Document
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
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| | October 26, 2018 | | |
| Date of report (Date of earliest event reported) | |
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| | PIPER JAFFRAY COMPANIES | | |
| (Exact Name of Registrant as Specified in its Charter) | |
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| Delaware | | | 1-31720 | | | 30-0168701 | |
| (State of Incorporation) | | | (Commission File Number) | | | (I.R.S. Employer Identification No.) | |
| | | | | | | | |
| 800 Nicollet Mall, Suite 1000 | | | | | | | |
| Minneapolis, Minnesota | | | | | | 55402 | |
| (Address of Principal Executive Offices) | | | | | | (Zip Code) | |
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| | | | (612) 303-6000 | | | | |
| | (Registrant’s Telephone Number, Including Area Code) | | |
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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 (see General Instruction A.2):
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¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Item 2.02. Results of Operations and Financial Condition.
On October 26, 2018, Piper Jaffray Companies (the "Company") reported its financial results for its third fiscal quarter ended September 30, 2018. See the Company's press release dated October 26, 2018, which is furnished as Exhibit 99 hereto.
Item 9.01. Financial Statements and Exhibits.
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.
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| | | PIPER JAFFRAY COMPANIES |
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Date: | October 26, 2018 | | By | /s/ Timothy L. Carter |
| | | | Timothy L. Carter |
| | | | Chief Financial Officer |