Piper Sandler Appoints Ann C. Gallo to Audit Committee

TL;DR

Piper Sandler adds Ann C. Gallo to Audit Committee, she'll get paid for it.

AI Summary

Piper Sandler Companies filed an amendment (8-K/A) on February 6, 2025, to report changes effective September 23, 2024. Ann C. Gallo was appointed to the Audit Committee and will receive a pro-rated cash retainer under the company's non-employee director compensation plan.

Why It Matters

This filing details a change in the composition of Piper Sandler's Audit Committee, which is responsible for overseeing financial reporting and internal controls.

Risk Assessment

Risk Level: low — The filing is an amendment to report a routine board committee appointment and compensation, with no significant financial or operational changes.

Key Players & Entities

• Piper Sandler Companies (company) — Registrant
• Ann C. Gallo (person) — Appointed to Audit Committee
• Audit Committee (committee) — Committee Ann C. Gallo was appointed to
• February 6, 2025 (date) — Effective date of appointment
• September 23, 2024 (date) — Date of earliest event reported

FAQ

Key Financial Figures

• $0.01 — ich Registered Common Stock, par value $0.01 per share PIPR The New York Stock Excha

Filing Documents

• pjc-20240923.htm (8-K/A) — 30KB
• 0001230245-25-000017.txt ( ) — 159KB
• pjc-20240923.xsd (EX-101.SCH) — 2KB
• pjc-20240923_lab.xml (EX-101.LAB) — 23KB
• pjc-20240923_pre.xml (EX-101.PRE) — 13KB
• pjc-20240923_htm.xml (XML) — 3KB

From the Filing

pjc-20240923 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ________________________________ FORM 8-K/A (Amendment No. 1) ________________________________ CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 23, 2024 Date of report (Date of earliest event reported) _________________________________ PIPER SANDLER COMPANIES (Exact Name of Registrant as Specified in its Charter) _________________________________ Delaware 1-31720 30-0168701 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 800 Nicollet Mall Suite 900 Minneapolis Minnesota 55402 (Address of Principal Executive Offices) (Zip Code) (612) 303-6000 (Registrant's Telephone Number, Including Area Code) _________________________________ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2): Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities registered pursuant to Section 12(b) of the Act: Title of Each Class Trading Symbol Name of Each Exchange On Which Registered Common Stock, par value $0.01 per share PIPR The New York Stock Exchange Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter). Emerging growth company If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. Explanatory Note Piper Sandler Companies (the "Company") is filing this Current Report on Form 8-K/A to amend the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission on September 23 , 2024 (the "Original Filing") to disclose the appointment of Ann C. Gallo to a committee of the Company's board of directors (the "Board"). Ms. Gallo's initial election to the Board was disclosed in the Original Filing and, at that time, the Board had not determined the committee to which Ms. Gallo would be appointed. Except as expressly stated herein, the Original Filing remains unchanged. Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Effective as of February 6, 2025, the Board appointed Ms. Gallo to the Audit Committee of the Board (the "Audit Committee"). As previously reported, Ms. Gallo will participate in the Company's non-employee director compensation plan as currently in effect and, in connection therewith, will receive a pro-rated cash retainer for her service on the Audit Committee for the remainder of 2025. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. PIPER SANDLER COMPANIES Date: February 6, 2025 By /s/ John W. Geelan John W. Geelan General Counsel and Secretary

View Full Filing

View this 8-K/A filing on SEC EDGAR