0001230245trueEffective as of November 18, 2021, the Board appointed Robbin Mitchell to the Audit Committee. As previously reported, Ms. Mitchell 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 committee.00012302452021-09-272021-09-27
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 27, 2021
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 27, 2021 (the “Original Filing”) to disclose the appointment of Robbin Mitchell to a committee of the Company’s board of directors (the “Board”). Ms. Mitchell’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. Mitchell 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 November 18, 2021, the Board appointed Ms. Mitchell to the Audit Committee of the Board (the “Audit Committee”). As previously reported, Ms. Mitchell 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 2021.
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.
