SEC Form 4 · accession 0001230245-19-000018
PIPER SANDLER COMPANIES · PIPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Baker
Officer — Global Co-Head IB and Cap Mkts
Period of report
Feb 16, 2019
Accepted (ET)
Feb 20, 2019 · 4:02 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, 2019 | F | 152 | $0.00 | D | 42,241 | D | |
| Common Stock | Feb 16, 2019 | F | 416 | $0.00 | D | 41,825 | D | |
| Common Stock | Feb 16, 2019 | A | 3,428 | $0.00 | A | 45,253 | D | |
| Common StockF1 | holding | — | — | — | 25,699 | I | By Spouse as sole Trustee and Beneficiary for Irrevocable Trust | |
| Common StockF2 | holding | — | — | — | 25,699 | I | By Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The shares are held in an irrevocable trust for the benefit of the reporting person. The reporting person is trustee of the trust.