0001230245-24-000042.txt : 20240228 0001230245-24-000042.hdr.sgml : 20240228 20240228164136 ACCESSION NUMBER: 0001230245-24-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240226 FILED AS OF DATE: 20240228 DATE AS OF CHANGE: 20240228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker James P CENTRAL INDEX KEY: 0001763980 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31720 FILM NUMBER: 24696232 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER SANDLER COMPANIES CENTRAL INDEX KEY: 0001230245 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] ORGANIZATION NAME: 02 Finance IRS NUMBER: 300168701 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL, SUITE 900 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612) 303-6000 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL, SUITE 900 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 FORMER COMPANY: FORMER CONFORMED NAME: PIPER JAFFRAY COMPANIES DATE OF NAME CHANGE: 20030611 4 1 wk-form4_1709156477.xml FORM 4 X0508 4 2024-02-26 0 0001230245 PIPER SANDLER COMPANIES PIPR 0001763980 Baker James P 800 NICOLLET MALL MINNEAPOLIS MN 55402 0 1 0 0 Global Co-Head IB and Cap Mkts 0 Common Stock 2024-02-26 4 A 0 9428 0 A 55917 D Common Stock 2024-02-26 4 F 0 3710 0 D 52207 D Common Stock 25699 I By Spouse as sole Trustee and Beneficiary for Irrevocable Trust Common Stock 25699 I By Irrevocable Trust Each performance share unit represented a contingent right to receive one share of PIPR common stock. The performance share units vested 150% based on attaining certain levels of adjusted return on equity and 150% based on relative total shareholder return within a group of peer companies, both as measured from January 1, 2021 through December 31, 2023. The shares are held in an irrevocable trust for the benefit of the reporting person's spouse. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. The shares are held in an irrevocable trust for the benefit of the reporting person. The reporting person is trustee of the trust. /s/ James Grant for James P. Baker 2024-02-28