Baker James P's Form 4/A amendment
AmendedPiper Sandler Companies (PIPR) · filed May 21, 2025
- Accession no.
- 0001230245-25-000084
- Filed
- May 21, 2025
- Trade date
- May 16, 2025
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- May 16, 2025
This filing lists 1 non-derivative transaction. Open-market purchases total $534.6K. It was filed 5 days after the trade.
This amendment replaces 0001230245-25-000082 (filed May 16, 2025).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Baker James PCIK 0001763980 | Officer (Global Co-Head IB and Cap Mkts) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 16, 2025 | Common Stock | PPurchaseAcquired | +2,000 | $267.32F2 | +$534,640 | 59,867 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The transaction was originally reported with transaction code "A," which designates a grant, award, or other acquisition. As these shares were purchased by the reporting person in the open market, the transaction code should have been listed as "P," an open market purchase.
- F2
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $267.25 to $267.54 inclusive. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote upon request by the SEC staff, the issuer or any shareholder of the issuer.
Referenced by the price of 1 transaction in Table I.
- F3
The shares are held in an irrevocable trust for the benefit of the reporting person's spouse. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F4
The shares are held in an irrevocable trust for the benefit of the reporting person. The reporting person is trustee of the trust.