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PJC > SEC Filings for PJC > Form 8-K on 9-May-2013All Recent SEC Filings

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Form 8-K for PIPER JAFFRAY COMPANIES


9-May-2013

Submission of Matters to a Vote of Security Holders


Item 5.07. Submission of Matters to a Vote of Security Holders.
(a) The Company's 2013 annual meeting of shareholders was held on May 8, 2013. The holders of 15,056,898 shares of common stock, 85.18 percent of the outstanding shares entitled to vote as of the record date, were represented at the meeting in person or by proxy.

(b) At the annual meeting, Andrew S. Duff, Michael R. Francis, B. Kristine Johnson, Addison L. Piper, Lisa K. Polsky, Philip E. Soran, Michele Volpi and Hope B. Woodhouse were elected as directors to serve a one-year term expiring at the annual meeting of shareholders in 2014. The following table shows the vote totals for each of these individuals:

       Name         Votes For  Authority Withheld
Andrew S. Duff      11,957,309      871,295
Michael R. Francis  12,050,341      778,263
B. Kristine Johnson 11,992,795      835,809
Addison L. Piper    11,999,664      828,940
Lisa K. Polsky      12,007,423      821,181
Philip E. Soran     12,636,522      192,082
Michele Volpi       12,029,285      799,319
Hope B. Woodhouse   12,008,920      819,684

Broker non-votes for each director totaled 2,228,294.

At the annual meeting, our shareholders also approved the proposal to ratify the selection of Ernst & Young LLP as the independent auditor for 2012. The following table indicates the specific voting results for this proposal:
Proposal Votes For Votes Against Abstentions Ratify the 14,881,453 146,190 29,255 selection of
Ernst & Young
LLP as the
independent
auditor for
2013.

At the annual meeting, our shareholders also approved the Company's Amended and Restated 2003 Annual and Long-Term Incentive Plan. The following table indicates the specific voting results for this proposal:

    Proposal        Votes For     Votes Against    Abstentions
Approval of the    11,925,590        855,183         47,831
Company's
Amended and
Restated 2003
Annual and
Long-Term
Incentive Award.

Broker non-votes for each director totaled 2,228,294.


At the annual meeting, our shareholders also cast an advisory vote to approve the compensation of officers disclosed in the proxy statement, or a "say-on-pay" vote. The following table indicates the specific voting results for this proposal:

     Proposal          Votes For     Votes Against    Abstentions
Advisory resolution   12,576,767        175,754         76,083
approving the
compensation of the
officers disclosed
in the proxy
statement, or a
"say-on-pay" vote.

Broker non-votes for each director totaled 2,228,294.


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