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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Piper Sandler Companies
SEC Filings (Chronological Order)
이 페이지는 다른 곳에서 제공하는 소유권 보고서를 제외한 SEC 보고서의 전체 리스트를 시간 순으로 정리한 것입니다.
| May 21, 2026 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS: That each person whose signature appears below, as a director and/or officer of Piper Sandler Companies (the “Company”), with its general offices in the City of Minneapolis, State of Minnesota, does hereby make, constitute and appoint Chad R. Abraham, Katherine P. Clune and John W. Geelan, or any one of them acting alone, his or he |
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| May 21, 2026 |
As filed with the Securities and Exchange Commission on May 21, 2026 As filed with the Securities and Exchange Commission on May 21, 2026 Registration No. |
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| May 21, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 20, 2026 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 21, 2026 |
Table 1: Newly Registered Securities Calculation of Filing Fee Tables S-8 PIPER SANDLER COMPANIES Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock, par value $0. |
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| May 7, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAN |
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| May 1, 2026 |
Exhibit 99 Piper Sandler Companies Reports First Quarter 2026 Results; Increases Quarterly Dividend to $0. |
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| May 1, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 1, 2026 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer |
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| April 9, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 9, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 9, 2026 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
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| March 23, 2026 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PIPER SANDLER COMPANIES Piper Sandler Companies, a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Piper Sandler Companies. 2. The date of filing of the or |
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| March 23, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 23, 2026 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| March 20, 2026 |
Connecting capital with opportunity As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture. |
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| February 26, 2026 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Katherine P. Clune and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in |
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| February 26, 2026 |
PIPER SANDLER COMPANIES 2026 Compensation and Benefits for Non-Employee Directors Exhibit 10.9 PIPER SANDLER COMPANIES 2026 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $100,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of da |
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| February 26, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2025 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 26, 2026 |
Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of December 31, 2025) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Sandler Foundation Minnesota Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Aviditi Capital Advisors UK Ltd. United Kingdom Piper Sandler Europe SAS France Piper Sandler Schw |
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| February 26, 2026 |
Exhibit 10.11 CONFORMED THROUGH FIFTH AMENDMENT AMENDED AND RESTATED CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2022, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATION Table of Contents Page ARTICLE I THE DEFINITIONS 1 1.1. Definitions 1 1.2. Computation of Time Periods 13 1.3. Accounting 13 1.4. Other Definitional Terms; Interpretative Provisions 14 1.5. Divisions 14 ARTICLE II TH |
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| February 26, 2026 |
PIPER JAFFRAY COMPANIES INSIDER TRADING POLICY Exhibit 19.1 PIPER JAFFRAY COMPANIES INSIDER TRADING POLICY All Employee Trading Policy for Securities of Piper Sandler Companies For the purpose of ensuring that Piper Sandler Companies (“PSC”) employees and their immediate family members do not trade PSC securities in a manner that would expose them or the firm to legal liability and to avoid even the appearance of impropriety, all employees are |
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| February 26, 2026 |
Exhibit 10.21 RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2026 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 Grant Piper Sandler Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 26, 2026 |
Exhibit 10.7 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee: [] Target No. of Performance Share Units Covered: [] Maximum No. of Performance Share Units Covered: [] Date of Issuance: [] This is a Performance Share Unit Agreement (“Agreement”) between Piper Sandler Companies, a Delaware corporation (the “Compan |
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| February 6, 2026 |
Exhibit 99 Piper Sandler Companies Reports Fourth Quarter and Full Year 2025 Results; Declares Special Dividend of $5. |
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| February 6, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 6, 2026 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emp |
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| February 4, 2026 |
Piper Sandler Companies Elects Stuart M. Essig to Board of Directors Exhibit 99 Piper Sandler Companies 350 North 5th Street, Suite 1000 Minneapolis, MN 55401 Contact Kate Clune Chief Financial Officer Tel: 212 466-7799 investorrelations@psc. |
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| February 4, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 4, 2026 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER |
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| October 31, 2025 |
Exhibit 99 Piper Sandler Companies Reports Third Quarter 2025 Results; Declares Quarterly Dividend of $0. |
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| October 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 31, 2025 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emp |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAND |
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| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 1, 2025 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| August 1, 2025 |
Exhibit 99 Piper Sandler Companies Reports Second Quarter 2025 Results; Increases Quarterly Dividend to $0. |
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| May 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 22, 2025 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAN |
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| May 2, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 2, 2025 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer |
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| May 2, 2025 |
Exhibit 99 Piper Sandler Companies Reports First Quarter 2025 Results; Declares Quarterly Dividend of $0. |
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| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ |
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| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 11, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
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| March 24, 2025 |
Connecting capital with opportunity As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture. |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2024 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 27, 2025 |
Summary of Non-Employee Director Compensation Program. †* Exhibit 10.11 PIPER SANDLER COMPANIES 2025 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $100,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of d |
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| February 27, 2025 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Katherine P. Clune and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in |
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| February 27, 2025 |
Subsidiaries of Piper Sandler Companies * Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of December 31, 2024) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Sandler Foundation Minnesota Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Aviditi Capital Advisors UK Ltd. United Kingdom Piper Sandler Europe SAS France Piper Sandler Schw |
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| February 27, 2025 |
Exhibit 19.1 PIPER JAFFRAY COMPANIES INSIDER TRADING POLICY All Employee Trading Policy for Securities of Piper Sandler Companies For the purpose of ensuring that Piper Sandler Companies (“PSC”) employees and their immediate family members do not trade PSC securities in a manner that would expose them or the firm to legal liability and to avoid even the appearance of impropriety, all employees are |
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| February 27, 2025 |
Exhibit 10.9 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee: [] Target No. of Performance Share Units Covered: [] Maximum No. of Performance Share Units Covered: [] Date of Issuance: [] This is a Performance Share Unit Agreement (“Agreement”) between Piper Sandler Companies, a Delaware corporation (the “Compan |
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| February 27, 2025 |
Exhibit 10.13 CONFORMED THROUGH FOURTH AMENDMENT AMENDED AND RESTATED CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2022, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATION Table of Contents Page 1.1. Definitions 1 1.2. Computation of Time Periods 14 1.3. Accounting 15 1.4. Other Definitional Terms; Interpretative Provisions 15 1.5. Divisions 16 ARTICLE II THE CREDITS 16 2.1. Loans 16 |
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| February 27, 2025 |
Exhibit 10.25 RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2025 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 Grant Piper Sandler Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 23, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorp |
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| January 31, 2025 |
Exhibit 99 Piper Sandler Companies Reports Fourth Quarter and Full Year 2024 Results; Declares Special Dividend of $3. |
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| January 31, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 31, 2025 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emp |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER |
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| November 7, 2024 |
and between Piper Sandler Companies and U.S. Bank National Association ( Exhibit 10.1 CONFORMED THROUGH THIRD AMENDMENT AMENDED AND RESTATED CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2022, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATION Table of Contents Page 1.1. Definitions 1 1.2. Computation of Time Periods 14 1.3. Accounting 15 1.4. Other Definitional Terms; Interpretative Provisions 15 1.5. Divisions 16 ARTICLE II THE CREDITS 16 2.1. Loans 16 2. |
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| November 7, 2024 |
EXHIBIT 10.2 Execution Version CREDIT AGREEMENT dated as of August 23, 2024 among PIPER SANDLER COMPANIES, THE GUARANTORS PARTY HERETO, THE LENDERS PARTY HERETO and CADENCE BANK, as Administrative Agent TABLE OF CONTENTS Page ARTICLE I Definitions 1 SECTION 1.01 Defined Terms 1 SECTION 1.02 Classification of Loans and Borrowings 31 SECTION 1.03 Terms Generally 31 SECTION 1.04 Accounting Terms; GAA |
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| October 25, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 25, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emp |
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| October 25, 2024 |
Exhibit 99 Piper Sandler Companies Reports Third Quarter 2024 Results; Declares Quarterly Dividend of $0. |
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| September 23, 2024 |
Piper Sandler Companies Elects Ann Gallo to Board of Directors Exhibit 99 Piper Sandler Companies 800 Nicollet Mall, Suite 1000 Minneapolis, MN 55402 CONTACT Kate Clune Chief Financial Officer Tel: 212 466-7799 investorrelations@psc. |
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| September 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 23, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 19, 2024 |
oyment Inducement Award Plan (incorporated by reference to Exhibit 4.4 Piper Sandler Companies 2024 Employment Inducement Award Plan Section 1. Purpose The purpose of the Plan is to promote the interests of the Company and its stockholders by giving the Company a competitive advantage in attracting personnel capable of assuring the future success of the Company and to provide such personnel with an appropriate and material inducement to become employees o |
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| August 19, 2024 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS: That each person whose signature appears below, as a director and/or officer of Piper Sandler Companies, a Delaware corporation (the “Company”), with its general offices in the City of Minneapolis, State of Minnesota, does hereby make, constitute and appoint Chad R. Abraham, Katherine P. Clune and John W. Geelan, or any one of them |
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| August 19, 2024 |
As filed with the Securities and Exchange Commission on August 19, 2024 As filed with the Securities and Exchange Commission on August 19, 2024 Registration No. |
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| August 19, 2024 |
Calculation of Filing Fee Tables S-8 PIPER SANDLER COMPANIES Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock, par value $0. |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAND |
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| August 2, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 2, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 001-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| August 2, 2024 |
Exhibit 99 Piper Sandler Companies Reports Second Quarter 2024 Results; Increases Quarterly Dividend to $0. |
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| May 28, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 28, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAN |
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| April 26, 2024 |
Exhibit 99 Piper Sandler Companies Reports First Quarter 2024 Results; Declares Quarterly Dividend of $0. |
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| April 26, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 26, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employe |
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| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ |
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| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ |
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| April 12, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
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| March 28, 2024 |
Connecting capital with opportunity As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture. |
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| February 26, 2024 |
Exhibit 10.24 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 Grant Piper Sandler Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2023 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 26, 2024 |
ation Recovery Policy for Accounting Restatements. * Exhibit 97.1 PIPER SANDLER COMPANIES INCENTIVE COMPENSATION RECOVERY POLICY FOR ACCOUNTING RESTATEMENTS1 (ADOPTED AUGUST 14, 2023) Policy The Board of Directors (the “Board”) of Piper Sandler Companies (the “Company”) has adopted this Incentive Compensation Recovery Policy for Accounting Restatements (this “Policy”) pursuant to Rule 10D-1 of the Securities and Exchange Act of 1934, as amended (the |
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| February 26, 2024 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Katherine P. Clune and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in |
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| February 26, 2024 |
Summary of Non-Employee Director Compensation Program. †* Exhibit 10.11 PIPER SANDLER COMPANIES 2024 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $100,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of d |
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| February 26, 2024 |
Exhibit 10.15 ELEVENTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT THIS ELEVENTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) made and entered into as of December 8, 2023 (the “Effective Date”), by and between PIPER SANDLER & CO., a Delaware corporation (“Borrower”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association (“Lender”); has reference to the follo |
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| February 26, 2024 |
Exhibit 10.13 CONFORMED THROUGH SECOND AMENDMENT AMENDED AND RESTATED CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2022, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATION Table of Contents Page ARTICLE I DEFINITIONS........................................................................................................ 1 1.1............ Definitions..................................... |
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| February 26, 2024 |
Exhibit 10.9 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee: [] Target No. of Performance Share Units Covered: [] Maximum No. of Performance Share Units Covered: [] Date of Issuance: [] This is a Performance Share Unit Agreement (“Agreement”) between Piper Sandler Companies, a Delaware corporation (the “Compan |
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| February 26, 2024 |
Subsidiaries of Piper Sandler Companies * Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of December 31, 2023) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Sandler Foundation Minnesota Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Piper Sandler SP Ltd United Kingdom Stamford Partners LLP United Kingdom Piper Sandler Financial P |
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| February 13, 2024 |
PIPR / Piper Sandler Companies / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01706-pipersandlercos.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 15)* Name of issuer: Piper Sandler Cos Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate |
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| February 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 2, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| February 2, 2024 |
Exhibit 99 Piper Sandler Companies Reports Fourth Quarter and Full Year 2023 Results; Declares Special Dividend of $1. |
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| January 23, 2024 |
PIPR / Piper Sandler Companies / BlackRock Inc. Passive Investment SC 13G/A 1 us7240781002012324.txt us7240781002012324.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 15) PIPER SANDLER COMPANIES - (Name of Issuer) Common Stock - (Title of Class of Securities) 724078100 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropria |
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| January 2, 2024 |
Piper Sandler Appoints Kate Clune as Chief Financial Officer Exhibit 99.1 Piper Sandler Companies 800 Nicollet Mall, Suite 900 Minneapolis, MN 55402 CONTACT Pamela Steensland Tel: 612 303-8185 [email protected] F O R I M M E D I A T E R E L E A S E Piper Sandler Appoints Kate Clune as Chief Financial Officer MINNEAPOLIS – January 2, 2024 – Piper Sandler Companies (NYSE: PIPR), a leading investment bank, today announced that effective January 1, 2024 |
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| January 2, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 2, 2024 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (I.R.S. Emp |
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| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER |
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| October 27, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 27, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| October 27, 2023 |
Exhibit 99 Piper Sandler Companies Reports Third Quarter 2023 Results; Declares Quarterly Dividend of $0. |
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| September 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 12, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission |
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| September 12, 2023 |
etter Agreement, dated August 8, 2023, by an Exhibit 10.1 800 NICOLLET MALL, SUITE 900, MINNEAPOLIS MN 55402 Tel: 612 303-6000 | Tel: 800 333-6000 | Fax: 612 303-5050 Piper Sandler & Co. Since 1895. Member SIPC and NYSE. August 8, 2023 Kate Clune Dear Kate, On behalf of Piper Sandler & Co. ("Piper Sandler" or the "Company"), I am very pleased to confirm this conditional offer of employment to you. At Piper Sandler, our people make the differ |
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| September 12, 2023 |
Exhibit 99 Piper Sandler Companies 800 Nicollet Mall, Suite 900 Minneapolis, MN 55402 CONTACT Pamela Steensland Tel: 612 303-8185 pamela. |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAND |
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| August 2, 2023 |
Exhibit 10.2 FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT (Piper Sandler Companies) THIS FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT, dated as of April 26, 2023 (this “Amendment”), is entered into by and between PIPER SANDLER COMPANIES, as the Borrower (the “Borrower”) and U.S. BANK NATIONAL ASSOCIATION, as the Lender (the “Lender”). R E C I T A L S WHEREAS, Borrower and t |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 28, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer |
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| July 28, 2023 |
Exhibit 99 Piper Sandler Companies Reports Second Quarter 2023 Results; Declares Quarterly Dividend of $0. |
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| May 19, 2023 |
U.S. Securities and Exchange Commission Youâve Exceeded the SECâs Traffic Limit Your request rate has exceeded the SECâs maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains |
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| May 19, 2023 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS: That each person whose signature appears below, as a director and/or officer of Piper Sandler Companies, a Delaware corporation (the “Company”), with its general offices in the City of Minneapolis, State of Minnesota, does hereby make, constitute and appoint Chad R. Abraham, Timothy L. Carter and John W. Geelan, or any one of them |
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| May 19, 2023 |
As filed with the Securities and Exchange Commission on May 19, 2023 As filed with the Securities and Exchange Commission on May 19, 2023 Registration No. |
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| May 18, 2023 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PIPER SANDLER COMPANIES Piper Sandler Companies, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), does hereby certify as follows: 1. The name of the Corporation is “Piper Sandler Companies.” The Corporation was originally incorporated under the name “Piper Jaffray & Co.”, and the origi |
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| May 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 17, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 18, 2023 |
Exhibit 10.1 AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN (As amended and restated effective May 17, 2023) SECTION 1. Purpose The purpose of the Plan is to promote the interests of the Company and its stockholders by giving the Company a competitive advantage in attracting, retaining and motivating employees, officers, consultants and Directors capable of assuring the future succe |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ |
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| May 5, 2023 |
DEFA14A 1 tm2314836d2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAN |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ |
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| May 2, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 2, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer I |
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| May 2, 2023 |
Exhibit 99 Piper Sandler Companies Reports First Quarter 2023 Results; Declares Quarterly Dividend of $0. |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ |
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| April 5, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
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| March 28, 2023 |
We are a leading investment bank We enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture. |
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| March 23, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by R |
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| March 17, 2023 |
As filed with the Securities and Exchange Commission on March 17, 2023 As filed with the Securities and Exchange Commission on March 17, 2023 Registration No. |
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| March 17, 2023 |
As filed with the Securities and Exchange Commission on March 17, 2023 As filed with the Securities and Exchange Commission on March 17, 2023 Registration No. |
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| February 24, 2023 |
Exhibit 10.12 AMENDED AND RESTATED CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2022, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATION Table of Contents Page ARTICLE I DEFINITIONS 1 1.1. Definitions 1 1.2. Computation of Time Periods 13 1.3. Accounting 13 1.4. Other Definitional Terms; Interpretative Provisions 14 1.5. Divisions 14 ARTICLE II THE CREDITS 14 2.1. Loans 14 2.2. Requir |
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| February 24, 2023 |
Exhibit 10.21 RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2023 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 Grant Piper Sandler Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 24, 2023 |
Exhibit 10.8 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee: [] Target No. of Performance Share Units Covered: [] Maximum No. of Performance Share Units Covered: [] Date of Issuance: [] This is a Performance Share Unit Agreement (“Agreement”) between Piper Sandler Companies, a Delaware corporation (the “Compan |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2022 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 24, 2023 |
Summary of Non-Employee Director Compensation Program. †* Exhibit 10.10 PIPER SANDLER COMPANIES 2023 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $100,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of d |
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| February 24, 2023 |
Exhibit 10.14 PIPER SANDLER COMPANIES MUTUAL FUND RESTRICTED SHARE INVESTMENT PLAN (Amended and Restated as of November 16, 2022) 1. Plan and Purpose. Piper Sandler Companies (the “Company”) pays a portion of certain employees’ annual incentive compensation in restricted Company equity (the “Restricted Compensation”) under the Piper Sandler Companies Amended and Restated 2003 Annual and Long-Term |
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| February 24, 2023 |
Subsidiaries of Piper Sandler Companies * Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of December 31, 2022) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Sandler Foundation Minnesota Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Piper Sandler SP Ltd United Kingdom Stamford Partners LLP United Kingdom Piper Sandler Financial P |
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| February 24, 2023 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Timothy L. Carter and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in a |
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| February 24, 2023 |
CONFORMED THROUGH TENTH AMENDMENT Exhibit 10.13 AMENDED AND RESTATED LOAN AGREEMENT 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 circumst |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 9, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (I.R.S. Em |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 8, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (I.R.S. Em |
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| February 10, 2023 |
Exhibit 10.1 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN Non-qualified Stock Option Agreement Full Name of Optionee: Chad R. Abraham No. of Shares Covered: 75,000 Date of Grant: February 15, 2023 Exercise Price Per Share: Closing price on February 15, 2023 plus 10% Expiration Date: February 15, 2033 Exercise Schedule pursuant to Section 4: Date of Vesting |
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| February 10, 2023 |
Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF PIPER SANDLER COMPANIES Incorporated under the Laws of the State of Delaware As of February 9, 2023 ARTICLE I Offices SECTION 1.1 Principal Delaware Office. The registered office of the Corporation in the State of Delaware shall be in the City of Wilmington, County of New Castle, and the name and address of the Registered Agent in charge thereof shall be |
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| February 9, 2023 |
PIPR / Piper Sandler Companies / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 14)* Name of issuer: Piper Sandler Cos. Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| February 3, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 3, 2023 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| February 3, 2023 |
Exhibit 99 Piper Sandler Companies Reports Fourth Quarter and Full Year 2022 Results; Declares Special Dividend of $1. |
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| January 23, 2023 |
PIPR / Piper Sandler Companies / BlackRock Inc. Passive Investment SC 13G/A 1 us7240781002012323.txt us7240781002012323.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 14) PIPER SANDLER COMPANIES - (Name of Issuer) Common Stock - (Title of Class of Securities) 724078100 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropria |
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| November 1, 2022 |
Exhibit 107 Calculation of Filing Fee Tables FORM S-8 (Form Type) Piper Sandler Companies (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price (2) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0. |
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| November 1, 2022 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS: That each person whose signature appears below, as a director and/or officer of Piper Sandler Companies, a Delaware corporation (the “Company”), with its general offices in the City of Minneapolis, State of Minnesota, does hereby make, constitute and appoint Chad R. Abraham, Timothy L. Carter and John W. Geelan, or any one of them |
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| November 1, 2022 |
As filed with the Securities and Exchange Commission on November 1, 2022 As filed with the Securities and Exchange Commission on November 1, 2022 Registration No. |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER |
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| October 28, 2022 |
Exhibit 99 Piper Sandler Companies Reports Third Quarter 2022 Results; Declares Quarterly Dividend of $0. |
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| October 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 28, 2022 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| September 23, 2022 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS: That each person whose signature appears below, as a director and/or officer of Piper Sandler Companies, a Delaware corporation (the ?Company?), with its general offices in the City of Minneapolis, State of Minnesota, does hereby make, constitute and appoint Chad R. Abraham, Timothy L. Carter and John W. Geelan, or any one of them |
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| September 23, 2022 |
Exhibit 4.5 Piper Sandler Companies 2022 Employment Inducement Award Plan Section 1. Purpose The purpose of the Plan is to promote the interests of the Company and its stockholders by giving the Company a competitive advantage in attracting personnel capable of assuring the future success of the Company and to provide such personnel with an appropriate and material inducement to become employees o |
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| September 23, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Piper Sandler Companies (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee Rate Amount of Registration Fee(2) Equity Common Stock, par value $0. |
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| September 23, 2022 |
As filed with the Securities and Exchange Commission on September 23, 2022 As filed with the Securities and Exchange Commission on September 23, 2022 Registration No. |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAND |
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| August 2, 2022 |
Exhibit 10.1 Piper Sandler Companies 800 Nicollet Mall, Suite 900, Minneapolis, MN 55402-7020 612 303-6000 | 800 333-6000 | Fax: 612 303-1772 April 18, 2022 Brian R. Sterling Dear Brian, Reference is made to the Transition Services Agreement, dated December 31, 2020, as amended on January 10, 2022 (the "Transition Services Agreement"), pursuant to which you have been acting in an advisory capacity |
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| July 29, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 29, 2022 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer |
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| July 29, 2022 |
Exhibit 99 Piper Sandler Companies Reports Second Quarter 2022 Results; Declares Quarterly Dividend of $0. |
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| July 11, 2022 |
PIPR / Piper Sandler Companies / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 13)* Name of issuer: Piper Sandler Cos. Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: June 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rul |
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| May 6, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 6, 2022 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-31720 PIPER SAN |
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| April 29, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 29, 2022 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employe |
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| April 29, 2022 |
Exhibit 99 Piper Sandler Companies Reports First Quarter 2022 Results; Declares Quarterly Dividend of $0. |
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| March 25, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549? SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???????) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted b |
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| March 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???????) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| March 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???????) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| February 25, 2022 |
Exhibit 10.23 NINTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT THIS NINTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this ?Amendment?) made and entered into as of December 10, 2021 (the ?Effective Date?), by and between PIPER SANDLER & CO., a Delaware corporation (?Borrower?) and U.S. BANK NATIONAL ASSOCIATION, a national banking association (?Lender?); has reference to the following |
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| February 25, 2022 |
Exhibit 10.9 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee: [] Target No. of Performance Share Units Covered: [] Maximum No. of Performance Share Units Covered: [] Date of Issuance: [] This is a Performance Share Unit Agreement (?Agreement?) between Piper Sandler Companies, a Delaware corporation (the ?Compan |
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| February 25, 2022 |
Summary of Non-Employee Director Compensation Program. †* Exhibit 10.11 PIPER SANDLER COMPANIES 2022 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $80,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of da |
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| February 25, 2022 |
CONFORMED THROUGH NINTH AMENDMENT Exhibit 10.14 AMENDED AND RESTATED LOAN AGREEMENT 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 circumst |
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| February 25, 2022 |
Exhibit 10.42 Piper Sandler Companies 800 Nicollet Mall, Suite 900, Minneapolis, MN 55402-7020 612 303-6000 | 800 333-6000 | Fax: 612 303-1772 January 10, 2022 Brian R. Sterling Dear Brian, Reference is made to the Transition Services Agreement, dated December 31, 2020 (the ?Transition Services Agreement?), pursuant to which you have been acting in an advisory capacity to transition client engagem |
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| February 25, 2022 |
Exhibit 10.31 RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2022 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 Grant Piper Sandler Companies, a Delaware corporation (the ?Company?), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2021 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 25, 2022 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Timothy L. Carter and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in a |
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| February 25, 2022 |
Subsidiaries of Piper Sandler Companies * Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of December 31, 2021) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Sandler Foundation Minnesota Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Piper Sandler SP Ltd United Kingdom Piper Sandler Financial Products Inc. Delaware Piper Sandler F |
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| February 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 10, 2022 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Empl |
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| February 10, 2022 |
Exhibit 99 Piper Sandler Companies Reports Record Fourth Quarter and Full Year 2021 Results; Grows Full Year 2021 Net Revenues by Over 60% Year-Over-Year; Declares Special Dividend of $4. |
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| February 10, 2022 |
PIPR / Piper Sandler Companies / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 12)* Name of issuer: Piper Sandler Cos. Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| January 28, 2022 |
PIPR / Piper Sandler Companies / BlackRock Inc. Passive Investment us7240781002012822.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 13) PIPER SANDLER COMPANIES - (Name of Issuer) Common Stock - (Title of Class of Securities) 724078100 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| November 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 27, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorp |
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| November 10, 2021 |
PIPR / Piper Sandler Companies / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: Piper Sandler Cos. Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: October 29, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-31720 PIPER SAN |
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| October 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 29, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| October 29, 2021 |
Exhibit 99 Piper Sandler Companies Reports Third Quarter 2021 Results; Declares Special Dividend of $3. |
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| October 1, 2021 |
United States securities and exchange commission logo October 1, 2021 Tim Carter Chief Financial Officer Piper Sandler Companies 800 Nicollet Mall, Suite 900 Minneapolis, Minnesota 55402 Re: Piper Sandler Companies Form 10-K Filed February 25, 2021 File No. |
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| September 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 27, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission |
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| September 27, 2021 |
Piper Sandler Companies Elects Robbin Mitchell to Board of Directors Exhibit 99 Piper Sandler Companies 800 Nicollet Mall, Suite 900 Minneapolis, MN 55402 CONTACT Tim Carter Chief Financial Officer Tel: 612 303-5607 timothy. |
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| September 13, 2021 |
September 13, 2021 VIA EDGAR Mr. Mike Volley Mr. Amit Pande Office of Finance Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Piper Sandler Companies Form 10-K Filed February 25, 2021 File No. 001-31720 Dear Messrs. Volley and Pande: On behalf of Piper Sandler Companies (individually and collectively with its subsidiaries, |
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| August 27, 2021 |
United States securities and exchange commission logo August 27, 2021 Tim Carter Chief Financial Officer Piper Sandler Companies 800 Nicollet Mall, Suite 900 Minneapolis, Minnesota 55402 Re: Piper Sandler Companies Form 10-K Filed February 25, 2021 File No. |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-31720 PIPER SANDLER |
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| July 30, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 30, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer |
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| July 30, 2021 |
Exhibit 99 Piper Sandler Companies Reports Second Quarter 2021 Results; Increases Quarterly Dividend to $0. |
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| May 21, 2021 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 21, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-31720 PIPER SANDLER |
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| May 6, 2021 |
Exhibit 10.1 [PSC Letterhead] March 10, 2021 Jonathan J. Doyle Dear Jon, Reference is made to your offer letter, dated July 1, 2019 (your ?Offer Letter?), which governs the terms of your employment with Piper Sandler & Co. (the ?Company?). Capitalized terms used herein but not otherwise defined shall have the meaning ascribed thereto in the Offer Letter. The Company and you desire to amend your Of |
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| April 30, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 30, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employe |
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| April 30, 2021 |
Exhibit 99 Piper Sandler Companies Reports First Quarter 2021 Results; Increases Quarterly Dividend to $0. |
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| April 8, 2021 |
Use these links to rapidly review the document PROXY STATEMENT TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 8, 2021 |
DEFA14A 1 tm212337d2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (a |
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| April 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| March 18, 2021 |
Exhibit 99 Piper Sandler Companies 800 Nicollet Mall, Suite 900 Minneapolis, MN 55402 CONTACT Pamela Steensland Tel: 612 303-8185 pamela. |
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| March 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 18, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| February 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2020 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 25, 2021 |
Summary of Non-Employee Director Compensation Program. †* Exhibit 10.11 PIPER SANDLER COMPANIES 2021 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $80,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of da |
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| February 25, 2021 |
Exhibit 10.36 TRANSITION SERVICES AGREEMENT THIS AGREEMENT, dated as of December 31, 2020 (the ?Agreement?), is entered into by and between Piper Sandler & Co. (?Piper Sandler? or the ?Company?) and Brian R. Sterling (?Sterling? and, jointly, the ?Parties?) for the purpose of establishing the terms and conditions governing Sterling?s provision of limited transition services to Piper Sandler. 1. Se |
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| February 25, 2021 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Timothy L. Carter and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in a |
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| February 25, 2021 |
Exhibit 10.13 CREDIT AGREEMENT DATED AS OF DECEMBER 20, 2019, BETWEEN PIPER SANDLER COMPANIES AND U.S. BANK NATIONAL ASSOCIATION Table of Contents Page ARTICLE I DEFINITIONS 1 1.1. Definitions 1 1.2. Computation of Time Periods 15 1.3. Accounting 15 1.4. Other Definitional Terms; Interpretative Provisions 16 1.5. Divisions 16 ARTICLE II THE CREDITS 16 2.1. Loans 16 2.2. Required Payments; Terminat |
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| February 25, 2021 |
Subsidiaries of Piper Sandler Companies * Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of January 31, 2021) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Jaffray Foundation Minnesota Piper Jaffray EVP, LLC Delaware Edgeview Partners, L.P. Delaware Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Piper Jaffray Financial, LLC Delaw |
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| February 25, 2021 |
Exhibit 10.9 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee: [] Target No. of Performance Share Units Covered: [] Date of Issuance: [] Maximum No. of Performance Share Units Covered: [] This is a Performance Share Unit Agreement (?Agreement?) between Piper Sandler Companies, a Delaware corporation (the ?Compan |
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| February 25, 2021 |
Exhibit 10.22 EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT THIS EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this ?Amendment?) made and entered into as of December 11, 2020 (the ?Effective Date?), by and between PIPER SANDLER & CO., a Delaware corporation (?Borrower?) and U.S. BANK NATIONAL ASSOCIATION, a national banking association (?Lender?); has reference to the followin |
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| February 25, 2021 |
Exhibit 10.31 RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2021 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 Grant Piper Sandler Companies, a Delaware corporation (the ?Company?), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: Piper Sandler Cos. Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| February 4, 2021 |
Piper Sandler Companies Reports Fourth Quarter and Full Year 2020 Results Exhibit 99 Piper Sandler Companies Reports Fourth Quarter and Full Year 2020 Results MINNEAPOLIS—February 4, 2021—Piper Sandler Companies (NYSE: PIPR) today announced its results for the fourth quarter and full year of 2020. |
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| February 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 4, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| January 26, 2021 |
us7240781002012621.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 12) PIPER SANDLER COMPANIES - (Name of Issuer) Common Stock - (Title of Class of Securities) 724078100 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| January 5, 2021 |
Piper Sandler Companies Elects Brian R. Sterling to Board of Directors EX-99 2 tm2039515d1ex99.htm EXHIBIT 99 Exhibit 99 Piper Sandler Companies 800 Nicollet Mall, Suite 1000 Minneapolis, MN 55402 CONTACT Tim Carter Chief Financial Officer Tel: 612 303-5607 [email protected] F O R I M M E D I A T E R E L E A S E Piper Sandler Companies Elects Brian R. Sterling to Board of Directors MINNEAPOLIS – January 4, 2021 – Piper Sandler Companies (NYSE: PIPR), a leading i |
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| January 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 4, 2021 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| November 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-31720 PIPER SAN |
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| October 30, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 30, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| October 30, 2020 |
Piper Sandler Companies Reports Third Quarter 2020 Results Exhibit 99 Piper Sandler Companies Reports Third Quarter 2020 Results MINNEAPOLIS—October 30, 2020—Piper Sandler Companies (NYSE: PIPR) today announced its results for the third quarter of 2020. |
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| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-31720 PIPER SANDLER |
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| July 31, 2020 |
Piper Sandler Companies Reports Second Quarter 2020 Results EX-99 2 q22020ex99earningspres.htm EARNINGS PRESS RELEASE Exhibit 99 Piper Sandler Companies Reports Second Quarter 2020 Results MINNEAPOLIS—July 31, 2020—Piper Sandler Companies (NYSE: PIPR) today announced its results for the second quarter of 2020. "We delivered strong results in the second quarter highlighted by our financial services group, record healthcare equity capital raising activity, a |
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| July 31, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 31, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer |
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| May 22, 2020 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS: That each person whose signature appears below, as a director and/or officer of Piper Sandler Companies, a Delaware corporation (the “Company”), with its general offices in the City of Minneapolis, State of Minnesota, does hereby make, constitute and appoint Chad R. Abraham, Timothy L. Carter and John W. Geelan, or any one of them |
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| May 22, 2020 |
As filed with the Securities and Exchange Commission on May 22, 2020 Registration No. |
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| May 22, 2020 |
Exhibit 4.5 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN (As amended and restated effective May 15, 2020) SECTION 1. Purpose The purpose of the Plan is to promote the interests of the Company and its stockholders by giving the Company a competitive advantage in attracting, retaining and motivating employees, officers, consultants and Directors capable of as |
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| May 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 15, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| May 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-31720 PIPER SANDLER |
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| May 1, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 1, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employer I |
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| May 1, 2020 |
Piper Sandler Companies Reports First Quarter 2020 Results EX-99 2 q12020ex99earningspres.htm EARNINGS PRESS RELEASE Exhibit 99 Piper Sandler Companies Reports First Quarter 2020 Results MINNEAPOLIS—May 1, 2020—Piper Sandler Companies (NYSE: PIPR) today announced its results for the first quarter of 2020. "We achieved good results for the first quarter driven by investment banking to start, followed by our trading businesses later in the quarter. The glob |
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| April 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| April 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| April 3, 2020 |
PJC / Piper Jaffray Companies, Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| April 3, 2020 |
Piper Sandler Completes Acquisition of Preeminent Chemicals Investment Bank, The Valence Group Exhibit 99.1 Piper Sandler Companies 800 Nicollet Mall, Suite 1000 Minneapolis, MN 55402 CONTACT Tim Carter Chief Financial Officer Tel: 612 303-5607 [email protected] F O R I M M E D I A T E R E L E A S E Piper Sandler Completes Acquisition of Preeminent Chemicals Investment Bank, The Valence Group Minneapolis, April 3, 2020 – Piper Sandler Companies (NYSE: PIPR), a leading investment bank a |
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| April 3, 2020 |
Use these links to rapidly review the document PROXY STATEMENT TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 3, 2020 |
PJC / Piper Jaffray Companies, Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| April 3, 2020 |
Regulation FD Disclosure, Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 3, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 6, 2020 |
Exhibit 99.3 Unaudited Pro Forma Financial Information as of and for the Nine Months Ended September 30, 2019 and for the Year Ended December 31, 2018 Introduction to Unaudited Pro Forma Condensed Combined Financial Statements On January 3, 2020, Piper Jaffray Companies (“PJC”) completed the purchase of SOP Holdings, LLC and its subsidiaries, including Sandler O’Neill & Partners, L.P. (collectivel |
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| March 6, 2020 |
SOP Holdings, LLC and Subsidiaries Consolidated Financial Statements Year Ended December 31, 2018 Exhibit 99.1 SOP Holdings, LLC and Subsidiaries Consolidated Financial Statements Year Ended December 31, 2018 SOP Holdings, LLC and Subsidiaries Contents Independent Auditor's Report Consolidated Financial Statements: Statement of Financial Condition Statement of Income Statement of Changes in Members' Capital Statement of Cash Flows Notes to Consolidated Financial Statements 2 3 4 5 6 7 8-19 Ind |
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| March 6, 2020 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 3, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File |
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| March 6, 2020 |
SOP Holdings, LLC and Subsidiaries Exhibit 99.2 SOP Holdings, LLC and Subsidiaries Consolidated Financial Statements Nine Months Ended September 30, 2019 and September 30, 2018 SOP Holdings, LLC and Subsidiaries Contents Consolidated Financial Statements (Unaudited): Statements of Financial Condition 3 Statements of Income 4 Statements of Changes in Members’ Capital 5 Statements of Cash Flows 6 Notes to Consolidated Financial State |
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| February 28, 2020 |
Exhibit 10.22 SEVENTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT THIS SEVENTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT (this “Amendment”) made and entered into as of December 13, 2019 (the “Effective Date”), 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 follow |
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| February 28, 2020 |
Exhibit 10.39 PIPER JAFFRAY COMPANIES EQUITY CONSIDERATION RESTRICTED STOCK AGREEMENT (Relating to the issuance of Piper Jaffray Companies Common Stock under the Merger Agreement as described below) Name of Recipient: Jonathan J. Doyle Number of Shares Covered: 162,155 Vesting Schedule: Subject to the terms of this Agreement (including satisfaction of the vesting conditions), the Restricted Shares |
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| February 28, 2020 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Chad R. Abraham, Timothy L. Carter and John W. Geelan, and each of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in a |
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| February 28, 2020 |
Exhibit 10.9 PIPER SANDLER COMPANIES AMENDED AND RESTATED 2003 ANNUAL AND LONG-TERM INCENTIVE PLAN PERFORMANCE SHARE UNIT AGREEMENT Name of Employee:[] Target No. of Performance Share Units Covered: [] Maximum No. of Performance Share Units Covered: [] Date of Issuance:[] This is a Performance Share Unit Agreement (“Agreement”) between Piper Sandler Companies, a Delaware corporation (the “Company” |
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| February 28, 2020 |
Summary of Non-Employee Director Compensation Program. †* Exhibit 10.11 PIPER SANDLER COMPANIES 2020 Compensation and Benefits for Non-Employee Directors Amount Objective Time and Terms of Payment Annual Cash Retainer $70,000 Consideration for Board and committee service for the current calendar year Paid quarterly in arrears. For any director joining or leaving the Board during a quarter, the amount paid shall be a pro rata sum based on the number of da |
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| February 28, 2020 |
Exhibit 10.34 RESTRICTED STOCK AND MUTUAL FUND RESTRICTED SHARE AGREEMENT (2020 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 Grant Piper Sandler Companies, a Delaware corporation (the “Company”), hereby grants to the below-named employee of the Company or an Affiliate of the |
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| February 28, 2020 |
Subsidiaries of Piper Sandler Companies * Exhibit 21.1 SUBSIDIARIES OF PIPER SANDLER COMPANIES (as of January 31, 2020) Name* State or Jurisdiction of Entity Piper Sandler & Co. Delaware Piper Jaffray Foundation Minnesota Piper Jaffray EVP, LLC Delaware Edgeview Partners, L.P. Delaware Piper Sandler European Holdings Co. Delaware Piper Sandler Ltd. United Kingdom Parallel General Partner Limited Guernsey Piper Jaffray Financial, LLC Delaw |
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| February 28, 2020 |
Exhibit 4.7 DESCRIPTION OF SECURITIES This summary of general terms and provisions of the capital stock of Piper Sandler Companies, a Delaware corporation (the “Company,” “we” and “our”), does not purport to be complete and is subject to and qualified by reference to our Amended and Restated Certificate of Incorporation, as amended (the “Certificate of Incorporation”), and our Amended and Restated |
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| February 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2019 Commission File No. 001-31720 PIPER SANDLER COMPANIES (Exact Name of Registrant as specified in its Charter) Delaware 30-0168701 (State or Other Jurisdiction of Incorporation or Organizat |
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| February 21, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 21, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (I.R.S. E |
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| February 21, 2020 |
Exhibit 99.2 INVESTOR PRESENTATION FEBRUARY 21, 2020 Piper Sandler to Acquire The Valence Group, a Global Chemicals Investment Bank Acquisition adds the preeminent chemicals investment banking firm to the growing M&A advisory business of Piper Sandler For more information, please contact Tim Carter, chief financial officer at 612 303-5607 or [email protected] Piper Sandler Companies (NYSE: PI |
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| February 21, 2020 |
Exhibit 99.1 Piper Sandler Companies 800 Nicollet Mall, Suite 1000 Minneapolis, MN 55402 F O R I M M E D I A T E R E L E A S E CONTACT Pamela Steensland Tel: 612 303-8185 [email protected] Tim Carter Chief Financial Officer Tel: 612 303-5607 [email protected] Piper Sandler Enters Definitive Agreement to Acquire Global Chemicals Investment Bank, The Valence Group Acquisition Adds the P |
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| February 12, 2020 |
PJC / Piper Jaffray Companies, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Piper Sandler Cos Title of Class of Securities: Common Stock CUSIP Number: 724078100 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ R |
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| February 4, 2020 |
PJC / Piper Jaffray Companies, Inc. / BlackRock Inc. Passive Investment us7240781002020320.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 11) PIPER JAFFRAY COMPANIES - (Name of Issuer) Common Stock - (Title of Class of Securities) 724078100 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| January 31, 2020 |
Piper Sandler Companies Reports Fourth Quarter and Full Year 2019 Results EX-99 2 q42019ex99earningspres.htm EARNINGS PRESS RELEASE Exhibit 99 Piper Sandler Companies Reports Fourth Quarter and Full Year 2019 Results MINNEAPOLIS–January 31, 2020–Piper Sandler Companies (NYSE: PIPR) today announced its results for the fourth quarter and full year ended December 31, 2019. "Record revenues for the quarter were driven by strong performances across all of investment banking. |
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| January 31, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 31, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Emplo |
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| January 6, 2020 |
Piper Jaffray and Sandler O’Neill Complete Merger to become Piper Sandler Companies EXHIBIT 99.1 Piper Sandler Companies 800 Nicollet Mall, Suite 1000 Minneapolis, MN 55402 CONTACT Pamela Steensland Tel: 612 303-8185 [email protected] F O R I M M E D I A T E R E L E A S E Tim Carter Chief Financial Officer Tel: 612 303-5607 [email protected] Piper Jaffray and Sandler O’Neill Complete Merger to become Piper Sandler Companies Minneapolis, January 6, 2020 – Piper Jaffra |
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| January 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 3, 2020 Date of report (Date of earliest event reported) PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) Delaware 1-31720 30-0168701 (State of Incorporation) (Commission File Number) (IRS Employ |
