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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
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| | April 30, 2021 | | |
| Date of report (Date of earliest event reported) | |
_______________________________
| | | | | | | | | | | | | | |
| | PIPER SANDLER COMPANIES | | |
| (Exact Name of Registrant as Specified in its Charter) | |
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| | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Delaware | | | 1-31720 | | | 30-0168701 |
| (State 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) | |
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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):
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| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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| 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. ☐
Item 2.02. Results of Operations and Financial Condition.
On April 30, 2021, Piper Sandler Companies (the "Company") reported its financial results for its first fiscal quarter ended March 31, 2021. See the Company's press release dated April 30, 2021, which is furnished as Exhibit 99 hereto.
Item 9.01. Financial Statements and Exhibits.
(d)Exhibit
104 Cover Page Interactive Data File (the cover page XBRL tags are embedded in the Inline XBRL document).
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.
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| | | PIPER SANDLER COMPANIES |
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| Date: | April 30, 2021 | | By | /s/ Timothy L. Carter |
| | | Name | Timothy L. Carter |
| | | Its | Chief Financial Officer |