SEC Form 4 · accession 0001230245-16-000309
PIPER SANDLER COMPANIES · PIPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew S Duff
Officer — Chairman and CEO · Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 1, 2016 · 4:48 pm EDT
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 Stock | Oct 31, 2016 | G | 4,558 | $0.00 | D | 244,237 | D | |
| Common Stock | holding | — | — | — | 10 | I | By minor children |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction was a gift by the reporting person to a non-profit organization.