0000724683-14-000008.txt : 20140214 0000724683-14-000008.hdr.sgml : 20140214 20140214105932 ACCESSION NUMBER: 0000724683-14-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 EFFECTIVENESS DATE: 20140214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER JAFFRAY & CO. CENTRAL INDEX KEY: 0000724683 IRS NUMBER: 410953246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1200 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15951 FILM NUMBER: 14612366 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 BUSINESS PHONE: 612-303-6359 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL STREET 2: SUITE 1000 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-7020 FORMER COMPANY: FORMER CONFORMED NAME: U.S. BANCORP PIPER JAFFRAY INC. DATE OF NAME CHANGE: 20020129 FORMER COMPANY: FORMER CONFORMED NAME: U S BANCORP PIPER JAFFRAY INC /BD DATE OF NAME CHANGE: 20020129 FORMER COMPANY: FORMER CONFORMED NAME: US BANCORP PIPER JAFFRAY INC /MN/ /BD DATE OF NAME CHANGE: 20000719 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000724683 XXXXXXXX 12-31-2013 12-31-2013 PIPER JAFFRAY & CO.

800 NICOLLET MALL SUITE 1000 MINNEAPOLIS MN 55402-7020

13F HOLDINGS REPORT 028-15951 N Ann C. McCague 612-303-6359 Ann C. McCague Minneapols MN 02-14-2014 0 92 119124 false INFORMATION TABLE 2 pjc_13f_4q2013.xml ACELRX PHARMACEUTICALS INC COM 00444T100 336 29750 SH SOLE 29750 0 0 ADEPT TECHNOLOGY INC COM NEW 006854202 502 29750 SH SOLE 29750 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 374 85000 SH SOLE 85000 0 0 ALLOT COMMUNICATIONS LTD SHS M0854Q105 227 15000 SH SOLE 15000 0 0 ALTISOURCE RESIDENTIAL CORP CL B 02153W100 640 21250 SH SOLE 21250 0 0 ANNALY CAP MGMT INC NOTE 5.000% 5/1 035710AB8 6071 6000000 PRN SOLE 6000000 0 0 APPLE INC COM 037833100 1403 2500 SH SOLE 2500 0 0 APPLIED OPTOELECTRONICS INC COM 03823U102 1 36 SH SOLE 36 0 0 ARUBA NETWORKS INC COM 043176106 627 35000 SH SOLE 35000 0 0 ATMEL CORP COM 049513104 196 25000 SH SOLE 25000 0 0 BANK OF AMERICA CORPORATION COM 060505104 467 30000 SH SOLE 30000 0 0 BARNES GROUP INC NOTE 3.375% 3/1 067806AD1 551 407000 PRN SOLE 407000 0 0 BRIGHTCOVE INC COM 10921T101 240 17000 SH SOLE 17000 0 0 BROADCOM CORP CL A 111320107 697 23500 SH SOLE 23500 0 0 CAFEPRESS INC COM 12769A103 161 25500 SH SOLE 25500 0 0 CALLIDUS SOFTWARE INC COM 13123E500 292 21250 SH SOLE 21250 0 0 CANADIAN SOLAR INC COM 136635109 507 17000 SH SOLE 17000 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 296 25000 SH SOLE 25000 0 0 CHIMERIX INC COM 16934W106 321 21250 SH SOLE 21250 0 0 CITIGROUP INC COM NEW 172967424 651 12500 SH SOLE 12500 0 0 CMS ENERGY CORP NOTE 5.500% 6/1 125896BD1 3950 2000000 PRN SOLE 2000000 0 0 CONSUMER PORTFOLIO SVCS INC COM 210502100 200 21250 SH SOLE 21250 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 552 8500 SH SOLE 8500 0 0 ENTEROMEDICS INC COM NEW 29365M208 303 148750 SH SOLE 148750 0 0 EXTREME NETWORKS INC COM 30226D106 209 30000 SH SOLE 30000 0 0 FAMOUS DAVES AMER INC COM 307068106 389 21250 SH SOLE 21250 0 0 FINISAR CORP COM NEW 31787A507 837 35000 SH SOLE 35000 0 0 FIRST SOLAR INC COM 336433107 464 8500 SH SOLE 8500 0 0 FORTINET INC COM 34959E109 1148 60000 SH SOLE 60000 0 0 GALENA BIOPHARMA INC COM 363256108 248 50000 SH Put SOLE 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67072V103 50 5000 SH SOLE 5000 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 12571 169373 SH SOLE 169373 0 0 ON TRACK INNOVATION LTD SHS M8791A109 114 35000 SH SOLE 35000 0 0 PALO ALTO NETWORKS INC COM 697435105 488 8500 SH SOLE 8500 0 0 PATTERSON UTI ENERGY INC COM 703481101 190 7500 SH SOLE 7500 0 0 QUANTUM FUEL SYS TECH WORLDW COM PAR $0.02 74765E307 398 51000 SH SOLE 51000 0 0 QUICKLOGIC CORP COM 74837P108 84 21250 SH SOLE 21250 0 0 RADWARE LTD ORD M81873107 458 25500 SH SOLE 25500 0 0 REAL GOODS SOLAR INC CL A 75601N104 76 25000 SH SOLE 25000 0 0 RUCKUS WIRELESS INC COM 781220108 1026 72250 SH SOLE 72250 0 0 SHORETEL INC COM 825211105 394 42500 SH SOLE 42500 0 0 SHUTTERFLY INC COM 82568P304 649 12750 SH SOLE 12750 0 0 SMITH & WESSON HLDG CORP COM 831756101 287 21250 SH SOLE 21250 0 0 SOLARWINDS INC COM 83416B109 482 12750 SH SOLE 12750 0 0 SONUS NETWORKS INC COM 835916107 67 21250 SH SOLE 21250 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18007 97500 SH Put SOLE 97500 0 0 SPEED COMM INC COM 84764T106 298 63750 SH SOLE 63750 0 0 STMICROELECTRONICS N V NY REGISTRY 861012102 240 30000 SH SOLE 30000 0 0 SUNEDISON INC COM 86732Y109 653 50000 SH SOLE 50000 0 0 SUNOPTA INC COM 8676EP108 255 25500 SH SOLE 25500 0 0 TASER INTL INC COM 87651B104 472 29750 SH SOLE 29750 0 0 TERADYNE INC NOTE 4.500% 3/1 880770AE2 7080 2200000 PRN SOLE 2200000 0 0 UNISYS CORP PFD SER A 6.25% 909214405 5158 57767 SH SOLE 57767 0 0 US BANCORP DEL COM NEW 902973304 485 12000 SH SOLE 12000 0 0 VALUECLICK INC COM 92046N102 397 17000 SH SOLE 17000 0 0 VALUEVISION MEDIA INC CL A 92047K107 1277 182750 SH SOLE 182750 0 0 VERTEX ENERGY INC COM 92534K107 142 42500 SH SOLE 42500 0 0 WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 15578 4810000 PRN SOLE 4810000 0 0 WESTELL TECHNOLOGIES INC CL A 957541105 258 63750 SH SOLE 63750 0 0 XEROX CORP COM 984121103 304 25000 SH SOLE 25000 0 0 ZHONE TECHNOLOGIES INC NEW COM NEW 98950P884 590 110500 SH SOLE 110500 0 0