13F-HR filed by PIPER SANDLER & CO.
PIPER SANDLER & CO. filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 92 holding rows worth $119,124,000.
- Accession
- 0000724683-14-000008
- Filer
- CIK 724683
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 92 entries on the cover page, a total value of $119,124,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $119,124,000 with VALUE read as thousands by filing date, 13F file number 028-15951. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 97,500 | $18,007,000 | thousands by filing date | put |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 4,810,000 | $15,578,000 | thousands by filing date | principal |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 169,373 | $12,571,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 3,479,000 | $11,563,000 | thousands by filing date | principal |
| TERADYNE INC | 880770AE2 | NOTE | 2,200,000 | $7,080,000 | thousands by filing date | principal |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 6,000,000 | $6,071,000 | thousands by filing date | principal |
| UNISYS CORP | 909214405 | CORPORATE OBLIG | 57,767 | $5,158,000 | thousands by filing date | |
| CMS ENERGY CORP | 125896BD1 | CNV | 2,000,000 | $3,950,000 | thousands by filing date | principal |
| GOLDCORP INC NEW | 380956AB8 | NOTE 2.000% 8/0 | 3,438,000 | $3,447,000 | thousands by filing date | principal |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 125,000 | $1,839,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 2,500 | $1,403,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 182,750 | $1,277,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 60,000 | $1,148,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 72,250 | $1,026,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 30,000 | $841,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 35,000 | $837,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 59,500 | $800,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 4,500 | $798,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 23,500 | $697,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 50,000 | $653,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 35,000 | $652,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 12,500 | $651,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 12,750 | $649,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 25,500 | $641,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 21,250 | $640,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 20,000 | $627,000 | thousands by filing date | |
| ARUBA NETWORKS INC | 043176106 | COM | 35,000 | $627,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 40,000 | $595,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 110,500 | $590,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 8,500 | $552,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 407,000 | $551,000 | thousands by filing date | principal |
| KEYCORP COM | 493267108 | Stock | 40,000 | $537,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 25,500 | $530,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 17,000 | $507,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 29,750 | $502,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 97,750 | $500,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 42,500 | $496,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 50,000 | $489,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 8,500 | $488,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 12,000 | $485,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 12,750 | $482,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 29,750 | $472,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 30,000 | $467,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 8,500 | $464,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 25,500 | $458,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 21,250 | $410,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 51,000 | $398,000 | thousands by filing date | |
| VALUECLICK INC | 92046N102 | COM | 17,000 | $397,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 42,500 | $394,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 21,250 | $389,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 85,000 | $374,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 42,500 | $368,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 29,750 | $336,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 21,250 | $321,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 21,250 | $315,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 25,000 | $304,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 148,750 | $303,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 63,750 | $298,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 25,000 | $296,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 21,250 | $292,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 21,250 | $287,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 35,000 | $273,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 34,000 | $272,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 29,750 | $259,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 17,000 | $258,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 63,750 | $258,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 25,500 | $255,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 50,000 | $248,000 | thousands by filing date | put |
| NANOSPHERE INC | 63009F105 | COM | 106,250 | $243,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 30,000 | $240,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 17,000 | $240,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 12,500 | $237,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 15,000 | $227,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 5,500 | $225,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 30,000 | $209,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 21,250 | $200,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 25,000 | $196,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 7,500 | $190,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 50,000 | $185,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 25,500 | $161,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 17,500 | $148,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 42,500 | $142,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 5,000 | $119,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 35,000 | $114,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 21,250 | $84,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 25,000 | $76,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 21,250 | $67,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 5,000 | $50,000 | thousands by filing date | |
| LIPOSCIENCE INC | 53630M108 | COM | 8,701 | $37,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 21,000 | $21,000 | thousands by filing date | principal |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 300 | $11,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 36 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000724683-14-000008 | this filing | 2014-02-14 | acceptance time not in the bulk data set |