SEC Form 4 · accession 0001230245-18-000028
PIPER SANDLER COMPANIES · PIPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Scott LaRue
Officer — Head Global IB and Cap Mkts · Director
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 4:33 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 Stock | Feb 16, 2018 | F | 3,128 | $0.00 | D | 29,628 | D | |
| Common StockF1 | Feb 16, 2018 | G | 4,222 | $0.00 | D | 25,406 | D | |
| Common StockF2 | Feb 16, 2018 | G | 4,222 | $0.00 | A | 34,345 | I | Through Living Trust |
| Common Stock | Feb 16, 2018 | F | 1,378 | $0.00 | D | 24,028 | D | |
| Common StockF1 | Feb 16, 2018 | G | 1,411 | $0.00 | D | 22,617 | D | |
| Common StockF2 | Feb 16, 2018 | G | 1,411 | $0.00 | A | 35,756 | I | Through Living Trust |
| Common Stock | Feb 17, 2018 | F | 2,732 | $0.00 | D | 19,885 | D | |
| Common StockF1 | Feb 16, 2018 | G | 2,799 | $0.00 | D | 17,086 | D | |
| Common StockF2 | Feb 16, 2018 | G | 2,799 | $0.00 | A | 38,555 | I | Through Living Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person made a bona fide gift to a revocable living trust as described in note 2 below.
- F2The shares are held through a revocable living trust, of which the reporting person is trustee and both the reporting person and the reporting person's spouse are beneficiaries.