person · Reporting owner

Smith Thomas Gregory

Disclosed activity across 1 company

Tapewire entity: 174142
SEC CIK: 0001665030

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
PIPER SANDLER COMPANIESPJC · Entity 3863	Chief Strategy Officer	July 31, 2017	July 31, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

PIPER SANDLER COMPANIES

Report date July 31, 2017 · Filed July 31, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	15,279	Reported balance After 2017-07-31 transaction · row 1 1 source row Row 1 · 2017-07-31 · Sale · Disposed 1,500 · Balance 15,279 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.35 to $62.60 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.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.35 to $62.60 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.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 31, 2017 Filed Jul 31, 2017 16:02 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	SaleCommon Stock	1,500	$62.46	$93,686.25	Disclosure SEC source: 0001230245-17-000112 · edgar.xml · nonDerivative · entry 1 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,279 F1 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.35 to $62.60 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
May 22, 2017 Filed May 24, 2017 16:08 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	Exercise / conversionPerformance Share Unit · Derivative	4,270	Not disclosed	Not disclosed	Disclosure SEC source: 0001230245-17-000094 · edgar.xml · derivative · entry 3 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,270 shares Expires 2017-05-15 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 22, 2017 Filed May 24, 2017 16:08 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	Tax withholdingCommon Stock	1,435	$0.00	$0.00	Disclosure SEC source: 0001230245-17-000094 · edgar.xml · nonDerivative · entry 2 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,779 Read SEC document
May 22, 2017 Filed May 24, 2017 16:08 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	Exercise / conversionCommon Stock	4,270	Not disclosed	Not disclosed	Disclosure SEC source: 0001230245-17-000094 · edgar.xml · nonDerivative · entry 1 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,214 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. Read SEC document
February 18, 2017 Filed Feb 22, 2017 16:32 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	Tax withholdingCommon Stock	76	$76.05	$5,779.80	Disclosure SEC source: 0001230245-17-000049 · edgar.xml · nonDerivative · entry 2 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,944 Read SEC document
February 17, 2017 Filed Feb 22, 2017 16:32 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	Tax withholdingCommon Stock	98	$76.05	$7,452.90	Disclosure SEC source: 0001230245-17-000049 · edgar.xml · nonDerivative · entry 1 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,020 Read SEC document
February 16, 2017 Filed Feb 21, 2017 16:55 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	Tax withholdingCommon Stock	131	$78.85	$10,329.35	Disclosure SEC source: 0001230245-17-000038 · edgar.xml · nonDerivative · entry 1 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,118 Read SEC document
February 15, 2017 Filed Feb 17, 2017 16:33 UTC	PIPER SANDLER COMPANIES PJC · Entity 3863	GrantCommon Stock	498	$0.00	$0.00	Disclosure SEC source: 0001230245-17-000028 · edgar.xml · nonDerivative · entry 1 Smith Thomas Gregory · CIK 0001665030 · Chief Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,249 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.