Statement of Changes in Beneficial Ownership (4)
23 Dezember 2022 - 10:53PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Doyle Jonathan J |
2. Issuer Name and Ticker or Trading Symbol
PIPER SANDLER COMPANIES
[
PIPR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Hd of Financial Services Group |
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(Last)
(First)
(Middle)
800 NICOLLET MALL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/22/2022 |
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(Street)
MINNEAPOLIS, MN 55402
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 12/22/2022 | | S(1) | | 900 | D | $132.37 (2) | 251970 | D | |
| Common Stock | 12/22/2022 | | S(1) | | 2901 | D | $133.12 (3) | 249069 | D | |
| Common Stock | 12/22/2022 | | S(1) | | 1199 | D | $133.96 (4) | 247870 | D | |
| Common Stock | 12/23/2022 | | S(1) | | 1136 | D | $133.52 (5) | 246734 | D | |
| Common Stock | 12/23/2022 | | S(1) | | 3256 | D | $134.24 (6) | 243478 | D | |
| Common Stock | 12/23/2022 | | S(1) | | 208 | D | $134.91 (7) | 243270 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The shares of common stock were sold pursuant to a 10b5-1 trading plan. |
| (2) | The price reported in Column 4 for all transactions on this report is a weighted average price. The shares sold in footnotes (2), (3), (4), (5), (6) and (7) were sold in multiple transactions at the price ranges provided in footnotes (2), (3), (4), (5), (6) and (7). These shares in footnote (2) were sold in multiple transactions at prices ranging from $131.6300 to $132.5700 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in footnotes (2), (3), (4), (5), (6) and (7) upon request by the SEC staff, the issuer or any shareholder of the issuer. |
| (3) | These shares were sold in multiple transactions at prices ranging from $132.7000 to $133.6600 inclusive. |
| (4) | These shares were sold in multiple transactions at prices ranging from $133.7400 to $134.2500 inclusive. |
| (5) | These shares were sold in multiple transactions at prices ranging from $132.8300 to $133.7900 inclusive. |
| (6) | These shares were sold in multiple transactions at prices ranging from $133.8500 to $ 134.8400 inclusive. |
| (7) | These shares were sold in multiple transactions at prices ranging from $134.9000 to $135.0300 inclusive. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Doyle Jonathan J
800 NICOLLET MALL
MINNEAPOLIS, MN 55402 | X |
| Hd of Financial Services Group |
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Signatures
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| /s/ James Grant for Jonathan J. Doyle | | 12/23/2022 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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