PIPER SANDLER COMPANIES
For the period ended Mar 31, 2024. Filed May 7, 2024.
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Mar 31, 2024 · Filed May 7, 2024
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Item 5. Other Information
During the quarter ended March 31, 2024, no director or officer of the Company adopted or terminated any "Rule 10b5-1 trading arrangement" or "non-Rule 10b5-1 trading arrangement," as each term is defined in Item 408(a) of Regulation S-K, except as follows:
On February 13, 2024, Debbra L. Schoneman, our President, through the Debbra L Schoneman Revocable Trust, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 14,050 shares of our common stock. The arrangement is effective until March 28, 2025. This Rule 10b5-1 trading arrangement is in accordance with our policies regarding insider trading and actual sale transactions made pursuant to this trading arrangement will be disclosed publicly in Section 16 filings with the SEC in accordance with applicable securities laws, rules and regulations.
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