00514 PIPER JAFFRAY COMPANIES INC.: An Inventory of Its Records at the Minnesota Historical Society Finding aid prepared by Rich Arpi. Minnesota Historical Society
St. Paul MN.

Manuscripts Collection

 Finding aid encoded by Richard Arpi, February 11, 2001. Finding aid written inEnglish August 2008Converted from EAD Version 1.0 to Version 2002 by Monica Manny Ralston, Daniel Sher, and Joyce Chapman. OVERVIEW OF THE COLLECTION Minnesota Historical Society Piper Jaffray Companies Inc. (Minneapolis, Minn.). Piper Jaffray corporate records. 1895-1998 (Bulk 1950-1995). Corporate records, subject files, and oral history transcripts and tapes of a securities firm headquartered in Minneapolis/St. Paul with branch offices mainly in the northwestern United States. 21.5 cu.ft. (22 boxes). See Detailed Description for shelf locations. HISTORY OF THE PIPER JAFFRAY COMPANIES, INC.

The Piper Jaffray Companies Inc. trace their roots back to 1895, when George B. Lane established a commercial paper brokerage firm with offices in the Guaranty Loan Building in Minneapolis. In 1913 H. C. Piper, Sr., and C. Palmer Jaffray, who were classmates at Yale, formed a partnership of Piper, Jaffray and Company. Like Lane and his firm, they first dealt in commercial paper, which are short-term unsecured notes. When a company needed quick capital, they would go to a dealer in commercial paper, which would then find a lender.

In 1917 the two small firms, the George B. Lane & Company and Piper, Jaffray and Company, merged to form a company called Lane, Piper & Jaffray, Inc. During the 1920s this company became involved in the investment banking business, which involved the underwriting of new stock and bond issues, setting up mergers between companies, and financing company expansion through securing public and private capital. From its very beginning the firm played a key role in the growth of Minnesota business. They pioneered the first public stock offerings of such firms as Archer Daniels Midland, Munsingwear, Greyhound Corporation, The Pillsbury Company, and Minnesota Mining and Manufacturing Company (3M). As a result, several top executives of Lane, Piper & Jaffray served on the board of directors of some of these firms.

The firm grew steadily through the 1920s, reaching a staffing peak of 45 brokers before the stock market crash of October 1929. Within eighteen months, however, only three brokers remained at the firm. In 1932 the firm merged with the two-person office of Robert G. Hopwood, giving the company its most enduring and recognizable name, Piper, Jaffray & Hopwood. An immediate benefit of the merger was a seat on the New York Stock Exchange and affiliations with several other stock exchanges.

After World War II the company began a slow expansion. First came offices in Great Falls (1944) and Billings, Montana (1949) followed by Rochester, Minnesota (1957); Fargo, North Dakota (1960); and Rapid City, South Dakota. In 1964 the firm acquired the brokerage firm of Jamieson and Company, increasing the number of offices to 12 and the number of employees to near 300. In 1966 an office was opened in Mankato, Minnesota; in 1967 the Bismarck, North Dakota office was opened; and in 1968 five more offices were opened in Wisconsin, Minnesota, and Nebraska. In 1969, after 74 years as a partnership, Piper, Jaffray & Hopwood became a corporation, which led to further expansion in the 1970s and 1980s. While most of the new offices were acquired or opened in the northwestern part of the United States, offices were also opened in New York City (1969) and in London, England (1987). In 1971 the company became a publicly held corporation known as Piper, Jaffray & Hopwood Incorporated. In 1974 a holding company, Piper Jaffray Incorporated, was established to pave the way to further expansion. This firm became the parent company of Piper, Jaffray & Hopwood Incorporated. In the 1980s two other subsidiaries were added. These included Piper Capital Management Incorporated, a money management company (1985), and the Piper Trust Company (1989), which offered trust services to individuals and institutions. In 1992 the holding company changed its name to Piper Jaffray Companies Inc. and its brokerage and investment banking subsidiary, Piper, Jaffray & Hopwood Incorporated, was renamed Piper Jaffray, Inc. In 1998 U.S. Bancorp acquired the Piper Jaffray Companies Inc. The company has been kept intact as an operating subsidiary and is now known as U.S. Bancorp Piper Jaffray.

SCOPE AND CONTENTS OF THE COLLECTION

The records of the Piper Jaffray Companies date from the founding of the company in 1895 until its acquisition by U.S. Bancorp in 1998. However, the bulk of the collection dates from the early 1970s, when the firm changed from a partnership to a corporation, to the mid-1990s. Most of the pre-1970 information concerns client companies or is miscellaneous subject file material. The collection is arranged into thirteen series including financial reports, employee publications, board of directors minutes, and material documenting the annual stockholders meeting. Other series document the acquisition of other companies by the firm from 1964 to 1992; branch office activities; as well as some of the work of two subsidiaries, Piper Capital Management Incorporated and the Piper Trust Company. Files of two executives, H.C. Piper, Sr. and H.C. Piper Jr. (Bobby Piper), as well as extensive subject files and oral history tapes and transcripts and video tapes round out the collection.

The financial records contain the 10 K (1971-1996) and the 10 Q (1986-1995) forms filed with the Securities and Exchange Commission. Usually, these records are not widely available to the public. The bulk of the remaining detailed financial records date from the 1950s, though brief quarterly financial statement brochures exist for the years 1962 to 1997. Several different employee publications dating from the 1970s to the 1990s are found in this collection with the longest runs belonging to The Boardcaster (1972-1982), Local over the Counter (1980-1998), and Quote (1980-1998). Also, a run of press releases, though not complete for the years 1973-1998, adds to this series.

The records of the two subsidiaries, Piper Capital Management and Piper Trust Company, mainly consist of prospectuses and annual reports of various money market funds and trusts managed by the two companies from the late 1980s and early 1990s. The files of Harry Piper, Sr., contain information on several companies on which he served on the board of directors: Munisingwear, Pillsbury, Truax-Traer Coal Company, and the Wayne Knitting Mills. Some personal correspondence from 1940-1958 also is included. The files of Harry Piper, Jr., also contain information on Truax-Traer Coal Company and Wayne Knitting Mills, as well as material relating to his seat on the New York Stock Exchange Board of Governors and several files of his speeches and biographical material, including information on his degree in theology.

The subject files contain examples of company print advertising and brochures from the 1920s to the mid-1990s, client and employee surveys, and files on the commercial paper business (negotiable instruments). There is also material relating to the community affairs activities of the company, as well as material from the human resources department. Also of mention are prospectuses for and research files on client firms (1970s and 1980s mostly), newspaper clippings (1960-1995), and biographical files on some other members of the Piper family.

The collection is supplemented by oral history cassettees and transcriptions done in the 1980s and early 1990s in research for the two published company histories. About sixty interviews were done with an alphabetical listing giving name, transcript number, and tape number (when known) provided. The transcripts are filed numberically in box 20 and the cassettees are found in box 21.

ARRANGEMENT OF THE RECORDS

These documents are organized into the following sections:

Financial reports. Publications. Board of Directors Minutes. Annual Stockholders Meetings. Acquisitions. Branch Office Files. Piper Capital Management. Piper Jaffray Trust Company. Harry C. Piper, Sr. Files. Harry C. Piper, Jr. Files. Subject Files. Oral History Transcripts. Sound and Visual Materials. RELATED MATERIALS

Two company histories published in 1985 and 1994 are separately cataloged in the Minnesota Historical Society library.

CATALOG HEADINGS

This collection is indexed under the following headings in the catalog of the Minnesota Historical Society. Researchers desiring materials about related topics, persons or places should search the catalog using these headings.

Topics: Advertising fliers. Advertising - Financial services industry. Consolidation and merger of corporations. Humor in business. Investment banking - Minnesota - Minneapolis - History. Mutual funds - Minnesota - Minneapolis - History. Negotiable instruments. Prospectus writing. Stockbrokers - Minnesota - Minneapolis - History. Stock Market Crash, 1987. Persons: Hopwood, Robert, 1890-1953. Fry, Walter R. Jaffray, C. Palmer, 1892-1971. Lane, George Bishop. Lang, George L. Pink, Jack. Piper, Addison L., 1946- . Piper, Harry C., 1889-1968. Piper, Harry C., 1917-1990. Williams, Lee. Organizations: Cream of Wheat Corporation (Minneapolis, Minn.). Investment Bankers Association of America. Lane, Piper & Jaffray, Inc. Minneapolis-Moline Power Implement Company. Munsingwear Corporation (Minneapolis, Minn.). New York Stock Exchange. Board of Directors. Northrup King & Co. Pillsbury Mills, Inc. Piper Capital Management Incorporated. Piper, Jaffray & Hopwood. Piper Jaffray Trust Company. Truax-Traer Coal Company (Chicago, Ill.). U.S.Bancorp Piper Jaffray. Vassar-Swiss Underwear Company (Chicago, Ill.). Wayne Knitting Mills. Types of Documents: Audio cassettes. Financial records. Press releases. Oral histories. Photographs. Prospectuses. Videocassettes. Occupations: Stockbroker. Investment banker. ADMINISTRATIVE INFORMATION Restrictions:

Access to many records less than 20 years old requires written permission. Quotation or reproduction beyond the fair use provisions of the copyright law, from many records less than 20 years old requires written permission.

 Preferred Citation:

[Indicate the cited item and/or series here]. Piper Jaffray Companies Corporate Records. Minnesota Historical Society.

See the Chicago Manual of Style for additional examples.

 Accession Information:

Accession number: 15,711

 Processing Information:

Processed by: Rich Arpi, September 2001

Catalog ID number: 09-00322750

 DETAILED DESCRIPTION OF THE COLLECTION Financial Reports 143.C.12.1B 1 Form 10k reports, 1971-1996. 14 folders. December 31, 1971-1973. 3 folders September 30, 1974-1982. 9 folders. September 30, 1986-1990. 1 folder. September 30, 1992-1993, 1995-1996, 1 folder. 10 Q reports, 1986-1995.

December 1986; March, June, December issues for 1987, 1988, 1989, 1990, 1991; March and June issues for 1992; March 1993; June 1994; March and December 1995.

Balance sheet, January 31, 1937. Statement of assets, liabilities, and net worth, April 30, 1941. Financial reports, September 30, 1948.

Includes report and answers to financial questionnaire for member firms of the New York Stock Exchange, and report on examination of balance sheet.

Report on examination of balance sheet, April 30, 1949. Financial reports, 1950.

Includes Report and answers to financial questionnaire for member firms of the New York Stock Exchange, May 31, 1950; balance sheet, May 31, 1950; and Report on review of unclaimed dividend account, July 14, 1950.

Financial reports, July 31, 1951; March 31, 1952. 2 folders.

Includes balance sheet, report on examination of balance sheet, and report and answers to financial questionnaire for member firms of the New York Stock Exchange.

 Financial reports, August 31, 1953; March 31, 1954; April 30, 1955. 3 folders.

Includes condensed financial statement, report on examination of balance sheet, and report and answers to financial questionnaire for member firms of the New York Stock Exchange.

Financial reports, July 31, 1956.

Includes report on examination of balance sheet, and report and answers to financial questionnaire.

Financial reports, March 31, 1957; August 31, 1958; October 30, 1959. 3 folders.

Includes condensed financial statement, report of examination of statement of financial condition, and report and answers to financial questionnaire for member firms of the New York Stock Exchange.

Financial reports, September 30, 1960.

Includes condensed financial statement and report and answers to financial questionnaire for member firms of the New York Stock Exchange.

Financial reports, April 28, 1961.

Includes condensed financial statement, statement of financial condition, and report and answers to financial questionnaire for member firms of the New York Stock Exchange.

Condensed Financial Statements, 1962-1997. 13 folders.

Quarterly statements in brochure form; incomplete run.

Publications 143.C.12.1B 1 Annual reports, 1971-1997. 6 folders.

For Piper, Jaffray & Hopwood Incorporated 1971-1973; Piper Jaffray Incorporated 1974-1991; Piper Jaffray Companies 1992-1997.

 Quote, May-December 1980. 143.C.12.2F 2 Quote, 1981-1998. 13 folders. Local Over the Counter, 1980-1998. 12 folders. Taking Stock, 1992-1998. 4 folders. Tuesday, November 9, 1976-May 9, 1978. 3 folders. [Unnamed publication], June 22, August 7, September 3, 1978. A Month of Tuesdays, November 1978 - April 1980. The Bull's Eye, 1980-1987. 2 folders. 143.C.12.3B 3 The Boardcaster, 1972-1982. 5 folders.

Incomplete run.

Monthly Exchange/The Exchange, November 1985-May 1990.

Incomplete run.

The Piper Market Digest, May 1988 - July 1997.

Incomplete run.

The Piper Market Digest: Pacific Northwest Edition, March 1990 - March 1992. News releases, November 1973 - August 1987. 23 folders. 143.C.12.4F 4 News releases, September 1987 - 1998. 24 folders. Clip summaries received, March 1993-April 1998. 6 folders. Meeting Files 143.C.12.5B 5 Board of Directors' minutes, July 28, 1969 - November 13, 1985. 52 folders. 143.C.12.6F 6 Board of Directors' minutes, January 15, 1986 - November 7, 1994. 37 folders. Stockholders' meeting files, April 14, 1970 - January 27, 1977. 9 folders. 143.C.12.7B 7 Stockholders' meeting files, 1978-1995. 20 folders. Acquisitions 143.C.12.8F 8 Summary history, 1964-1977. Jamieson & Company, 1964. 4 folders. Ebin Robertson & Co., Inc., January 1970. T.C. Henderson & Co., Inc., May 1970. 2 folders. Goodbody, Inc., March 1971. Herron Northwest, May - July 1972. 2 folders. C.W. Britton & Company, 1975. Daly & Co., Inc., 1975. Caldwell Phillips, Inc., May 1977. Zahner and Company, January 1992. Beecroft Cole & Company, Inc., 1992. Henry F. Swift & Co., December 1992. 142.G.5.1B-2 22 Herron Northwest scrapbook, 1970- ca. 1980. Branch Office Files

The files contain news clippings and photographs on the branch openings and on the lives and activities of their personnel.

143.C.12.9B 9 Branch offices list, August 1993.

List includes dates when branches were opened and/or closed.

Maps of office locations, 1965-1988. Branch Mangers' PR kit, September 1985. Aberdeen, South Dakota, 1967-1975. Aberdeen, Washington, 1984. Alexandria, Minnesota, 1984.

Also mentions opening of Wenatchee, Washington office. Includes a clipping (exhibit quality) from December 1983/January 1984 Quote magazine.

 Appleton, Wisconsin, 1979-1983. Ames, Iowa, 1983. Bellevue, Washington, 1982-1987. Billings, Montana, 1949-1985. 2 folders. Bismarck, North Dakota, 1967-1982. 2 folders. Bloomington, Minnesota, 1980-1991. Boise, Idaho, 1977-1991. Boulder, Colorado, 1989. Bozeman, Montana, 1984. Butte, Montana, 1985. Casper, Wyoming, 1992. Colorado Springs, Colorado, 1987. Des Moines, Iowa, 1976-1993. Denver, Colorado, 1973-1992. Duluth, Minnesota, 1970-1983. Eau Claire, Wisconsin, 1964-1995. Edina, Minnesota, 1968-1972. Everett, Washington, 1994. Fargo, North Dakota, 1960-1982. Fort Dodge, Iowa, 1970. Grand Forks, North Dakota, 1964-1991. Great Falls, Montana, 1949-1983. Green Bay, Wisconsin, 1984. Hamilton, Montana, 1990.

Closure notice.

 Idaho Falls, Idaho, 1980-1982. Kansas City, Missouri, 1981-1996. LaCrosse, Wisconsin, 1986. Lake Geneva, Wisconsin, 1987. Lake Oswego, Wisconsin, 1987. Lawrence, Kansas, 1988. Lincoln, Nebraska, 1980-1981. London, England, 1988. Los Angeles, California, 1973. Lynnwood, Washington, 1984. Madison, Wisconsin, 1970-1986. Mankato, Minnesota, 1966-1994. Mason City, Iowa, 1980-1983. Milwaukee, Wisconsin, 1979-1990. Minneapolis, Minnesota, 1964-1983. 2 folders. Minot, North Dakota, ca. 1966.

Photographs.

 Missoula, Montana, 1976-1983. New York, New York, 1968-1985. Omaha, Nebraska, 1968-1983. Phoenix, Arizona, 1993-1995. Pierre, South Dakota, 1985. Pocatello, Idaho, 1976-1982. Portland, Oregon, 1979-1991. 2 folders. Pueblo, Colorado, 1993. Quad Cities, Iowa, 1971-1983. Rapid City, South Dakota, 1979-1987. Rice Lake, Wisconsin, 1989. Rochester, Minnesota, 1957-1995. 2 folders. Sacramento, California, 1993. St. Cloud, Minnesota, 1978-1995. St. Paul, Minnesota, 1964-1986. 2 folders. Salt Lake City, Utah, 1986-1991. San Francisco, California, 1994. Seattle, Washington, 1972-1991. 2 folders. Sheridan, Wyoming, 1969-1983. Sioux City, Iowa, 1970-1987. Spokane, Washington, 1980-1982. Stillwater, Minnesota, 1980-1983. Storm Lake, Iowa, 1977-1984. Sioux Falls, South Dakota, 1976-1991. Tacoma, Washington, 1990-1993. Tri-Cities, Washington, 1985-1995. Vail, Colorado, 1980. Waterloo, Iowa, 1970-1985. Wausau, Wisconsin, 1968-1983. Wayzata, Minnesota, 1979-1983. Piper Capital Management Incorporated 143.C.12.10F 10 Formation, 1990-1991. Clippings and brochures, 1986-1989. Brochures: First five funds, 1987. Fund summaries, December 31, 1992. Investment Management Services "Pitch Book", June 1993. Marketing, 1987-1996. Publications, 1987-1996. Adjustable Rate Mortgage Securities Fund: Annual report, 1995. Americas Income Trust: Annual report, 1995. American Adjustable Rate Term Trust, Inc. 1995-1998. 4 folders. American Government Income Fund, 1988. American Government Income Fund Portfolio: Annual report, 1995. American Government Securities Fund, 1988. American Government Term Trust, 1989, 1995. American Municipal Income Portfolio, 1993. American Municipal Income Portfolio: Annual reports, 1995-1996. American Municipal Term Trust, Inc., 1991, 1995. American Municipal Term Trust II, 1991. American Municipal Term Trust III, 1992. American Opportunity Income Fund, 1989. American Opportunity Income Fund: Annual reports, 1995-1996. American Select Portfolio, Inc.: Prospectus, 1993. American Select Portfolio, Inc.: Annual reports, 1994-1995. American Strategic Income Portfolio: Prospectus, 1991. American Strategic Income Portfolio: Annual reports, 1994-1995. American Strategic Income Portfolio II: Prospectus, 1992. American Strategic Income Portfolio II: Annual report, 1995. American Strategic Income Portfolio III: Annual report, 1995. Emerging Growth Fund: Prospectus, [ca 1990]. Hercules Funds, 1993-1996. 2 folders. Highlander Income Trust: Annual reports, 1995-1997. Institutional Government Income Portfolio, 1994-1995. Institutional Government Income Portfolio: Annual report, 1994-1995. Minnesota Municipal Term Trust, Inc., 1991. Minnesota Municipal Term Trust, Inc.: Annual report, 1995. Minnesota Municipal Income Portfolio, 1993. Minnesota Municipal Income Portfolio: Annual reports, 1995-1996. Pacific-European Growth Fund, Inc.: Prospectus, 1990. Pacific-European Growth Fund, Inc.: Annual reports, 1995-1996. Piper Cash Management Funds: Annual report, 1995. Piper Growth Funds: Annual Report, 1995. Piper Income Funds: Annual report, 1995. Piper Jaffray Investment Trust Inc.: Annual Report, 1991.

Money market funds.

 Piper Private Account, 1991. Piper Tax-Exempt Funds: Annual reports, 1994-1995. Piper Total Return Funds: Annual reports, 1994-1995. Piper Jaffray Trust Company 143.C.12.10F 10 Articles and brochures, 1989-1994. Piper Trust Insights, 1995-1997. Marketing brochures, 1989-1995. 2 folders. 401K retirement plan, 1993. Harry C. Piper Sr. Files

Business files and some personal correspondence of one of the principal founders of the firm.

143.C.13.1B 11 American Linen Company, 1947-1949. B.F. Avery & Sons Company, 1948-1950. Billings office correspondence, 1949. Bowers, H.S. (Goldman, Sachs & Co.), 1932-1949. Burton, J. Gilbert, 1953. Community Fund, 1950-1951. Coventry, E.D., 1955. Cream of Wheat Corporation, 1942-1960. 2 folders. Cream of Wheat Corporation, 1956-1958.

Financial statements.

Dakota Collieries Company, 1950. Dayton Company, 1945. Diamond Iron Works, Inc., 1936-1954. 2 folders. Employees Profit-Sharing Trusts, 1943. Mille Lacs Maple Products Corporation, 1952-1953. Personal correspondence, 1940-1958. 4 folders. Business correspondence, 1940-1956. Hollywood-Maxwell Company, 1949-1950. Melady, Sellers & Company, 1949-1950. Minneapolis-Moline Power Implement Company, 1937-1955. 2 folders. Minneapolis-Moline Power Implement Company, reorganization plans, 1946-1951. 2 folders. Munsingwear, Inc. 1938-1957. 2 folders. Munsingwear, Inc. financial reports, 1954-1958. 143.C.13.2F 12 Munsingwear, Inc. company histories, 1937.

Written by Charles L. Pillsbury

 Munsingwear-Vassar merger, 1949-1950. 2 folders. National Battery Company, 1940-1950. Northwest Airways, 1931-1935. Northwest Bancorporation, 1951-1952. Oliver Iron Mining Company, 1944. Pace, Bryan S., 1951. F.H. Peavy & Co. / Russell-Miller Company, 1954. Pepsi Cola Bottling Company, 1940-1943. Pillsbury Mills, Inc., 1942-1958. 3 folders. Pillsbury Mills, Inc. financing, 1954-1956. Pillsbury Mills, Inc. financial statements, 1958-1959. Plymouth Investment Company, 1950-1952. Safe Pack Container Company, 1949-1962. 3 folders. Truax-Traer Coal Company, 1943-1956. 2 folders. Truax-Traer Coal Company oil deal, 1950-1952. Twin City Fire Insurance Company, 1959-1961. 2 folders. The Vassar Company, 1937-1950. 2 folders. Wayne Knitting Mills Company, 1937-1951. 2 folders. Harry C. Piper, Jr. Files

Business files of, and biographical files on, Harry C. Piper, Jr., who was chairman of the board, 1967-1988.

143.C.13.3B 13 Biography, 1917-1990. Articles on, 1950-1991. New York Stock Exchange governor, 1952-1982. Theology degree, 1972-1993. Commercial West magazine interview, April 12, 1980. Spurgeon Award, 1987. Photographs, 1970s - 1980s. Uncommon Citizen Award, 1987. Business ethics, 1976-1988. Retirement, 1987. Easter message, 1990. Pax Christi Award, 1990. Obituaries, 1990. Estate charitable gifts, 1992-1993. American Stock Exchange, 1963-1965. Anniversary: Congratulatory letters on PJH 50th year 1963. Association of Stock Exchange Firms, 1955-1965. 3 folders. Fargo office, 1960-1964. Governor's Securities Advisory Commission, 1961-1964. Great Falls office, 1955-1956. Hamm Brewing Company, 1964-1965. Investment Bankers Association, 1958-1965. Investment Bankers Association: Stock Relations Committee, 1953-1964. Minneapolis Society of Fine Arts, 1950-1958. 2 folders. New York Stock Exchange: Floor trading, 1945-1964. 2 folders. New York Stock Exchange: Correspondence, 1954-1965. 2 folders. New York Stock Exchange: Keith Funston visit, 1957-1959. New York Stock Exchange: Board of Governors, 1963-1966. 2 folders. New York Stock Exchange: Out of town governor's dinner, 1965-1966. Office memorandums, 1954-1961. 2 folders. 143.C.13.4F 14 Office memorandums, 1962-1996. 3 folders. Securities and Exchange Commission, 1952-1964. Small Business Administration: Investment Division, 1958-1962. Speeches and sermons, 1955- 1987. 6 folders. Stock gifts to minors, 1955-1957. Truax-Traer Coal Company, 1936-1962. 8 folders. Twin City Bond Club, 1953-1965. Vassar Company, 1945-1951. 2 folders. Wayne Knitting Mills Company, 1948-1961. 3 folders. Seidel vs. Kronenberg, 1953-1957. Correspondence, 1948-1961. Board minutes, 1957-1958. Subject Files 143.C.13.4F 14 Account management by objective, 1988. Advertising: Library of ads: Print advertising, 1980s. 1920s ads. 1926 ads. 1929 ads. 1931 ads. Open Saturday ads, 1949-1952. Mr. Spaceman ad, 1957. Municipal bonds brochure, [ca. 1964]. Who We Are, What We Offer brochure, [ca. 1964]. Con Man ad, [ca. 1968]. Advertising presentation to senior management, October 2, 1970.

Prepared by Piper Jaffray employee Jack Pink.

Share some Thoughts brochure, [ca. 1971]. We Are All for You brochure, [ca. 1971]. Some Day You're Going to Need an Investment Banker brochure, 1972. There is a Difference brochure, 1979. Boardcaster articles relating to advertising, 1979-1982. The Piper Difference brochure, ca. 1981. There is a Difference brochure, 1986-1987. Foreword flip ad, 1987. You May Know Some of Our Earliest Clients ad, 1989. There is a Difference brochure, ca. 1990. Broker Columns, 1990. Hercules brochures, [ca. 1991]. New logo ads: business ad glossies, 1992. New Cultural ads, [ca. 1992]. Television advertising, BBDO campaign, [ca. 1992]. Meet the Two Most Important People brochure, 1993. Corporate Capabilities brochure, 1994. A Rewarding Relationship ads, 1997-1998. PJH ads not shown in company histories, 1910-1970. 143.C.13.5B 15 Articles of incorporation and bylaws, 1977-1987.

Amended articles of incorporation 4-7-82, 11-19-86, 7-10-87, restated 3-22-84; amended bylaws of 7-27-77 and restated bylaws of 9-77.

Awareness and attitude research, November 1988. A review of research carried out during 1979-1983. Awareness and attitude research, March 1989. Financial securities firms. Awareness and attitude research, April 1989. Presentation on this topic. 143.C.12.8F 8 Bond Department sales sheets, January-May 1930, and January-December 1943. 4 folders.

These include daily figures of transactions.

 143.C.13.5B 15 Business cards, undated.

For Santa Claus and the Easter Bunny.

Business update, February 1995. Bylaws, 1982-1986. Calendar year to fiscal year change, 1974. Certified balance sheets, October 1933.

Printed statement on importance of certified balance sheets.

 Certificate of incorporation, July 23, 1969. Certificate of incorporation, 1969-1984.

Amendments to original certificate of incorporation.

 Chinese Wall summary card, 1989. Christmas, New Year, Hanuka greeting cards, 1929-1987. Client survey, March 20, 1987. Preliminary report of the Behavioral Management Institute. Client survey, May 5, 1987. Final report on retail investment clients by Behavioral Management Institute. Client survey, April 24, 1990. Presentation of results by National Computer Systems. Client survey, May 7, 1990. Over-all report by National Computer Systems. Commercial Paper: Notes offered, 1907-1932. Sales, 1895-1967. Form letter responses for commercial paper, undated. George L. Lang files, 1910-1930. 2 folders. George B. Lane Files: Commercial paper brokerage, [ca. 1910]. The Story of Commercial Paper, 1926-1927. Commercial paper articles, 1924-1947. Items of interest prior to 1916. Fry, Walter R., June 1953.

"A Banker's Introduction to Commercial Paper."

General Mills, 1941-1955. Imperial Elevator Company contract, 1921. International Milling Company, 1915-1966. Munsingwear, Inc., 1914-1965. Northrup, King & Company, 1906-1966. Pillsbury Company, 1912-1970. Statements on commercial paper, 1975-1977. 143.C.12.8F 8 Notes offered, September/October, 1907. Notes offered, April - June 1920. Notes offered, November 1931 - December 1932. Underwritings, July 1942 - June 1943. 143.C.13.5B 15 Community Market Profiles, June 1977. Community Market Profiles, 1977.

Completed questionnaires from branch offices.

Community Affairs Department: Annual reports, 1989-1997. Action Auction Phone-a-thon, 1981. Charitable giving: Minnesota Keystone Awards, 1976-1990. Community involvement guides, 1991-1996. Correspondence, clippings, articles, 1964-1988. "Employee Voluntarism: A Study and Recommendations," June 1978. The Hunger Project, 1986-1987. 2 folders. 142.G.5.1B-2 22 Emergency Food Shelf and Partners in Giving posters, 1970s-1980s. 143.C.13.6F 16 Piper, Jaffray & Hopwood Foundation, 1966-1971.

Financial ledger.

Piper Jaffray Women's Open, August 1986.

Women's golf tournament sponsored by the company.

Piper Jaffray Women's Open, August 1987. 2 folders. Swim-a-Cross, 1984-1985. Total Return Volunteer Program, 1991-1997. Vietnamese family sponsorship, 1978-1979. Miscellaneous information, 1964-1988. Corporate information packet, 1992-1993. 2 folders. Corporate finance: Transaction records, 1989-1992, 1997. Corporate finance: Guides to, 1988-1994. Corporate officers and directors lists, 1986-1989. Corporate pitch book, 1985, 1992. 2 folders. Corporate telephone directories, 1936, 1970, 1988. 3 folders. Ellis, Bill: 1970-1980s. 3 folders. Photos. Photos with Tad Piper. Speech presentations, FY 1991, FY 1992 results. Employee communications surveys, 1991-1995. 4 folders. Employee Handbook, 1980. Equity Capital Markets: Planning sesssion, 1992. Executive Committee minutes, 1969-1994. 4 folders.

1988-1994 consists mainly of consent in writing documents.

Fact sheets and history, 1989-1995. Finance Magazine, 1955-1959. Fiscal Year 1994-1998 plans and presentations, 1993-1997. 4 folders. Floor trader note cards, ca. 1940s. Food conference brochure, 1987-1988. History: "Ticker Tape Tales-1895-1985," 1985. Human Resources Department: Annual reports, 1988-1994. 7 folders. Bonus payments, 1964-1982. Smoking policy, 1984-1988. Profit sharing, safety, scholarships, 1986-1989. Humor at Piper Jaffray, 1964-1982. 142.G5.1B-2 22 Humor at Piper Jaffray, 1927- [ca. 1970s].

Includes photocopied issue of the Minnehaha Journal of March 5, 1927 and a recreated humorous issue of the Minneapolis Tribune (ca. 1980) which contains Piper Jaffray corporate humor.

149.C.20.6F 17 Incorporation, 1969. Internet home page, December 1995. 143.C.12.8F 8 Investment News, August and Christmas issues, 1929. Lane, Piper & Jaffray as orginators/underwriters, April 1923 - July 1930. 149.C.20.6F 17 Leading Twin Cities companies, 1984 profile form. Mergers and Acquisitions: Summaries, 1974-1985. Brochure, 1987. Brochure, 1992. Merger agreement, May 31, 1974.

Between Piper, Jaffray & Hopwood, Inc. and PJH, Inc.

143.C.12.8F 8 Minneapolis Theatre Company, 1935-1944. 2 folders.

Concerns bankruptcy of this company and includes lists of stockholders.

149.C.20.6F 17 Minutes, May 13, 1980.

PJH of South Dakota and PJH of Montana.

Mission statement, February 1988.

From PJH employee survey.

Mission statement, October 1993. Minnesota State Fair Exhibit, 1953.

Contains photographs.

Name change to Piper Jaffray, Inc., April 16, 1982. Nelson notebooks, 1941-1948. News clippings, 1954, 1960-1995. 26 folders. Outstandings, 1959 - March 1967. Over-the-Counter trading/order room photographs, 1970s-1980s. 3 folders. Pacific Northwest Investor Conference brochure, June 1987. Pacific Northwest Investor Conference, 1993. Pacific Northwest Investor Conference, February 1996. Partnership information, 1932-1957.

Contains financial data regarding percentages owned by each partner.

Piper Jaffray conference brochures, 1988-1994. Piper Jaffray conference, 1992-1993. 2 folders. Piper, Jaffray & Hopwood Incorporated, August 29, 1969. 1 volume.

Acquisition of the business assets of Piper, Jaffray & Hopwood effective August 29, 1969.

149.C.20.7B 18 Piper family history and genealogy, [ca. 1927] - 1932. Piper, George F., Sr. (1856-1917). Piper, George F., Jr. (1891-1965). Piper, Harry C., Sr. (1889-1968). Piper, Addison (Tad), (1946- ). Speeches, 1984, 1992-1995. Photographs. News clippings, 1984-1992. Piper, Virginia, 1972.

Clippings and articles on her 1972 kidnapping.

Procedure manual for order and wire personnel, [ca. 1968]. Prospectuses: Amedco, Inc., December 27, 1972. Apogee Enterprises, Inc., June 30, 1971. Autoclave Engineers, Inc., March 5, 1981. Beker Industries Corp., April 25, 1973. Black Hills Power & Light Company, March and December 1976. Cardiac Pacemakers, Inc., August and October 1975. Chem-Nuclear Systems, Inc., January 8, 1981. Comserv Corporation, July 1980 and April 1981. Contech, Inc., June 9, 1972. Cray Research, Inc., March 1976 and October 1980. Data Card Corporation, July 12, 1977. First of Michigan Corporation, June 14, 1972. General Growth Properties, September 29, 1970. Holosonics, Inc., May 29, 1973. Intermec (Interface Mechanics, Inc.), November-December 1980. Javelin Corporation, November 1971 and October 1972. E.F. Johnson Company, June 10, 1975. K-Tel International, Inc., December 22, 1971. Kayot Inc., November 13, 1972. Mid America Bancorporation, Inc., October 29, 1970. Mid-Continent Industries, Inc., June 8, 1977. Minnesota Fabrics, Inc., February 29, 1972. Minnesota Mining and Manufacturing Company (3M), February 20, 1975. Minnesota Power and Light Company, 1975-1977 (6 items). Miracle Recreation Equipment Company, September 7, 1972. Mutual of Omaha Interest Shares, Inc., January 18, 1972. National Municipal Trust, September/October 1979. Network Systems Corporation, November 3, 1980. Nicolet Instrument Corporation, 1971, 1977, 1979. Northern States Power Company, November 1974 and June 1976. Northrup, King & Company, October 26, 1972. Osmonics, Inc., April 10, 1981. Ottertail Power Company, April 9, 1980. Payless Cashways, Inc., 1971, 1976. Piper, Jaffray Incorporated, 1975-1976, 1980. Pillsbury Company, 1970, March 3, 1976, April 5, 1976. 2 folders. Reit Income Fund, December 8, 1972. Schaak Electronics, Inc., December 10, 1980. Shelter Corporation of America, Inc., September 10, 1970. Super Valu Stores, Inc., November 25, 1975. Vallen Corporation, October 9, 1979. Van Dusen Air Incorporated, January 21, 1981. Webb Publishing Company, May 19, 1971. Quality management survey, 1994. Recommended mutual funds, 1973. Registered representatives, 1964-1970. Research Department directory, November 1980. Research Department brochure, July 1987. Research Reports: American Hoist & Derrick Company, March 1965. Archer-Daniels-Midland Company, August 1948, June 1989. Bemis Company, Inc., 1965. Control Data Corporation, February 1966. Cornelius Company, November 1965. Deluxe Check Printers, Inc., 1966-1973. E.F. Johnson Company, 1964-1965. Economics Laboratory, Inc., June 1965. International Milling Company, Inc., May 1964, 1969. Nordstrom, Inc., 1980, May 1988. Norplex Corporation, July 1965. Northwestern National Life Insurance Company, 1965. Piper, Jaffray & Hopwood Guide to Upper Midwest Companies, 1970-1971. Regional resume, January 19, 1967. St. Jude Medical, July 1983. St. Paul Fire and Marine Insurance Company, 1950, 1975.

1975 report is for the St. Paul Companies, Inc.

Texas Utilities Company, 1949-1950. Toro Manufacturing Corporation, January 1963. Valley National Bank of Phoenix, February 1960. Willamette Industries Inc., 1971-1976. Fort Nightly Review, May 1958. Insurance stocks, March 1948. Panorama, 1983-1993. Pacific Northwest Outlook, 1983, 1987. Miscellaneous reports, 1982-1993. Retail sales training guide, [ca. 1980]. Tips for new salesmen, undated. Sales management recruiting kits, 1980, 1987, 1993. 3 folders. Securities industry in the 1980s, March 23, 1990.

Overhead transpariences used in speeech.

 Stock of the Piper Jaffray Companies: Initial public offering, 1971. First trade, 1971. Secondary offering, February 27, 1992. Option transactions, 1994. Shareholders list, 1969-1971. Letters to stockholders, 1996-1997. Stockmarket Crash: Memos relating to, 1987. Marketing and research reports, 1987-1988. Micro group charts "Bloody Special," October 19, 1987. 149.C.20.8F 19 Syndicate Department: Booklet, 1988. Offerings, 1923-1973. Managed/Co-managed offerings, 1923-1985. Offerings, July 1943-1976. 5 folders. Managed corporate underwritings, 1974-1992. "Ticker Talk" column, 1963-1965.

Written by Piper employee Jack Pink for the Suburban Twin Cities newspapers.

Ticker Tape Tastes, 1991.

Cookbook.

Ticker tape, 1971.

Samples of PJH first stock quotes.

U.S. Bancorp publications, 1998. Victor Talking Machine Company, January 21, 1927.

Stock trade confirmation papers.

Vision 1992, 1987. Vision 1995, 1991. Vision 2000, 1994. War Plan, 1987.

Subtitled as "Computer generated market tactics designed for the professional investor."

Williams, Lee, 1984-1986.

Booklet of his writings entitled, "A Collection of Published Writings on Investments."

Miscelleaneous, undated. Oral History Transcripts

Cassette audio tapes that produced the transcripts are filed in Box 21, by the tape number noted on this list of transcripts.

149.C.20.9B 20 Chronological index. Correspondence concerning interviews, 1983-1984. Amlund, Helen, transcript 39, tape 36A. Bacon, John, transcript 21, tape 1. Bennett, Brace, transcript 10. Berg, Einer, transcript 22. Bloom, Harry, transcript 6, tape 10. Bohn, Karen, July 1993.

History interviews 4 and 11.

Bourgeois, Dorothy, transcript 9, tape 19, May 16, 1985. Brophy, Mary, transcript 23, tape 31. Carroll, Bill, transcript 33, tape 6. Chavie, Mary Ellen, transcript 17, tape 25. Chrencik, Dorothy, transcript 13, tape 21. Cooney, Bill, transcript 32. Cranston, Ruth, transript 4, tape 2. Crosby, David, transcript 54, tape 38, November 11, 1983. Crosby, David, tape 43, March 13, 1985. Crosby, David, history interview 6, July 28, 1993. Culp, Grover, transcript 7, tape 23 Druker, Jack, transcript 46, tape 33, January 9, 1984. Dubbins, Percy, transcript 58, tape 54. Ellis, Bill, tape 48, March 11, 1985. Ellis, Bill, history interview 2, June 1993 and March 1994. Flower, Lester, transcript 45, tape 50, January 9, 1984. Fousek, Tom, transcript 34, tape 8, August 25, 1983. Fox, George, transcript 8, tapes 27-28. Gamble, Fred, transcript 15. Gilman, Neal, transcript 41, tape 32. Hamilton, J. Wimer, transcript 18, tape 14. Hartl, Joy, transcript 14, tape 22. Heines, Joe, transcript 35, tape 17, August 25, 1983. Huber, Bruce, history interview 3, August 23, 1993. Hunt, John, transcript 44, tape 50, January 9, 1984. Hyssen, Chip, history interviews 4 and 11, July 1993. Johnson, Earl, transcript 60, tape 34, January 25, 1984. Johnson, Ken, transcript 43, tape 53. Johnson, Woody, transcript 37, tape 45, October 19, 1983. Kahlert, Bill, transcript 27, tape 16. Kohler, Ed, history interview 10, June 10, 1993. Lastavich, Dan, history interview 5, September 1993. Lindholm, Bernie, transcript 55, tape 47. Lindquist, Henry, transcript 38, tape 36B. McClure, Don, transcript 40. McGann, Evelyne, transcript 17, tape 25 McIntosh, Bob, transcript 25. McIntyre, Stan, transcript 36, tape 5. McFadden Jr., Billy, transcript 31. Midthun, Louise, transcript 12, tape 28. Musnier, Vivian, transcript 11, tape 20, May 17, 1985. Neu, Carl, tape 40. Olson, John, transcript 16, tape 12. Peterson, Eli, transcript 47, tape 33, January 9, 1984. Pink, Jack, transcript 28, tape 15. Piper Jr., Harry, transcript 3. Piper, Jr., Harry, transcript 63, December 19, 1975. Piper, Jr., Harry, transcript 62, tape 44, August 22, 1977. Piper Jr., Harry, transcript 42, tapes 42-43, November 14, 1983. Piper, Addison "Tad," transcript 57, tapes 51, 54. Piper, Addison "Tad," history interview 12, June/July 1993. Pratt, Walter, transcript 5, tape 11. Pratt, Walter, history interview 13, 1993.

history interview 13.

Reaves, George, tape 40. Rinkey, Ben, history interview 1, July 26, 1993. Rosedahl, David, history interview 7, August 16, 1993. Scully, Ken, transcript 19, tape 29. Shearer, Rod, transcript 20, tape 18. Siefken, Bernie, transcript 29, tape 5, August 29, 1983. Simonson, Drew, transcript 24, tape 13. Stanley, David, transcript 56, tape 52. Steenson, Duke, history interview 9, June 8, 1993. Stream, Dick, history interview 8, June 23, 1993. Souba, Fred, transcript 2, tape 30. Thies, Everett, transcript 30, tape 7, August 29, 1983. Wakefield, Jr., Lyman, transcript 64, tape 46. Ward, Bill, tape 49. Whitehead, John, transcript 26. Whitney, Sumner, transcript 1. Sound and Visual Materials 149.C.20.10F 21 Video Recordings: Introduction to Piper Pipeline, undated. 1 VHS cassette.

Standard and Poors Marketscope.

 Stockmate, undated. 1 VHS cassette. Piper Products, undated. 1 VHS cassette. Custom Information, undated. 1 VHS cassette. Piper, Jaffray and Hopwood ads, April 19, 1985. 1 VHS cassette.

30-second ads entitled, "Skinflint," "Surgeon," and "Farmer."

Missoula broker spots, April 2, 1987. 1 VHS cassette.

For Mike Louttit, Robert Thornburg, Tim Skiftun, John Corwin, Roger Stromberg, Russell Piazza, Jean Corbett, Kermit Lilja, Ross Blair, Bruce Allen, and Larry Hudson. Ca. 10 seconds each.

SPB Production ads, July 10, 1992. 1 VHS cassette.

30-second spots entitled, "Long Term" and "Conservative."

 Rusten Marketing Group ads, October 11, 1993. 1 VHS cassette.

30-second ads entitled, "Terry and Sharon," "Mike and Ruby," and "Bill."

Reel-to-Reel Tapes: Emergency Food Network PSA's, undated. 1 reel. G.L. Ness, October 23, 1991. 1 reel.

Speeches on retirement planning, global economy, balance, and the Pacific Northwest.

Audio Cassettes: Oral History Interviews: Tray 1, 1970s-1990s. 15 cassettes.

Tapes 1-2, 5-8, 10-18.

Tray 2, 1970s - 1990s. 15 cassettes.

Tapes 19-23, 25, 27-34, 36

Tray 3, 1970s-1990s. 15 cassettes.

tapes 38, 40, 42-54.

30-second radio ads, undated. 1 cassette.

Diversity; The Relationship.

60-second radio ads, undated. 1 cassette.

Retired investor; The beginner.

30-second radio ads, October 1990. 1 cassette.

T.S. zero coupon bonds; A.A. equities; J.V. Long-term investing.

60-second radio ads, October 1990. 1 cassette.

S.N. Strategic diversification; C.S. Conservative investing; J.V. Long-Term investing; F.G. Retirment planning; T.S. zero coupon bonds.

Tad Piper, [ca. 1996]. 1 cassette.

Vision 2000: Keeping the Best...Improving the Rest.

Tad Piper, October 19, 1995. 1 cassette.

Why Me?..Difficulty is No Respector of Persons. Produced by Church Metro, Minneapolis. 28:45.

Piper, Jaffray & Hopwood annual meeting, 1982. 2 cassettes. H.C. Piper, Jr. November 11, 1983. 1 cassette.

Sermon on Christian action at Edina Chapel Hill UCC.

H.C. Piper, Jr., May 4, 1984. 1 cassette.

Sales tape: "Cheer Up."