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PIPER SANDLER COMPANIES

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3863
SEC CIK
0001230245
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711

Last 12 months

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0 purchase rows · 19 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 2025011
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202600
May 202606
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 03, 2017 Filed Feb 6, 2017 22:10 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
SaleCommon Stock 15,000 $75.33 $1,129,999.50
Disclosure

SEC source: 0001230245-17-000010 · edgar.xml · nonDerivative · entry 1

LaRue R Scott · CIK 0001538590 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,157

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.25 to $75.50 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each price within the range set forth in this footnote upon request by the SEC staff, the issuer, or any shareholder of the issuer.

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:10 UTC
Klinefelter Jeffrey PGlobal Head of Equities
SaleCommon Stock 10,000 $75.39 $753,930.00
Disclosure

SEC source: 0001230245-17-000009 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,856

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.70 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each price within the range set forth in this footnote upon request by the SEC staff, the issuer, or any shareholder of the issuer.

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:09 UTC
Fairman Francis E IVHead, Public Finance Services
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,496 $0.00 Strike: $70.13 $0.00
Disclosure

SEC source: 0001230245-17-000008 · edgar.xml · derivative · entry 5

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,496 shares

Expires 2017-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:09 UTC
Fairman Francis E IVHead, Public Finance Services
SaleCommon Stock 100 $76.10 $7,610.00
Disclosure

SEC source: 0001230245-17-000008 · edgar.xml · nonDerivative · entry 4

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,170

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:09 UTC
Fairman Francis E IVHead, Public Finance Services
SaleCommon Stock 9,900 $75.32 $745,704.63
Disclosure

SEC source: 0001230245-17-000008 · edgar.xml · nonDerivative · entry 3

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,270

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.95 to $75.95 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:09 UTC
Fairman Francis E IVHead, Public Finance Services
SaleCommon Stock 2,496 $75.36 $188,094.32
Disclosure

SEC source: 0001230245-17-000008 · edgar.xml · nonDerivative · entry 2

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,170

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.95 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
February 03, 2017 Filed Feb 6, 2017 22:09 UTC
Fairman Francis E IVHead, Public Finance Services
Exercise / conversionCommon Stock 2,496 $70.13 $175,044.48
Disclosure

SEC source: 0001230245-17-000008 · edgar.xml · nonDerivative · entry 1

Fairman Francis E IV · CIK 0001332203 · Head, Public Finance Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,666

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 03, 2017 Filed Jan 4, 2017 17:38 UTC GrantCommon Stock 260 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-17-000001 · edgar.xml · nonDerivative · entry 1

FITZGERALD WILLIAM R · CIK 0001195177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,472

F1 · price: The reporting person elected to defer receipt of quarterly director cash retainer fees resulting in the accrual to his account of 260 shares of phantom stock. The shares of phantom stock become payable, in common stock, on the last day of the year in which the reporting person's service as a director terminates.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:28 UTC
Schoneman Debbra L.Chief Financial Officer
SaleCommon Stock 8,519 $65.44 $557,502.10
Disclosure

SEC source: 0001230245-16-000324 · edgar.xml · nonDerivative · entry 2

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,445

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 to $66.00 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:28 UTC
Schoneman Debbra L.Chief Financial Officer
SaleCommon Stock 1,481 $66.11 $97,909.06
Disclosure

SEC source: 0001230245-16-000324 · edgar.xml · nonDerivative · entry 1

Schoneman Debbra L. · CIK 0001435654 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,964

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.05 to $66.20 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:33 UTC
DUFF ANDREW SDirector · Chairman and CEO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 32,149 $0.00 Strike: $41.09 $0.00
Disclosure

SEC source: 0001230245-16-000326 · edgar.xml · derivative · entry 6

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,149 shares

Expires 2018-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:33 UTC
DUFF ANDREW SDirector · Chairman and CEO
SaleCommon Stock 720 $66.71 $48,028.03
Disclosure

SEC source: 0001230245-16-000326 · edgar.xml · nonDerivative · entry 4

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,237

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.6500 to $66.8500 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:33 UTC
DUFF ANDREW SDirector · Chairman and CEO
SaleCommon Stock 13,680 $65.90 $901,449.07
Disclosure

SEC source: 0001230245-16-000326 · edgar.xml · nonDerivative · entry 3

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,957

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.6000 to $66.6000 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:33 UTC
DUFF ANDREW SDirector · Chairman and CEO
SaleCommon Stock 17,749 $65.04 $1,154,430.46
Disclosure

SEC source: 0001230245-16-000326 · edgar.xml · nonDerivative · entry 2

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,637

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.5500 to $65.5500 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 19:33 UTC
DUFF ANDREW SDirector · Chairman and CEO
Exercise / conversionCommon Stock 32,149 $41.09 $1,321,002.41
Disclosure

SEC source: 0001230245-16-000326 · edgar.xml · nonDerivative · entry 1

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,386

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 11, 2016 Filed Nov 14, 2016 21:46 UTC
Esckilsen Christine NChief of Human Capital
SaleCommon Stock 2,000 $64.75 $129,500.00
Disclosure

SEC source: 0001230245-16-000320 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,966

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.7 to $64.8 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 21:57 UTC
LaRue R ScottCo-Head Global IB and Cap Mkts
SaleCommon Stock 10,000 $59.29 $592,900.00
Disclosure

SEC source: 0001230245-16-000318 · edgar.xml · nonDerivative · entry 1

LaRue R Scott · CIK 0001538590 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,157

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.10 to $59.4007 inclusive. The reporting pers on undertakes to provide full information regarding the number of shares sold at each price within the range set forth in this footnote upon request by the SEC staff, the issuer, or any shareholder of the issuer.

Read SEC document
November 08, 2016 Filed Nov 8, 2016 22:41 UTC
Harvey Stuart C. JRPresident and COO
PurchaseCommon Stock 4,000 $55.15 $220,616.40
Disclosure

SEC source: 0001230245-16-000317 · edgar.xml · nonDerivative · entry 1

Harvey Stuart C. JR · CIK 0001526864 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $55.05 to $55.17 inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
November 04, 2016 Filed Nov 4, 2016 20:30 UTC SaleCommon Stock 1,425 $53.45 $76,162.40
Disclosure

SEC source: 0001230245-16-000314 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,706

Read SEC document
November 04, 2016 Filed Dec 1, 2016 21:40 UTC Amendment SaleCommon Stock 1,425 $53.45 $76,162.40
Disclosure

SEC source: 0001230245-16-000327 · edgar.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,706

F1 · date: This amendment is being filed to correctly reflect the disposition of securities rather than the acquisition of securities as was previously reported.

Read SEC document
November 01, 2016 Filed Nov 1, 2016 21:05 UTC
Esckilsen Christine NChief of Human Capital
SaleCommon Stock 2,000 $56.97 $113,932.60
Disclosure

SEC source: 0001230245-16-000312 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,966

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.70 to $57.2 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
October 31, 2016 Filed Nov 1, 2016 16:48 UTC
DUFF ANDREW SDirector · Chairman and CEO
GiftCommon Stock 4,558 $0.00 $0.00
Disclosure

SEC source: 0001230245-16-000309 · edgar.xml · nonDerivative · entry 1

DUFF ANDREW S · CIK 0001185482 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,237

F1 · kind: The reported transaction was a gift by the reporting person to a non-profit organization.

Read SEC document
October 31, 2016 Filed Nov 1, 2016 21:03 UTC
Klinefelter Jeffrey PGlobal Head of Equities
SaleCommon Stock 10,000 $56.24 $562,408.00
Disclosure

SEC source: 0001230245-16-000310 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,856

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.00 to $56.55 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
October 31, 2016 Filed Nov 1, 2016 20:46 UTC
Abraham Chad RCo-Head Global IB and Cap Mkts
SaleCommon Stock 17,048 $56.33 $960,272.92
Disclosure

SEC source: 0001230245-16-000308 · edgar.xml · nonDerivative · entry 1

Abraham Chad R · CIK 0001538591 · Co-Head Global IB and Cap Mkts

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,512

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.00 to $56.575 inclusive. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.

Read SEC document
October 31, 2016 Filed Nov 3, 2016 20:31 UTC
Klinefelter Jeffrey PGlobal Head of Equities
SaleCommon Stock 750 $56.47 $42,354.38
Disclosure

SEC source: 0001230245-16-000313 · edgar.xml · nonDerivative · entry 1

Klinefelter Jeffrey P · CIK 0001554219 · Global Head of Equities

10b5-1 filing: Not disclosed

Ownership: Indirect · By minor children

Disclosed balance after: 0

Read SEC document
October 03, 2016 Filed Oct 5, 2016 16:30 UTC GrantCommon Stock 387 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-16-000299 · edgar.xml · nonDerivative · entry 1

FITZGERALD WILLIAM R · CIK 0001195177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,212

F1 · price: The reporting person elected to defer receipt of quarterly director cash retainer fees resulting in the accrual to his account of 387 shares of phantom stock. The shares of phantom stock become payable, in common stock, on the last day of the year in which the reporting person's service as a director terminates.

F2 · balance_after: This amount reflects the addition of 11 shares previously unattributed to the reporting person's account as a results of an adminsitrative error.

Read SEC document
May 31, 2016 Filed Nov 1, 2016 21:04 UTC Amendment
Esckilsen Christine NChief of Human Capital
Exercise / conversionPerformance Share Unit · Derivative 4,691 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-16-000311 · edgar.xml · derivative · entry 3

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,691 shares

Expires 2016-05-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three from the date of grant.

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three from the date of grant.

F1 · derivative.exercise_date: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three from the date of grant.

Read SEC document
May 31, 2016 Filed Nov 1, 2016 21:04 UTC Amendment
Esckilsen Christine NChief of Human Capital
Tax withholdingCommon Stock 1,577 $0.00 $0.00
Disclosure

SEC source: 0001230245-16-000311 · edgar.xml · nonDerivative · entry 2

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,966

F2 · balance_after: This amendment is being filed to correct the erroneous transposition of the total number of beneficially owned securities following each of the transactions reported.

Read SEC document
May 31, 2016 Filed Nov 1, 2016 21:04 UTC Amendment
Esckilsen Christine NChief of Human Capital
Exercise / conversionCommon Stock 4,691 Not disclosed Not disclosed
Disclosure

SEC source: 0001230245-16-000311 · edgar.xml · nonDerivative · entry 1

Esckilsen Christine N · CIK 0001664979 · Chief of Human Capital

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,543

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each performance share unit represented a contingent right to receive one share of PJC common stock. The performance share units vested based on attaining certain levels of shareholder return, with 50% based on relative total shareholder return within a group of peer companies and 50% based on absolute total shareholder return, both as measured three from the date of grant.

F2 · balance_after: This amendment is being filed to correct the erroneous transposition of the total number of beneficially owned securities following each of the transactions reported.

Read SEC document
February 17, 2016 Filed Feb 21, 2018 21:30 UTC
Carter Timothy LChief Financial Officer
Tax withholdingCommon Stock 55 $0.00 $0.00
Disclosure

SEC source: 0001230245-18-000025 · edgar.xml · nonDerivative · entry 3

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,492

Read SEC document
February 16, 2016 Filed Feb 21, 2018 21:30 UTC
Carter Timothy LChief Financial Officer
Tax withholdingCommon Stock 23 $0.00 $0.00
Disclosure

SEC source: 0001230245-18-000025 · edgar.xml · nonDerivative · entry 2

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,547

Read SEC document
February 16, 2016 Filed Feb 21, 2018 21:30 UTC
Carter Timothy LChief Financial Officer
Tax withholdingCommon Stock 74 $0.00 $0.00
Disclosure

SEC source: 0001230245-18-000025 · edgar.xml · nonDerivative · entry 1

Carter Timothy L · CIK 0001372024 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,570

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.