# EDGAR Filing Document

**Accession Number:** 0000724683
**File Stem:** 0000724683-23-000010
**Filing Date:** 2023-2
**Character Count:** 41203
**Document Hash:** 0390b7d068ee364511d3fe5953d05f2f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000724683-23-000010.hdr.sgml**: 20230206

**ACCESSION NUMBER**: 0000724683-23-000010

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230206

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PIPER SANDLER & CO.
- **CENTRAL INDEX KEY:** 0000724683
- **IRS NUMBER:** 410953246
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01178
- **FILM NUMBER:** 23588610

**BUSINESS ADDRESS:**
- **STREET 1:** 800 NICOLLET MALL
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55402-7020
- **BUSINESS PHONE:** 612-303-6843

**MAIL ADDRESS:**
- **STREET 1:** 800 NICOLLET MALL
- **STREET 2:** SUITE 900
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55402-7020

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PIPER JAFFRAY & CO.
- **DATE OF NAME CHANGE:** 20200106

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PIPER SANDLER & CO.
- **DATE OF NAME CHANGE:** 20191225

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PIPER JAFFRAY & CO.
- **DATE OF NAME CHANGE:** 20040105

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000724683

**Filer CCC:** XXXXXXXX

**Contact Name:** Karen Costello

**Contact Phone:** 6123036612

**Contact Email:** karen.costello@psc.com

**Notification Emails:** registration@psc.com, gregory.byer@psc.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** PIPER SANDLER & CO.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 665

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 41-0953246

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00024-00

- **Municipal Advisor:** SEC File No: 867-01178-00

- **Broker-Dealer:** SEC File No: 008-15204, CRD No: 665

- **SEC-Registered Investment Adviser:** SEC File No: 801-108049, CRD No: 665

- **Other:** Description: ALL 50 US STATES; PR

**Additional Registrations:**

- **U.S. COMMODITY FUTURES TRADING COMMISSION:** NFA 0001427

**E. Principal Office and Place of Business:** 800 NICOLLET MALL, SUITE 900, MINNEAPOLIS, MN, 55402-7020

**Telephone Number:** 612-303-6000

**Additional Offices of Employment:**

- **Office #1 (Add):** 2525 EAST CAMELBACK ROAD, SUITE 950, PHOENIX, AZ, 85016 | Phone: 602-912-5100

- **Office #2 (Add):** 2321 ROSECRANS AVE, SUITE 3200, EL SEGUNDO, CA, 90245 | Phone: 310-406-1940

- **Office #3 (Add):** 11635 ROSEWOOD STREET, LEAWOOD, KS, 66211 | Phone: 913-345-3300

- **Office #4 (Add):** 1200 17TH STREET, SUITE 1250, DENVER, CO, 80202 | Phone: 303-820-5865

- **Office #5 (Add):** 444 W LAKE ST, SUITE 3300, CHICAGO, IL, 60606 | Phone: 312-920-3230

**Mailing Address is Different from Principal Office:** No

**F. Website:** http://www.pipersandler.com

**G. Chief Compliance Officer (CCO):**

**Name:** GREGORY SCOTT BYER

**Titles:** Compliance Director

**Address:** 800 Nicollet Mall, Suite 900, Minneapolis, MN, 55402-7020

**Phone Number:** 612-303-6429

**Email:** Gregory.Byer@psc.com

**H. Business Affiliates:**

- **Name:** PSC CAPITAL PARTNERS LLC

  - **Issuing Agency:** U.S. SECURITIES AND EXCHANGE COMMISSION

  - **Jurisdiction:** 

- **Name:** PIPER SANDLER LTD.

  - **Issuing Agency:** FINANCIAL CONDUCT AUTHORITY (FCA)

  - **Jurisdiction:** X0

- **Name:** PIPER SANDLER HONG KONG LTD.

  - **Issuing Agency:** Securities and Futures Commission

  - **Jurisdiction:** K3

- **Name:** PIPER SANDLER FINANCE MANAGEMENT LLC

- **Name:** PIPER SANDLER ADVISORS, LLC

  - **Issuing Agency:** U.S. SECURITIES AND EXCHANGE COMMISSION

  - **Jurisdiction:** 

- **Name:** PIPER HEARTLAND HEALTHCARE CAPITAL, LLC

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 07-28-1969

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 1322

**B. Municipal Advisory Activities - Employees:** 99

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 99

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 2

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 417

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Investment Adviser, Investment Adviser

**Total Associated Persons:** 5

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** Yes

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                      | Title/Status                                  | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| PIPER SANDLER COMPANIES   | PARENT COMPANY                                | 04-28-2003      | E - 75% or more   | Yes               | 30-0168701   |  |
| DEBBRA LYNN SCHONEMAN     | PRESIDENT; BOARD MEMBER                       | 01-01-2018      | NA - less than 5% | Yes               |  | 1980635      |
| FRANCIS EVARTS IV FAIRMAN | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | 07-01-2005      | NA - less than 5% | Yes               |  | 1171131      |
| CHAD RICHARD ABRAHAM      | CEO; BOARD MEMBER, CHAIRMAN                   | 01-01-2018      | NA - less than 5% | Yes               |  | 2190836      |
| JOHN WILLIAM JR GEELAN    | CHIEF LEGAL OFFICER                           | 01-01-2013      | NA - less than 5% | Yes               |  | 4905460      |
| TIMOTHY LEE CARTER        | SR VP FINANCE & TREASURER; BOARD MEMBER       | 06-12-2017      | NA - less than 5% | Yes               |  | 2676342      |
| MICHAEL EDWARD COX        | CO-HEAD OF EQUITIES; BOARD MEMBER             | 02-23-2018      | NA - less than 5% | Yes               |  | 4248868      |
| MICHAEL RAY DILLAHUNT     | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER      | 03-18-2021      | NA - less than 5% | Yes               |  | 3056486      |
| BRIDGET TERE WHERLEY      | CHIEF COMPLIANCE OFFICER                      | 04-01-2021      | NA - less than 5% | Yes               |  | 6643130      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                      | Title/Status                                  | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | PIPER SANDLER COMPANIES   | PARENT COMPANY                                | 04-28-2003      | E - 75% or more   | Yes               | 30-0168701   |  |
|  | Direct      |  | DEBBRA LYNN SCHONEMAN     | PRESIDENT; BOARD MEMBER                       | 01-01-2018      | NA - less than 5% | Yes               |  | 1980635      |
|  | Direct      |  | FRANCIS EVARTS IV FAIRMAN | HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER | 07-01-2005      | NA - less than 5% | Yes               |  | 1171131      |
|  | Direct      |  | CHAD RICHARD ABRAHAM      | CEO; BOARD MEMBER, CHAIRMAN                   | 01-01-2018      | NA - less than 5% | Yes               |  | 2190836      |
|  | Direct      |  | JOHN WILLIAM JR GEELAN    | CHIEF LEGAL OFFICER                           | 01-01-2013      | NA - less than 5% | Yes               |  | 4905460      |
|  | Direct      |  | TIMOTHY LEE CARTER        | SR VP FINANCE & TREASURER; BOARD MEMBER       | 06-12-2017      | NA - less than 5% | Yes               |  | 2676342      |
|  | Direct      |  | MICHAEL EDWARD COX        | CO-HEAD OF EQUITIES; BOARD MEMBER             | 02-23-2018      | NA - less than 5% | Yes               |  | 4248868      |
|  | Direct      |  | MICHAEL RAY DILLAHUNT     | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER      | 03-18-2021      | NA - less than 5% | Yes               |  | 3056486      |
| Amend  | Direct      |  | BRIDGET TERE LARSEN       | CHIEF COMPLIANCE OFFICER                      | 04-01-2021      | NA - less than 5% | Yes               |  | 6643130      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113448

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113449

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO

- **CRD Number:** 665

- **Disclosure Number:** 113450

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113452

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113453

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113454

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113455

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 142257

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 150226

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 203527

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 229628

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 257012

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 267470

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 271078

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 301055

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 319841

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 321667

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 321670

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 336791

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 593276

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 593293

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 593399

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 593423

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 593464

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 593587

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 600322

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 600325

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 681507

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 706229

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 735749

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 752548

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 770463

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 992239

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1036718

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1053018

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1063145

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1076780

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1081902

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1085247

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1097615

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1097615

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1110107

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1110622

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1129999

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1134415

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1135375

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1139388

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1142182

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157862

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157867

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157871

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157873

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157876

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157877

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157879

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1157882

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1159092

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1159615

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1160399

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1160402

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1160404

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1161254

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1161255

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1161256

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1161257

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1161258

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1161259

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1163136

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1163137

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1163139

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1163140

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1165482

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for v

- **CRD Number:** 665

- **Disclosure Number:** 1165483

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1166619

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1166627

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1169620

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1169623

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1169625

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1169626

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1169629

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1171045

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1173557

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1173559

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1173566

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1173905

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1175627

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1175628

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1175629

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1176062

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1176886

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1179709

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1181805

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1182532

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1182533

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1194029

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1195383

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1200772

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1207505

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1214670

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1222620

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1227049

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1228343

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1247314

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1254737

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1260708

**Regulatory DRP for: Applicant (Responding to Questions: 9-E1, 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1276117

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1276666

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1277889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1286104

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1307563

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1308062

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1308776

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1320768

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1334337

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1350975

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1351751

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1360214

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1381994

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1392155

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1407155

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1415861

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1421600

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1453851

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1510662

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1585031

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1600562

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1606521

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1613739

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1680368

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1695188

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1703260

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 113451

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1743605

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1787334

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for PIPER JAFFRAY & CO.

- **CRD Number:** 665

- **Disclosure Number:** 1890142

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Piper Sandler & Co.

- **CRD Number:** 665

- **Disclosure Number:** 2144475

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Piper Sandler &  Co.

- **CRD Number:** 665

- **Disclosure Number:** 2144472

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Piper Sandler & Co.

- **CRD Number:** 665

- **Disclosure Number:** 2144469

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Piper Sandler & Co.

- **CRD Number:** 665

- **Disclosure Number:** 2144439

### Execution Page

**Signature:** Gregory S. Byer

**Signer Name:** Gregory S. Byer

**Title:** Chief Compliance Officer

**Date:** 02-02-2023

**CRD Number:** 2306758