Form 8-K - Current report
02 Janvier 2024 - 3:00PM
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2024-01-02
2024-01-02
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
|
January 2, 2024 |
|
|
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 of Incorporation) |
|
(Commission File Number) |
|
(I.R.S. 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(s) |
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 7.01. | Regulation FD Disclosure. |
On January 2, 2024,
Piper Sandler Companies (the “Company”) issued a press release announcing that Katherine P. Clune became the Chief
Financial Officer of the Company effective January 1, 2024. As previously announced by the Company in the Current Report on
Form 8-K filed with the Securities and Exchange Commission on September 12, 2023, Ms. Clune succeeds Timothy L. Carter, who
previously served as Chief Financial Officer of the Company and will remain as an employee of the Company through April 2024 to
assist with the transition. A copy of the press release is furnished as Exhibit 99.1 hereto.
The information contained in this Item 7.01 and
Exhibit 99.1 is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under Section 18 of the Exchange
Act. Furthermore, the information contained in this Item 7.01 and Exhibit 99.1 shall not be deemed to be incorporated by reference
into the filings of the Company under the Securities Act of 1933, as amended, or the Exchange Act.
| Item 9.01. | Financial Statements and Exhibits. |
|
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.
|
PIPER SANDLER COMPANIES |
|
Date: January 2, 2024 |
By |
/s/ John W. Geelan |
|
|
John W. Geelan |
|
|
General Counsel and Secretary |
Exhibit 99.1
|
Piper Sandler Companies
800 Nicollet Mall, Suite 900
Minneapolis, MN 55402 |
|
|
|
CONTACT |
|
Pamela Steensland |
|
Tel: 612 303-8185 pamela.steensland@psc.com |
F O R I M M E D I A T E R E L E A S E
Piper Sandler Appoints Kate Clune as Chief
Financial Officer
MINNEAPOLIS – January 2,
2024 – Piper Sandler Companies (NYSE: PIPR), a leading investment bank, today announced that effective January 1, 2024,
Kate Clune became chief financial officer (CFO) at Piper Sandler.
The firm previously announced
in September that Clune would be assuming the CFO role from Tim Carter, who will remain with the firm through April to
assist with the transition. Clune will oversee all financial operations of Piper Sandler, including leading the investor relations team.
She will report directly to Chad Abraham, chairman and chief executive officer.
Clune joins the firm from Evercore Inc., where she most recently served
as treasurer and head of planning and strategy. She previously spent 16 years at Morgan Stanley, serving in various capacities across
operations, sales and trading and finance. Her roles included corporate treasury and CFO of their U.S. banks, as well as global head
of financial planning and analysis.
“It is an honor to officially be named the next chief financial
officer of Piper Sandler. Since joining the firm, I have been incredibly impressed by the talent and expertise of our teams. I want
to thank Tim Carter for his support and mentorship during the transition. I’m excited to step into the role and work in close partnership
with Chad and the rest of the leadership team to continue to grow the business and maximize value for our shareholders,” said Clune.
ABOUT PIPER SANDLER
Piper Sandler Companies (NYSE: PIPR) is a leading investment bank
driven to help clients Realize the Power of Partnership®. Securities brokerage and investment banking services are offered in the
U.S. through Piper Sandler & Co., member SIPC and NYSE; in the U.K. through Piper Sandler Ltd., authorized and regulated by
the U.K. Financial Conduct Authority; and in Hong Kong through Piper Sandler Hong Kong Limited, authorized and regulated by the Securities
and Futures Commission. Alternative asset management and fixed income advisory services are offered through separately registered advisory
affiliates.
Follow Piper Sandler: LinkedIn | Facebook | X
©2024. Since 1895. Piper Sandler Companies. 800 Nicollet Mall,
Minneapolis, Minnesota 55402-7036
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