0001104659-21-066538.txt : 20210514 0001104659-21-066538.hdr.sgml : 20210514 20210514102041 ACCESSION NUMBER: 0001104659-21-066538 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 EFFECTIVENESS DATE: 20210514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIER 88 INVESTMENT PARTNERS LLC CENTRAL INDEX KEY: 0001697366 IRS NUMBER: 463506954 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17645 FILM NUMBER: 21922458 BUSINESS ADDRESS: STREET 1: 230 CALIFORNIA STREET, SUITE 410 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-814-8840 MAIL ADDRESS: STREET 1: 230 CALIFORNIA STREET, SUITE 410 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001697366 XXXXXXXX 03-31-2021 03-31-2021 false PIER 88 INVESTMENT PARTNERS LLC

230 California Street, Suite 410 San Francisco CA 94111

13F HOLDINGS REPORT 028-17645 N Sean Aurigemma 201-424-9144 /s/ Sean Aurigemma San Francisco CA 05-14-2021 1 177 294663 1 0001387508 028-12257 PRELUDE CAPITAL MANAGEMENT, LLC INFORMATION TABLE 2 infotable.xml Etsy Inc Common Stock 29786A106 684 3391 SH SOLE 3391 0 0 HubSpot Inc Common Stock 443573100 1017 2240 SH SOLE 2240 0 0 Model N Inc Common Stock 607525102 202 5739 SH SOLE 5739 0 0 Monolithic Power Systems Inc Common Stock 609839105 785 2223 SH SOLE 2223 0 0 Novellus Systems Inc Convertible Bonds 670008AD3 1401 74000 PRN SOLE 0 0 74000 Spirit Realty Capital Inc Convertible Bonds 84860WAB8 4721 4640000 PRN SOLE 0 0 4640000 Zendesk Inc Common Stock 98936J101 890 6712 SH SOLE 6712 0 0 Silicon Laboratories Inc Common Stock 826919102 524 3712 SH SOLE 3712 0 0 Wix.com Ltd Common Stock M98068105 899 3220 SH SOLE 3220 0 0 WELLPOINT INC Convertible Bonds 94973VBG1 7568 1510000 PRN SOLE 0 0 1510000 Prospect Capital Corp Convertible Bonds 74348TAR3 211 205000 PRN SOLE 0 0 205000 ASGN Inc Common Stock 00191U102 817 8560 SH SOLE 8560 0 0 Chegg Inc Common Stock 163092109 868 10130 SH SOLE 10130 0 0 Farmland Partners Inc Common Stock 31154R109 317 28268 SH SOLE 28268 0 0 Heron Therapeutics Inc Common Stock 427746102 707 43610 SH SOLE 43610 0 0 Insulet Corp Common Stock 45784P101 856 3280 SH SOLE 3280 0 0 Ultragenyx Pharmaceutical Inc Common Stock 90400D108 430 3780 SH SOLE 3780 0 0 TPG Specialty Lending Inc Convertible Bonds 87265KAD4 3010 2780000 PRN SOLE 0 0 2780000 Denali Therapeutics Inc Common Stock 24823R105 343 6010 SH SOLE 6010 0 0 Evo Payments Inc Common Stock 26927E104 704 25569 SH SOLE 25569 0 0 Splunk Inc Common Stock 848637104 563 4155 SH SOLE 4155 0 0 Microchip Technology Inc Convertible Bonds 595017AF1 59 26000 PRN SOLE 0 0 26000 DocuSign Inc Common Stock 256163106 696 3440 SH SOLE 3440 0 0 Euronet Worldwide Inc Common Stock 298736109 636 4601 SH SOLE 4601 0 0 NuVasive Inc Common Stock 670704105 854 13025 SH SOLE 13025 0 0 Alteryx Inc Common Stock 02156B103 500 6025 SH SOLE 6025 0 0 New Mountain Finance Corp Convertible Bonds 647551AC4 4751 4550000 PRN SOLE 0 0 4550000 American Electric Power Co Inc Preferred Stock 025537127 6748 139829 SH SOLE 139829 0 0 Dominion Resources Inc/VA Preferred Stock 25746U133 9466 95775 SH SOLE 95775 0 0 Pagseguro Digital Ltd Common Stock G68707101 775 16745 SH SOLE 16745 0 0 Splunk Inc Convertible Bonds 848637AD6 831 705000 PRN SOLE 0 0 705000 Western Digital Corp Convertible Bonds 958102AP0 18131 17750000 PRN SOLE 0 0 17750000 Southern Co/The Preferred Stock 842587602 10761 211292 SH SOLE 211292 0 0 DexCom Inc Common Stock 252131107 690 1920 SH SOLE 1920 0 0 HealthEquity Inc Common Stock 42226A107 436 6415 SH SOLE 6415 0 0 Horizon Pharma Plc Common Stock G46188101 1853 20128 SH SOLE 20128 0 0 DocuSign Inc Convertible Bonds 256163AB2 1876 665000 PRN SOLE 0 0 665000 Meritor Inc Convertible Bonds 59001KAF7 12641 10785000 PRN SOLE 0 0 10785000 NextEra Energy Inc Preferred Stock 65339F796 11051 192490 SH SOLE 192490 0 0 Stanley Black & Decker Inc Preferred Stock 854502846 16516 139991 SH SOLE 139991 0 0 CRISPR Therapeutics AG Common Stock H17182108 240 1970 SH SOLE 1970 0 0 Goosehead Insurance Inc Common Stock 38267D109 864 8065 SH SOLE 8065 0 0 Iovance Biotherapeutics Inc Common Stock 462260100 436 13765 SH SOLE 13765 0 0 Meritor Inc Common Stock 59001K100 445 15115 SH SOLE 15115 0 0 Zscaler Inc Common Stock 98980G102 543 3165 SH SOLE 3165 0 0 Euronet Worldwide Inc Convertible Bonds 298736AL3 14252 12505000 PRN SOLE 0 0 12505000 Fortive Corp Convertible Bonds 34959JAK4 12476 12305000 PRN SOLE 0 0 12305000 Micron Technology Inc Convertible Bonds 595112AX1 1677 190000 PRN SOLE 0 0 190000 ServiceNow Inc Convertible Bonds 81762PAC6 56 15000 PRN SOLE 0 0 15000 Workday Inc Convertible Bonds 98138HAF8 52 30000 PRN SOLE 0 0 30000 SPDR Gold Shares ETF 78463V107 1296 8100 SH SOLE 8100 0 0 DTE Energy Co Preferred Stock 233331842 9361 188405 SH SOLE 188405 0 0 NextEra Energy Inc Preferred Stock 65339F770 4787 96660 SH SOLE 96660 0 0 CyberArk Software Ltd Common Stock M2682V108 393 3040 SH SOLE 3040 0 0 10X Genomics Inc Common Stock 88025U109 845 4670 SH SOLE 4670 0 0 ADAPTIVE BIOTECHNOLOGIES COR Common Stock 00650F109 509 12645 SH SOLE 12645 0 0 Beyond Meat Inc Common Stock 08862E109 289 2220 SH SOLE 2220 0 0 Chewy Inc Common Stock 16679L109 500 5897 SH SOLE 5897 0 0 Cloudflare Inc Common Stock 18915M107 198 2825 SH SOLE 2825 0 0 Coupa Software Inc Common Stock 22266L106 585 2300 SH SOLE 2300 0 0 Crowdstrike Holdings Inc Common Stock 22788C105 588 3220 SH SOLE 3220 0 0 Evoqua Water Technologies Corp Common Stock 30057T105 950 36107 SH SOLE 36107 0 0 Fate Therapeutics Inc Common Stock 31189P102 442 5355 SH SOLE 5355 0 0 Freshpet Inc Common Stock 358039105 927 5840 SH SOLE 5840 0 0 Inovalon Holdings Inc Common Stock 45781D101 951 33035 SH SOLE 33035 0 0 Lattice Semiconductor Corp Common Stock 518415104 866 19225 SH SOLE 19225 0 0 Tradeweb Markets Inc Common Stock 892672106 1194 16135 SH SOLE 16135 0 0 TriNet Group Inc Common Stock 896288107 571 7320 SH SOLE 7320 0 0 Southwest Airlines Co Convertible Bonds 844741BG2 14947 8705000 PRN SOLE 0 0 8705000 Deckers Outdoor Corp Common Stock 243537107 856 2590 SH SOLE 2590 0 0 Equinox Gold Corp Common Stock 29446Y502 89 11105 SH SOLE 11105 0 0 Helen of Troy Ltd Common Stock G4388N106 777 3690 SH SOLE 3690 0 0 Mirati Therapeutics Inc Common Stock 60468T105 417 2435 SH SOLE 2435 0 0 ProofPoint Inc Common Stock 743424103 880 6995 SH SOLE 6995 0 0 PROS Holdings Inc Common Stock 74346Y103 274 6440 SH SOLE 6440 0 0 Qorvo Inc Common Stock 74736K101 579 3170 SH SOLE 3170 0 0 RingCentral Inc Common Stock 76680R206 423 1420 SH SOLE 1420 0 0 Alteryx Inc Convertible Bonds 02156BAF0 3659 4050000 PRN SOLE 0 0 4050000 FireEye Inc Convertible Bonds 31816QAF8 7935 7045000 PRN SOLE 0 0 7045000 Proofpoint Inc Convertible Bonds 743424AF0 6407 6005000 PRN SOLE 0 0 6005000 FireEye Inc Common Stock 31816Q101 603 30790 SH SOLE 30790 0 0 First Republic Bank/CA Common Stock 33616C100 1216 7290 SH SOLE 7290 0 0 ITT Inc Common Stock 45073V108 1553 17085 SH SOLE 17085 0 0 Keysight Technologies Inc Common Stock 49338L103 916 6385 SH SOLE 6385 0 0 Microchip Technology Inc Common Stock 595017104 472 3040 SH SOLE 3040 0 0 Power Integrations Inc Common Stock 739276103 851 10445 SH SOLE 10445 0 0 SVB Financial Group Common Stock 78486Q101 819 1660 SH SOLE 1660 0 0 Webster Financial Corp Common Stock 947890109 836 15165 SH SOLE 15165 0 0 CyberArk Software Ltd Convertible Bonds 23248VAB1 2041 1890000 PRN SOLE 0 0 1890000 ON Semiconductor Corp Convertible Bonds 682189AP0 2405 1160000 PRN SOLE 0 0 1160000 Pacira BioSciences Inc Convertible Bonds 695127AD2 569 470000 PRN SOLE 0 0 470000 Insulet Corp Convertible Bonds 45784PAK7 2728 2052000 PRN SOLE 0 0 2052000 Priceline Group Inc/The Convertible Bonds 741503AX4 6804 5805000 PRN SOLE 0 0 5805000 PROS Holdings Inc Convertible Bonds 74346YAH6 1245 1240000 PRN SOLE 0 0 1240000 Shopify Inc Convertible Bonds 82509LAA5 40 35000 PRN SOLE 0 0 35000 Ceridian HCM Holding Inc Common Stock 15677J108 310 3675 SH SOLE 3675 0 0 Dover Corp Common Stock 260003108 1247 9090 SH SOLE 9090 0 0 DraftKings Inc Common Stock 26142R104 679 11075 SH SOLE 11075 0 0 East West Bancorp Inc Common Stock 27579R104 1321 17900 SH SOLE 17900 0 0 Emergent Biosolutions Inc Common Stock 29089Q105 439 4730 SH SOLE 4730 0 0 Magnite Inc Common Stock 55955D100 512 12300 SH SOLE 12300 0 0 Ping Identity Holding Corp Common Stock 72341T103 329 15020 SH SOLE 15020 0 0 Seer Inc Common Stock 81578P106 350 6995 SH SOLE 6995 0 0 SPX FLOW Inc Common Stock 78469X107 1109 17510 SH SOLE 17510 0 0 Synaptics Inc Common Stock 87157D109 901 6655 SH SOLE 6655 0 0 Vertix Holdings Co Common Stock 92537N108 436 21800 SH SOLE 21800 0 0 Ares Capital Corp Convertible Bonds 04010LAW3 13741 12640000 PRN SOLE 0 0 12640000 Illumina Inc Convertible Bonds 452327AK5 2752 2320000 PRN SOLE 0 0 2320000 RingCentral Inc Convertible Bonds 76680RAF4 3709 3385000 PRN SOLE 0 0 3385000 Synaptics Inc Convertible Bonds 87157DAD1 2129 1155000 PRN SOLE 0 0 1155000 Tabula Rasa HealthCare Inc Convertible Bonds 873379AA9 1594 1576000 PRN SOLE 0 0 1576000 10X Genomics Inc Common Stock 88025U109 267 1475 SH OTR 1 0 1475 0 ADAPTIVE BIOTECHNOLOGIES COR Common Stock 00650F109 170 4217 SH OTR 1 0 4217 0 ASGN Inc Common Stock 00191U102 441 4620 SH OTR 1 0 4620 0 Beyond Meat Inc Common Stock 08862E109 70 540 SH OTR 1 0 540 0 Ceridian HCM Holding Inc Common Stock 15677J108 84 1000 SH OTR 1 0 1000 0 Chegg Inc Common Stock 163092109 296 3457 SH OTR 1 0 3457 0 Chewy Inc Common Stock 16679L109 3 30 SH OTR 1 0 30 0 Coupa Software Inc Common Stock 22266L106 162 635 SH OTR 1 0 635 0 CRISPR Therapeutics AG Common Stock H17182108 101 825 SH OTR 1 0 825 0 Crowdstrike Holdings Inc Common Stock 22788C105 187 1025 SH OTR 1 0 1025 0 CyberArk Software Ltd Common Stock M2682V108 91 700 SH OTR 1 0 700 0 CyberArk Software Ltd Convertible Bonds 23248VAB1 217 200000 PRN OTR 1 0 0 200000 Deckers Outdoor Corp Common Stock 243537107 135 410 SH OTR 1 0 410 0 Denali Therapeutics Inc Common Stock 24823R105 89 1550 SH OTR 1 0 1550 0 DexCom Inc Common Stock 252131107 344 956 SH OTR 1 0 956 0 DocuSign Inc Common Stock 256163106 158 780 SH OTR 1 0 780 0 Dover Corp Common Stock 260003108 570 4160 SH OTR 1 0 4160 0 DraftKings Inc Common Stock 26142R104 339 5535 SH OTR 1 0 5535 0 East West Bancorp Inc Common Stock 27579R104 725 9825 SH OTR 1 0 9825 0 Euronet Worldwide Inc Convertible Bonds 298736AL3 423 370000 PRN OTR 1 0 0 370000 Emergent Biosolutions Inc Common Stock 29089Q105 151 1620 SH OTR 1 0 1620 0 Equinox Gold Corp Common Stock 29446Y502 434 54300 SH OTR 1 0 54300 0 Etsy Inc Common Stock 29786A106 302 1496 SH OTR 1 0 1496 0 Euronet Worldwide Inc Common Stock 298736109 235 1700 SH OTR 1 0 1700 0 Evo Payments Inc Common Stock 26927E104 261 9500 SH OTR 1 0 9500 0 Evoqua Water Technologies Corp Common Stock 30057T105 480 18232 SH OTR 1 0 18232 0 Fate Therapeutics Inc Common Stock 31189P102 118 1437 SH OTR 1 0 1437 0 FireEye Inc Common Stock 31816Q101 180 9200 SH OTR 1 0 9200 0 First Republic Bank/CA Common Stock 33616C100 691 4145 SH OTR 1 0 4145 0 Freshpet Inc Common Stock 358039105 387 2435 SH OTR 1 0 2435 0 Goosehead Insurance Inc Common Stock 38267D109 328 3060 SH OTR 1 0 3060 0 HealthEquity Inc Common Stock 42226A107 192 2820 SH OTR 1 0 2820 0 Helen of Troy Ltd Common Stock G4388N106 315 1495 SH OTR 1 0 1495 0 Horizon Pharma Plc Common Stock G46188101 527 5725 SH OTR 1 0 5725 0 HubSpot Inc Common Stock 443573100 352 774 SH OTR 1 0 774 0 Inovalon Holdings Inc Common Stock 45781D101 420 14600 SH OTR 1 0 14600 0 Insulet Corp Common Stock 45784P101 427 1637 SH OTR 1 0 1637 0 Iovance Biotherapeutics Inc Common Stock 462260100 113 3561 SH OTR 1 0 3561 0 ITT Inc Common Stock 45073V108 569 6260 SH OTR 1 0 6260 0 Keysight Technologies Inc Common Stock 49338L103 501 3495 SH OTR 1 0 3495 0 Lattice Semiconductor Corp Common Stock 518415104 335 7433 SH OTR 1 0 7433 0 Microchip Technology Inc Common Stock 595017104 399 2570 SH OTR 1 0 2570 0 Mirati Therapeutics Inc Common Stock 60468T105 155 905 SH OTR 1 0 905 0 Monolithic Power Systems Inc Common Stock 609839105 335 948 SH OTR 1 0 948 0 Meritor Inc Convertible Bonds 59001KAF7 415 360000 PRN OTR 1 0 0 360000 NuVasive Inc Common Stock 670704105 374 5700 SH OTR 1 0 5700 0 Pagseguro Digital Ltd Common Stock G68707101 185 4000 SH OTR 1 0 4000 0 Pacira BioSciences Inc Convertible Bonds 695127AD2 412 340000 PRN OTR 1 0 0 340000 Ping Identity Holding Corp Common Stock 72341T103 185 8440 SH OTR 1 0 8440 0 Power Integrations Inc Common Stock 739276103 471 5780 SH OTR 1 0 5780 0 ProofPoint Inc Common Stock 743424103 384 3050 SH OTR 1 0 3050 0 Qorvo Inc Common Stock 74736K101 210 1150 SH OTR 1 0 1150 0 RingCentral Inc Common Stock 76680R206 203 680 SH OTR 1 0 680 0 Seer Inc Common Stock 81578P106 65 1300 SH OTR 1 0 1300 0 Silicon Laboratories Inc Common Stock 826919102 183 1296 SH OTR 1 0 1296 0 SPDR Gold Shares ETF 78463V107 176 1100 SH OTR 1 0 1100 0 SPX FLOW Inc Common Stock 78469X107 518 8180 SH OTR 1 0 8180 0 SVB Financial Group Common Stock 78486Q101 274 555 SH OTR 1 0 555 0 Synaptics Inc Common Stock 87157D109 444 3275 SH OTR 1 0 3275 0 Tradeweb Markets Inc Common Stock 892672106 458 6185 SH OTR 1 0 6185 0 TriNet Group Inc Common Stock 896288107 202 2590 SH OTR 1 0 2590 0 Ultragenyx Pharmaceutical Inc Common Stock 90400D108 226 1985 SH OTR 1 0 1985 0 Vertix Holdings Co Common Stock 92537N108 192 9600 SH OTR 1 0 9600 0 Webster Financial Corp Common Stock 947890109 460 8345 SH OTR 1 0 8345 0 Wix.com Ltd Common Stock M98068105 363 1299 SH OTR 1 0 1299 0 Zendesk Inc Common Stock 98936J101 204 1540 SH OTR 1 0 1540 0