0001230245-23-000037.txt : 20230228
0001230245-23-000037.hdr.sgml : 20230228
20230228163456
ACCESSION NUMBER: 0001230245-23-000037
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230224
FILED AS OF DATE: 20230228
DATE AS OF CHANGE: 20230228
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Baker James P
CENTRAL INDEX KEY: 0001763980
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31720
FILM NUMBER: 23686134
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]
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
wf-form4_167762008304357.xml
FORM 4
X0306
4
2023-02-24
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
Common Stock
2023-02-24
4
A
0
8699
0
A
48627
D
Common Stock
2023-02-24
4
F
0
3424
0
D
45203
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 140% overall, with 150% vesting based on attaining certain levels of adjusted return on equity and 130% vesting based on relative total shareholder return within a group of peer companies, both as measured from January 1, 2020 through December 31, 2022.
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
2023-02-28