Restricted Stock and Mutual Fund Restricted Share Agreement • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
Piper Jaffray Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the Company (the “Employee”) (i) a Restricted Stock Award pursuant to the Company’s Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “2003 Plan”), and (ii) a Mutual Fund Restricted Share Award (the “MFRS Award”) pursuant to the Company’s Mutual Fund Restricted Share Investment Plan, as amended from time to time (the “MFRS Plan” and together with the Restricted Stock Plan, the “Plans”). The terms and conditions of the Restricted Stock Award and MFRS Award (collectively, the “Awards”) are set forth in this Restricted Stock and Mutual Fund Restricted Share Agreement (the “Agreement”), consisting of this Notice of Grant and the Terms and Conditions on the following pages. This Agreement and the Awards are subject to all of the provisions of the applicable Plans. Any capitalized term that is not defined i
CREDIT AGREEMENT dated as of December 29, 2010 among PIPER JAFFRAY COMPANIES, as Borrower THE LENDERS FROM TIME TO TIME PARTY HERETO and U.S. BANK NATIONAL ASSOCIATION, as Syndication Agent ASSOCIATED BANK, N.A., as a Co-Documentation Agent FIFTH...Credit Agreement • December 30th, 2010 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • New York
THIS CREDIT AGREEMENT (this “Agreement”) is made and entered into as of December 29, 2010, by and among PIPER JAFFRAY COMPANIES, a Delaware corporation (the “Borrower”), the several banks and other financial institutions and lenders from time to time party hereto (the “Lenders”), and SUNTRUST BANK, in its capacity as administrative agent for the Lenders (the “Administrative Agent”), as issuing bank (the “Issuing Bank”) and as swingline lender (the “Swingline Lender”).
EXHIBIT 10.2 TAX SHARING AGREEMENT This TAX SHARING AGREEMENT (this "Agreement"), is entered into as of December 23, 2003 by and between U.S. Bancorp, a Delaware corporation ("Parent"), and Piper Jaffray Companies, a Delaware corporation and an...Tax Sharing Agreement • March 8th, 2004 • Piper Jaffray Companies • Investment advice
AMENDED AND RESTATED CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2022, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATIONCredit Agreement • February 26th, 2024 • Piper Sandler Companies • Security brokers, dealers & flotation companies • Minnesota
PIPER JAFFRAY COMPANIES AMENDED AND RESTATED Restricted Stock Agreement (2015 Annual Grant – California-based employees)Restricted Stock Agreement • February 26th, 2015 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Restricted Stock Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company or an Affiliate of the Company (the “Employee”). The Company maintains the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “Plan”), and the Board of Directors of the Company has delegated to the Compensation Committee (the “Committee”) the authority to determine the awards to be granted under the Plan. The Board of Directors of the Company or the Committee (or the delegee of either) has determined that the Employee is eligible to receive an award under the Plan in the form of restricted stock and has set the terms thereof. Accordingly, the Company hereby grants this award to the Employee under the following terms:
RECITALSSublease Agreement • October 23rd, 2003 • Piper Jaffray Companies • Investment advice
PIPER JAFFRAY COMPANIES FORM OF RESTRICTED STOCK AGREEMENT (Employment Inducement Award Grant)Restricted Stock Agreement • November 29th, 2019 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
No. of Shares Covered: Subject to the terms and conditions hereof, the number of Shares covered by and to be issued pursuant to this Agreement will equal $[ ] divided by the volume-weighted average per-share closing price of the Company’s Common Stock on the New York Stock Exchange for the ten (10) trading days ending on the third (3rd) trading day before the Closing Date; provided that, if the foregoing calculation results in a fractional Share, the number of Shares covered by this Agreement will be rounded up to the nearest whole Share.
PIPER JAFFRAY COMPANIES AMENDED AND RESTATED PERFORMANCE SHARE UNIT AGREEMENTPiper Jaffray Companies • February 26th, 2019 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Performance Share Unit Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company (the “Employee”).
PIPER JAFFRAY COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN RESTRICTED STOCK AGREEMENT (2011 Annual Grant)Restricted Stock Agreement • February 28th, 2011 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
This is a Restricted Stock Agreement (“Agreement”) between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named employee of the Company or an Affiliate of the Company (the “Employee”). The Company maintains the Piper Jaffray Companies Amended and Restated 2003 Annual and Long-Term Incentive Plan, as amended from time to time (the “Plan”), and the Board of Directors of the Company has delegated to the Compensation Committee (the “Committee”) the authority to determine the awards to be granted under the Plan. The Board of Directors of the Company or the Committee (or the delegee of either) has determined that the Employee is eligible to receive an award under the Plan in the form of restricted stock and has set the terms thereof. Accordingly, the Company hereby grants this award to the Employee under the following terms:
PIPER JAFFRAY COMPANIES RESTRICTED STOCK AGREEMENT (Employment Inducement Award Grant)Restricted Stock Agreement • March 13th, 2019 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
No. of Shares Covered: Subject to the terms and conditions hereof, the number of Shares covered by and to be issued pursuant to this Agreement will equal $[ ] divided by the Parent Average Stock Price (as defined in the Securities Purchase Agreement, dated as of February 24, 2019, by and among the Company and certain of its related entities, and Weeden & Co. L.P. and certain of its related entities (the “Securities Purchase Agreement”)) on the Date of Issuance; provided, that if the foregoing calculation results in a fractional Share, the number of Shares covered by this Agreement will be rounded up to the nearest whole Share.
OFFICE LEASE dated MARCH 3, 1998, between RYAN 800, LLC, as Landlord,Storage Space Lease Agreement • October 23rd, 2003 • Piper Jaffray Companies • Investment advice • Minnesota
-i- 5.1.1 Landlord's Obligations......................................................21 5.1.2 Tenant's Remedies...........................................................21 5.1.3 LaSalle Passageway..........................................................24 5.2 Construction of Leasehold Improvements..............................................25 5.2.1 Tenant Work.................................................................25 5.2.2 Occupancy Before Commencement Date..........................................26 6. Base Rental................................................................................26 6.1 Amounts.............................................................................26 6.1.1 Initial Term................................................................26 6.1.2 Extension Term..............................................................27 6.1.3 Retail Premises.............................................................27 6.1.4 Expansion Space................
LOAN AGREEMENT (AUCTION RATE SECURITIES FACILITY)Loan Agreement • February 22nd, 2008 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
THIS LOAN AGREEMENT (AUCTION RATE SECURITIES FACILITY) (this “Agreement”) is made and entered into as of February 19, 2008, by and between: PIPER JAFFRAY FUNDING II INC., a Delaware corporation (“Borrower”); and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”); and has reference to the following facts and circumstances:
Exhibit 10.1 FORM OF EMPLOYEE BENEFITS AGREEMENT BY AND BETWEEN U.S. BANCORP AND PIPER JAFFRAY COMPANIES INC. DATED AS OF [ ], 2003 TABLE OF CONTENTSEmployee Benefits Agreement • October 23rd, 2003 • Piper Jaffray Companies • Investment advice • Delaware
EXHIBIT 10.3 INSURANCE MATTERS AGREEMENT by and betweenInsurance Matters Agreement • March 8th, 2004 • Piper Jaffray Companies • Investment advice • Delaware
AMENDED AND RESTATED LOAN AGREEMENTLoan Agreement • February 24th, 2023 • Piper Sandler Companies • Security brokers, dealers & flotation companies • Minnesota
THIS AMENDED AND RESTATED LOAN AGREEMENT (this “Agreement”) is made and entered into as of December 28, 2012, by and between: PIPER SANDLER & CO., a Delaware corporation (“Borrower”); and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”); and has reference to the following facts and circumstances:
PIPER JAFFRAY COMPANIES AMENDMENT TO RESTRICTED STOCK AGREEMENTRestricted Stock Agreement • February 27th, 2012 • Piper Jaffray Companies • Security brokers, dealers & flotation companies
This amendment (this “Amendment”) is entered into as of November 15, 2011 between Piper Jaffray Companies, a Delaware corporation (the “Company”), and the above-named recipient (the “Recipient”).
EMPLOYMENT AGREEMENTEmployment Agreement • January 11th, 2012 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Delaware
THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into effective as of January 1, 2012 the “Effective Date”, by and between Piper Jaffray Companies, a Delaware corporation (the “Company”), and Brien M. O’Brien, a resident of the State of Illinois (“Employee”).
ASSET PURCHASE AGREEMENT among PIPER JAFFRAY COMPANIES, PIPER JAFFRAY & CO., and UBS FINANCIAL SERVICES INC. Dated as of April 10, 2006 Relating to the Purchase and Sale of the Private Client Services BusinessAsset Purchase Agreement • April 11th, 2006 • Piper Jaffray Companies • Investment advice • New York
ASSET PURCHASE AGREEMENT, dated as of April 9, 2006 (this “Agreement”), is made among Piper Jaffray Companies (“Parent”), Piper Jaffray & Co. (the “Company”), and UBS Financial Services Inc. (“Buyer”). Parent and the Company are collectively referred to herein as “Sellers.”
FIRST AMENDMENT TO LOAN AGREEMENT (BROKER-DEALER VRDN FACILITY)Loan Agreement • February 26th, 2010 • Piper Jaffray Companies • Security brokers, dealers & flotation companies
THIS FIRST AMENDMENT TO LOAN AGREEMENT (BROKER-DEALER VRDN FACILITY) (this “Amendment”) made and entered into as of November 3, 2008, by and between: PIPER JAFFRAY & CO., a Delaware corporation (“Borrower”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”); has reference to the following facts and circumstances (the “Preambles”):
SEPARATION AGREEMENT AND RELEASESeparation Agreement and Release • February 26th, 2018 • Piper Jaffray Companies • Security brokers, dealers & flotation companies • Minnesota
This SEPARATION AGREEMENT AND RELEASE (the “Agreement”) is made and entered into by and between PIPER JAFFRAY & CO. (“PJC” or the “Company”), and Stuart C. Harvey, Jr. (“Employee”). The Company and Employee shall be referenced individually as a “Party,” and collectively as the “Parties.”
SIXTH AMENDMENT TO LOAN AGREEMENT (BROKER-DEALER VRDN FACILITY)Loan Agreement • August 2nd, 2012 • Piper Jaffray Companies • Security brokers, dealers & flotation companies
THIS SIXTH AMENDMENT TO LOAN AGREEMENT (BROKER-DEALER VRDN FACILITY) (this “Amendment”) made and entered into as of April 30, 2012, by and between: PIPER JAFFRAY & CO., a Delaware corporation (“Borrower”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”); has reference to the following facts and circumstances (the “Preambles”):
EQUITY PURCHASE AGREEMENT among PIPER JAFFRAY COMPANIES (Buyer) and THE SELLERS LISTED ON THE SIGNATURE PAGE HERETO (Sellers) and KO PO MING (Company Chairman) and THE PRINCIPALS LISTED ON THE SIGNATURE PAGE HERETO (Principals) relating to the...Equity Purchase Agreement • July 3rd, 2007 • Piper Jaffray Companies • Investment advice • Hong Kong
The Sellers constitute all owners of all equity interests in Goldbond Capital Holdings Limited, a company with limited liability organized under the laws of Hong Kong (the “Company”), as of the date hereof and as of the time immediately before the Closing. Each Seller’s proportionate ownership interest in the Company (“Proportionate Interest”) is set forth on Schedule 1 hereto. The Sellers other than Armstrong Capital Limited (“Armstrong”) are collectively referred to as the “Outside Sellers.”
