13F-HR filed by PIPER SANDLER & CO.
PIPER SANDLER & CO. filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 132 holding rows worth $193,790,000.
- Accession
- 0000724683-14-000157
- Filer
- CIK 724683
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 132 entries on the cover page, a total value of $193,790,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,790,000 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 |
|---|---|---|---|---|---|---|
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 4,099,000 | $19,140,000 | thousands by filing date | principal |
| MASTEC INC | 576323AM1 | NOTE 4.250%12/1 | 7,997,000 | $15,814,000 | thousands by filing date | principal |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 183,000 | $14,009,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 7,000,000 | $13,834,000 | thousands by filing date | principal |
| EQUINIX INC | 29444UAG1 | CNV | 6,727,000 | $12,912,000 | thousands by filing date | principal |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 3,765,000 | $12,862,000 | thousands by filing date | principal |
| SPY | 78462F103 | SHS | 62,500 | $12,314,000 | thousands by filing date | put |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 329,500 | $10,273,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 5,464,000 | $9,692,000 | thousands by filing date | principal |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 7,025,000 | $8,641,000 | thousands by filing date | principal |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 3,009,000 | $8,373,000 | thousands by filing date | principal |
| SBA COMMUNICATIONS CORP | 78388JAM8 | CORPORATE OBLIG | 7,122,000 | $7,122,000 | thousands by filing date | principal |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 6,000,000 | $6,060,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 213,100 | $3,606,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 2,000,000 | $1,973,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 1,708,000 | $1,772,000 | thousands by filing date | principal |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 2,000,000 | $1,731,000 | thousands by filing date | principal |
| Starbucks Corporation | 855244109 | COM | 20,000 | $1,509,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 10,000 | $1,303,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 482,000 | $1,193,000 | thousands by filing date | principal |
| G III APPAREL GROUP LTD | 36237H101 | COM | 13,230 | $1,096,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,000 | $1,067,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 40,000 | $1,001,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 18,796 | $898,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10,000 | $889,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 11,500 | $738,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 27,500 | $657,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 17,500 | $626,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 65,000 | $601,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 21,500 | $591,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 500,000 | $561,000 | thousands by filing date | principal |
| SKECHERS U S A INC | 830566105 | CL A | 10,500 | $560,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 11,000 | $555,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 42,500 | $513,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 100,000 | $513,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 71,000 | $504,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 25,000 | $492,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 24,500 | $469,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 40,000 | $462,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 21,500 | $458,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 7,500 | $447,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 40,000 | $427,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 32,200 | $423,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 25,000 | $403,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 20,000 | $399,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 34,000 | $387,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 7,677 | $381,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 20,000 | $352,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 10,000 | $344,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 12,001 | $342,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 50,000 | $336,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 11,000 | $333,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 5,000 | $329,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 50,000 | $323,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 7,500 | $321,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 30,000 | $321,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 20,000 | $319,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 20,000 | $309,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 30,000 | $308,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 20,000 | $300,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 40,000 | $289,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 55,000 | $284,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 15,000 | $282,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 20,300 | $272,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 10,000 | $270,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 25,000 | $262,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 7,500 | $254,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 50,000 | $252,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 25,000 | $245,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 10,000 | $243,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 70,000 | $239,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 22,500 | $239,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 12,500 | $236,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 35,000 | $235,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 13,910 | $233,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 75,000 | $233,000 | thousands by filing date | |
| SPANSION INC | 84649R200 | COM CL A NEW | 10,000 | $228,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 6,000 | $224,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 8,000 | $215,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 5,000 | $215,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 4,000 | $214,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 25,000 | $212,000 | thousands by filing date | |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 2,500 | $201,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 6,500 | $201,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 50,000 | $189,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 15,000 | $180,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 10,000 | $172,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 160,000 | $160,000 | thousands by filing date | principal |
| LHC GROUP | 50187A107 | COM | 6,500 | $151,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 5,000 | $151,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 10,700 | $146,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 15,100 | $145,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 23,888 | $137,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 30,000 | $137,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 15,044 | $131,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 10,000 | $129,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 15,000 | $121,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 48,500 | $120,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 50,000 | $119,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 15,000 | $117,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 2,500 | $112,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 24,247 | $103,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 8,428 | $98,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 3,598 | $98,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 9,600 | $97,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 90,000 | $82,000 | thousands by filing date | principal |
| TILLYS INC | 886885102 | CL A | 10,000 | $75,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 1,855,032 | $65,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,500 | $53,000 | thousands by filing date | |
| LIPOSCIENCE INC | 53630M108 | COM | 8,701 | $45,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 20,000 | $41,000 | thousands by filing date | call |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 6,287 | $38,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 3,600 | $36,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 30,000 | $31,000 | thousands by filing date | principal |
| MAST THERAPEUTICS INC | 576314108 | COM | 56,200 | $31,000 | thousands by filing date | put |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,546 | $30,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 2,362 | $28,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 680 | $27,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 732 | $27,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 3,100 | $18,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 1,055 | $17,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 94 | $12,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,000 | $10,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 26,776 | $9,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 89 | $6,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 208 | $6,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 54 | $4,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 100 | $3,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 46 | $2,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 22 | $1,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000724683-14-000157 | this filing | 2014-11-14 | acceptance time not in the bulk data set |