Piper Sandler Files 8-K for Regulatory Compliance on Jan 2, 2024

TL;DR

**Piper Sandler just filed an 8-K for routine regulatory compliance, nothing major.**

AI Summary

Piper Sandler Companies filed an 8-K on January 2, 2024, primarily to satisfy filing obligations related to written communications under Rule 425 of the Securities Act and soliciting material under Rule 14a-12 of the Exchange Act. This filing indicates that the company is ensuring compliance with various SEC regulations, specifically noting its Common Stock (PIPR) is registered on The New York Stock Exchange. For investors, this matters because it confirms Piper Sandler is actively maintaining its regulatory transparency and fulfilling requirements for potential future corporate actions, which can build trust and stability in the stock.

Why It Matters

This filing demonstrates Piper Sandler's commitment to regulatory compliance, which is crucial for maintaining investor confidence and market integrity. It signals that the company is preparing for or has engaged in activities requiring specific disclosures under SEC rules.

Risk Assessment

Risk Level: low — This 8-K is a routine compliance filing and does not indicate any new material risks or changes to the company's operations.

Analyst Insight

A smart investor would note this as a routine compliance filing, indicating no immediate need for action but confirming the company's adherence to regulatory standards. It's a non-event for short-term trading decisions.

Key Numbers

• 001-31720 — Commission File Number (identifies Piper Sandler's registration with the SEC)
• 30-0168701 — I.R.S. Employer Identification No. (identifies Piper Sandler for tax purposes)
• $0.01 — par value per share (par value of Piper Sandler's Common Stock)

Key Players & Entities

• Piper Sandler Companies (company) — the registrant filing the 8-K
• January 2, 2024 (date) — date of earliest event reported and filing date
• The New York Stock Exchange (company) — exchange where Piper Sandler's Common Stock is registered
• PIPR (company) — trading symbol for Piper Sandler's Common Stock
• Rule 425 (other) — SEC rule under the Securities Act
• Rule 14a-12 (other) — SEC rule under the Exchange Act

Forward-Looking Statements

• Piper Sandler will continue to maintain its regulatory compliance with the SEC. (Piper Sandler Companies) — high confidence, target: 2024-12-31

FAQ

Key Financial Figures

• $0.01 — h registered Common Stock, par value $0.01 per share PIPR The New York Stock Exc

Filing Documents

• tm2333820d1_8k.htm (8-K) — 29KB
• tm2333820d1_ex99-1.htm (EX-99.1) — 6KB
• tm2333820d1_ex99-1img001.jpg (GRAPHIC) — 3KB
• 0001104659-24-000138.txt ( ) — 212KB
• pipr-20240102.xsd (EX-101.SCH) — 3KB
• pipr-20240102_lab.xml (EX-101.LAB) — 33KB
• pipr-20240102_pre.xml (EX-101.PRE) — 22KB
• tm2333820d1_8k_htm.xml (XML) — 3KB

01. Regulation FD Disclosure

Item 7.01. Regulation FD Disclosure . On January 2, 2024, Piper Sandler Companies (the "Company") issued a press release announcing that Katherine P. Clune became the Chief Financial Officer of the Company effective January 1, 2024. As previously announced by the Company in the Current Report on Form 8-K filed with the Securities and Exchange Commission on September 12, 2023, Ms. Clune succeeds Timothy L. Carter, who previously served as Chief Financial Officer of the Company and will remain as an employee of the Company through April 2024 to assist with the transition. A copy of the press release is furnished as Exhibit 99.1 hereto. The information contained in this Item 7.01 and Exhibit 99.1 is being furnished and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities under Section 18 of the Exchange Act. Furthermore, the information contained in this Item 7.01 and Exhibit 99.1 shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933, as amended, or the Exchange Act.

01. Financial Statements and Exhibits

Item 9.01. Financial Statements and Exhibits . (d) Exhibits . 99.1 Press Release dated January 2, 2024. 104 Cover Page Interactive Data File (the cover page XBRL tags are embedded in the Inline XBRL document).

SIGNATURES

SIGNATURES 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: January 2, 2024 By /s/ John W. Geelan John W. Geelan General Counsel and Secretary

View Full Filing

View this 8-K filing on SEC EDGAR