8-K

PIPER SANDLER COMPANIES (PIPR)

8-K 2022-05-06 For: 2022-05-06
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Added on April 07, 2026

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

May 6, 2022

Date of report (Date of earliest event reported)

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PIPER SANDLER COMPANIES
(Exact Name of Registrant as Specified in its Charter)

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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)

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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):

| ☐ | 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.  ☐

Item 5.07.    Submission of Matters to a Vote of Security Holders.

(a)The Company’s Annual Meeting was held on May 6, 2022. The holders of 14,187,167 shares of common stock of the Company, constituting 79.22 percent of the outstanding shares entitled to vote as of the record date, were represented at the Annual Meeting either in person or by proxy.

(b)    At the Annual Meeting, Chad R. Abraham, Jonathan J. Doyle, William R. Fitzgerald, Victoria M. Holt, Robbin Mitchell, Thomas S. Schreier, Sherry M. Smith, Philip E. Soran, Brian R. Sterling and Scott C. Taylor were elected as directors to serve a one-year term expiring at the Company’s annual meeting of shareholders in 2023. The following table shows the vote totals for each of these individuals:

Name Votes For Votes Against Abstentions
Chad R. Abraham 12,972,863 383,011 12,444
Jonathan J. Doyle 13,137,394 219,102 11,822
William R. Fitzgerald 13,207,638 148,161 12,519
Victoria M. Holt 13,203,505 153,668 11,145
Robbin Mitchell 12,860,951 495,790 11,577
Thomas S. Schreier 13,303,775 52,102 12,441
Sherry M. Smith 12,364,785 992,383 11,140
Philip E. Soran 13,203,894 151,507 12,917
Brian R. Sterling 13,312,559 43,831 11,928
Scott C. Taylor 13,254,377 101,585 12,356

Broker non-votes for each director totaled 818,849.

At the Annual Meeting, the Company’s shareholders also approved the proposal to ratify the selection of Ernst & Young LLP as the independent auditor for the Company’s fiscal year ending December 31, 2022. The following table indicates the specific voting results for this proposal:

Proposal Votes For Votes Against Abstentions
Ratify the selection of Ernst & Young LLP as the independent auditor for 2022 14,050,866 122,529 13,772

At the Annual Meeting, the Company’s shareholders also cast an advisory vote to approve the compensation of the officers disclosed in the proxy statement, or a “say-on-pay” vote. The following table indicates the specific voting results for this proposal:

Proposal Votes For Votes Against Abstentions
Advisory (non-binding) resolution approving the compensation of the officers disclosed in the proxy statement, or a “say-on-pay” vote. 13,035,998 305,864 26,456

Broker non-votes for this proposal totaled 818,849.

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.

PIPER SANDLER COMPANIES
Date: May 6, 2022 By /s/ John W. Geelan
John W. Geelan
General Counsel and Secretary