Compliance Director

MA/A 0000724683 XXXXXXXX Karen Costello 6123036612 karen.costello@psc.com registration@psc.com gregory.byer@psc.com PIPER SANDLER & CO. 665 41-0953246 866-00024-00 867-01178-00 008-15204 665 801-108049 665 ALL 50 US STATES; PR U.S. COMMODITY FUTURES TRADING COMMISSION NFA 0001427 800 NICOLLET MALL SUITE 900 MINNEAPOLIS MN 55402-7020 612-303-6000 612-303-6295 Add 2525 EAST CAMELBACK ROAD SUITE 950 PHOENIX AZ 85016 602-912-5100 206-343-2103 Add 2321 ROSECRANS AVE SUITE 3200 EL SEGUNDO CA 90245 310-406-1940 Add 11635 ROSEWOOD STREET LEAWOOD KS 66211 913-345-3300 913-345-3393 Add 1200 17TH STREET SUITE 1250 DENVER CO 80202 303-820-5865 303-820-5891 Add 444 W LAKE ST SUITE 3300 CHICAGO IL 60606 312-920-3230 N http://www.pipersandler.com GREGORY SCOTT BYER Compliance Director

800 Nicollet Mall Suite 900 Minneapolis MN 55402-7020

612-303-6429 612-303-6295 Gregory.Byer@psc.com KAREN JANE COSTELLO Compliance Manager

800 NICOLLET MALL SUITE 900 MINNEAPOLIS MN 55402-7020

612-303-6612 612-303-6295 Karen.Costello@psc.com PIPER JAFFRAY INVESTMENT MANAGEMENT LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-68637 PSC CAPITAL PARTNERS LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-77373 PIPER SANDLER LTD. Y FINANCIAL CONDUCT AUTHORITY (FCA) FCA Reference No. 191657 X0 PIPER SANDLER HONG KONG LTD. Y Securities and Futures Commission BFG356 K3 PIPER JAFFRAY FINANCIAL LLC N PIPER SANDLER FINANCE MANAGEMENT LLC N PIPER SANDLER ADVISORS, LLC Y U.S. SECURITIES AND EXCHANGE COMMISSION 801-64043 PIPER HEARTLAND HEALTHCARE CAPITAL, LLC Y SEC 801-119268 December DE 07-28-1969 N 1153 101 101 2 0 300 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection Brokerage Of MEI Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships 6 Amend Investment Adviser PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer PIPER SANDLER LTD. PIPER SANDLER LTD. N Y Y Financial Conduct Authority 191657 X0 Add Investment Adviser Sponsor or syndicator of limited partnerships PSC CAPITAL PARTNERS LLC PSC CAPITAL PARTNERS LLC N Y N Add Investment Adviser PIPER SANDLER ADVISORS, LLC PIPER SANDLER ADVISORS, LLC N Y N NewAdd Investment Adviser PIPER HEARTLAND HEALTHCARE CAPITAL, LLC PIPER HEARTLAND HEALTHCARE CAPITAL, LLC N Y N NewAdd Investment Adviser PIPER SANDLER FINANCE MANAGEMENT, LLC PIPER SANDLER FINANCE MANAGEMENT, LLC N Y N N N N N N N N N N N N N N PIPER SANDLER COMPANIES 0001230245 Schedule A N N N N N Y N Y Y N Y N Y N Y Y N Y N N Y Y N N N Y PIPER SANDLER COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y DEBBRA LYNN SCHONEMAN PRESIDENT; BOARD MEMBER 01-01-2018 NA Y 1980635 FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 1171131 ANNCHARLOTTE NMN MCCAGUE GLOBAL CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 1108448 CHAD RICHARD ABRAHAM CEO; BOARD MEMBER, CHAIRMAN 01-01-2018 NA Y 2190836 ROBERT SCOTT LARUE HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 3185126 JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 4905460 TIMOTHY LEE CARTER SR VP FINANCE & TREASURER; BOARD MEMBER 06-12-2017 NA Y 2676342 MICHAEL EDWARD COX CO-HEAD OF EQUITIES; BOARD MEMBER 02-23-2018 NA Y 4248868 PIPER SANDLER COMPANIES Y 30-0168701 PARENT COMPANY 04-28-2003 E Y DEBBRA LYNN SCHONEMAN PRESIDENT; BOARD MEMBER 01-01-2018 NA Y 1980635 FRANCIS EVARTS IV FAIRMAN HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER 07-01-2005 NA Y 1171131 Delete ANNCHARLOTTE NMN MCCAGUE GLOBAL CHIEF COMPLIANCE OFFICER 12-01-2005 NA Y 1108448 CHAD RICHARD ABRAHAM CEO; BOARD MEMBER, CHAIRMAN 01-01-2018 NA Y 2190836 Delete ROBERT SCOTT LARUE HEAD OF INVESTMENT BANKING; BOARD MEMBER 10-15-2010 NA Y 3185126 JOHN WILLIAM JR GEELAN CHIEF LEGAL OFFICER 01-01-2013 NA Y 4905460 TIMOTHY LEE CARTER SR VP FINANCE & TREASURER; BOARD MEMBER 06-12-2017 NA Y 2676342 MICHAEL EDWARD COX CO-HEAD OF EQUITIES; BOARD MEMBER 02-23-2018 NA Y 4248868 NewAdd MICHAEL RAY DILLAHUNT CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER 03-18-2021 NA Y 3056486 NewAdd BRIDGET TERE WHERLEY CHIEF COMPLIANCE OFFICER 04-01-2021 NA Y 6643130 9-E2 PIPER JAFFRAY & CO. 665 113448 9-E2 PIPER JAFFRAY & CO. 665 113449 9-E2 PIPER JAFFRAY & CO 665 113450 9-D2 PIPER JAFFRAY & CO. 665 113452 9-E2 PIPER JAFFRAY & CO. 665 113453 9-E2 PIPER JAFFRAY & CO. 665 113454 9-E2 PIPER JAFFRAY & CO. 665 113455 9-E2 PIPER JAFFRAY & CO. 665 142257 9-D2 9-D4 PIPER JAFFRAY & CO. 665 150226 9-E2 PIPER JAFFRAY & CO. 665 203527 9-E2 PIPER JAFFRAY & CO. 665 229628 9-E2 PIPER JAFFRAY & CO. 665 257012 9-E2 PIPER JAFFRAY & CO. 665 267470 9-E2 PIPER JAFFRAY & CO. 665 271078 9-E2 PIPER JAFFRAY & CO. 665 301055 9-C2 9-C4 9-C5 PIPER JAFFRAY & CO. 665 319841 9-E2 PIPER JAFFRAY & CO. 665 321667 9-E2 PIPER JAFFRAY & CO. 665 321670 9-E2 PIPER JAFFRAY & CO. 665 336791 9-D2 PIPER JAFFRAY & CO. 665 593276 9-D2 PIPER JAFFRAY & CO. 665 593293 9-D2 PIPER JAFFRAY & CO. 665 593399 9-D2 PIPER 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Byer Gregory S. Byer Chief Compliance Officer 08-17-2021 665 N N N N N Y Y Y N N N N Y N N N N Y N N N