SEC Form 4/A · accession 0001230245-15-000168
PIPER SANDLER COMPANIES · PIPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Addison L Piper
Director
Period of report
Nov 24, 2015
Accepted (ET)
Dec 3, 2015 · 4:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001230245
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Nov 24, 2015 | I | 174 | $35.32 | D | 0 | I | By PJC Retirement Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment corrects an incorrect categorization of the transaction as an open market sale when in fact it was a discretionary transaction in accordance with Rule 16b-3(f).
- F2This amendment corrects an inaccurate reporting of the amount of shares and price per share transferred in connection with the elimination of the Piper Jaffray Companies common stock fund as an investment option in the Piper Jaffray Companies Retirement Fund.
- F3Intra-plan transfer in connection with the elimination of the Piper Jaffray Companies common stock fund as an investment option in the Piper Jaffray Companies Retirement Fund.