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PJC > SEC Filings for PJC > Form 8-K on 6-Nov-2013All Recent SEC Filings

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Form 8-K for PIPER JAFFRAY COMPANIES


6-Nov-2013

Change in Directors or Principal Officers


Item 5.02. Departure of Directors or Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Piper Jaffray Companies (the "Company") and Brien O'Brien, the Company's Head of Asset Management, have agreed that Mr. O'Brien's employment agreement with the Company entered into on January 9, 2012 (as amended, the "Employment Agreement") will be terminated without Cause (as defined in the Employment Agreement). The Company provided Mr. O'Brien formal written notice of termination pursuant to the Employment Agreement on October 31, 2013. Mr. O'Brien will remain with the Company until March 31, 2014 (the "Effective Date"), while he transitions his duties and responsibilities. Pursuant to the Employment Agreement, the Company may enter into an employment consulting agreement following his termination. Mr. O'Brien will continue to receive the base salary, benefits and any quarterly and annual cash payments he would otherwise have become entitled to under the Employment Agreement through the Effective Date.

As previously announced, Chris Crawshaw, President of Advisory Research, Inc. will assume the role of CEO of Advisory Research, Inc. on January 1, 2014.

The Employment Agreement was filed as Exhibit 10.1 to the Company's Current Report on Form 8-K with the Securities and Exchange Commission ("SEC") on January 11, 2012, and amendments were filed as exhibits to the Company's Current Report on Form 8-K filed with the SEC on February 27, 2012 and February 8, 2013, and the descriptions of the Employment Agreement contained in such filings are incorporated herein by reference.


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