0000724683-15-000041.txt : 20150515
0000724683-15-000041.hdr.sgml : 20150515
20150515150047
ACCESSION NUMBER: 0000724683-15-000041
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150331
FILED AS OF DATE: 20150515
DATE AS OF CHANGE: 20150515
EFFECTIVENESS DATE: 20150515
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: 15868283
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
03-31-2015
03-31-2015
PIPER JAFFRAY & CO.
800 NICOLLET MALL
SUITE 1000
MINNEAPOLIS
MN
55402-7020
13F HOLDINGS REPORT
028-15951
N
Ann C. McCague
Chief Compliance Officer
612-303-6359
Ann C. McCague
Minneapolis
MN
05-15-2015
0
114
240861
false
INFORMATION TABLE
2
pjc_13f_1q2015.xml
8X8 INC NEW
COM
282914100
168
20000
SH
SOLE
20000
0
0
ADEPT TECHNOLOGY INC
COM NEW
006854202
277
45000
SH
SOLE
45000
0
0
ADVISORY BRD CO
COM
00762W107
852
16000
SH
SOLE
16000
0
0
AEGERION PHARMACEUTICALS INC
COM
00767E102
471
18000
SH
SOLE
18000
0
0
AEROHIVE NETWORKS INC
COM
007786106
201
45000
SH
SOLE
45000
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
1126
6500
SH
SOLE
6500
0
0
ALLIANCE HEALTHCARE SRVCS IN
COM PAR $0.01
018606301
111
5000
SH
SOLE
5000
0
0
ALPHATEC HOLDINGS INC
COM
02081G102
290
200000
SH
SOLE
200000
0
0
ANNALY CAP MGMT INC
NOTE 5.000% 5/1
035710AB8
6015
6000000
PRN
SOLE
6000000
0
0
APPLIED OPTOELECTRONICS INC
COM
03823U102
347
25000
SH
SOLE
25000
0
0
ARATANA THERAPEUTICS INC
COM
03874P101
79
4934
SH
SOLE
4934
0
0
ARC DOCUMENT SOLUTIONS INC
COM
00191G103
231
25000
SH
SOLE
25000
0
0
ARISTA NETWORKS INC
COM
040413106
353
5000
SH
SOLE
5000
0
0
ATHENAHEALTH INC
COM
04685W103
1015
8500
SH
SOLE
8500
0
0
ATRICURE INC
COM
04963C209
430
21000
SH
SOLE
21000
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06742E711
3076
120000
SH
SOLE
120000
0
0
BENEFITFOCUS INC
COM
08180D106
570
15500
SH
SOLE
15500
0
0
BIOAMBER INC
*W EXP 05/09/201
09072Q114
23
14330
SH
SOLE
14330
0
0
BIODELIVERY SCIENCES INTL IN
COM
09060J106
504
48000
SH
SOLE
48000
0
0
BOINGO WIRELESS INC
COM
09739C102
264
35000
SH
SOLE
35000
0
0
BROADCOM CORP
CL A
111320107
3
76
SH
SOLE
76
0
0
CANADIAN SOLAR INC
COM
136635109
501
15000
SH
SOLE
15000
0
0
CATALYST PHARM PARTNERS INC
COM
14888U101
217
50000
SH
SOLE
50000
0
0
CISCO SYS INC
COM
17275R102
11
386
SH
SOLE
386
0
0
CITIGROUP INC
*W EXP 10/28/201
172967234
6
273197
SH
SOLE
273197
0
0
CLOVIS ONCOLOGY INC
COM
189464100
297
4000
SH
SOLE
4000
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
494
35000
SH
SOLE
35000
0
0
DIGI INTL INC
COM
253798102
374
37500
SH
SOLE
37500
0
0
DIREXION SHS ETF TR
DLY SC BEAR3XNEW
25459Y488
3033
300000
SH
SOLE
300000
0
0
ENDO HEALTH SOLUTIONS INC
NOTE 1.750% 4/1
29264FAB2
19303
6372000
PRN
SOLE
6372000
0
0
ENPHASE ENERGY INC
COM
29355A107
330
25000
SH
SOLE
25000
0
0
ENVISION HEALTHCARE HLDGS IN
COM
29413U103
384
10000
SH
SOLE
10000
0
0
EVINE LIVE INC
CL A
300487105
939
140000
SH
SOLE
140000
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
781
9000
SH
SOLE
9000
0
0
FINISAR CORP
COM NEW
31787A507
320
15000
SH
SOLE
15000
0
0
GENCORP INC
SDCV 4.062%12/3
368682AN0
19951
7750000
PRN
SOLE
7750000
0
0
GLOBAL EAGLE ENTMT INC
COM
37951D102
266
20000
SH
SOLE
20000
0
0
GOPRO INC
CL A
38268T103
651
15000
SH
SOLE
15000
0
0
GP STRATEGIES CORP
COM
36225V104
1
15
SH
SOLE
15
0
0
HARVARD BIOSCIENCE INC
COM
416906105
437
75000
SH
SOLE
75000
0
0
HEALTHWAYS INC
COM
422245100
690
35000
SH
SOLE
35000
0
0
HEARTWARE INTL INC
COM
422368100
403
4592
SH
SOLE
4592
0
0
HOMEAWAY INC
COM
43739Q100
302
10000
SH
SOLE
10000
0
0
IGI LABS INC
COM
449575109
367
45000
SH
SOLE
45000
0
0
IMPRIVATA INC
COM
45323J103
1050
75000
SH
SOLE
75000
0
0
INCONTACT INC
COM
45336E109
781
71624
SH
SOLE
71624
0
0
INSULET CORP
COM
45784P101
550
16500
SH
SOLE
16500
0
0
INTEGRATED DEVICE TECHNOLOGY
COM
458118106
300
15000
SH
SOLE
15000
0
0
INTRALINKS HLDGS INC
COM
46118H104
181
17500
SH
SOLE
17500
0
0
JA SOLAR HOLDINGS CO LTD
SPON ADR REP5ORD
466090206
335
35000
SH
SOLE
35000
0
0
JDS UNIPHASE CORP
COM PAR $0.001
46612J507
328
25000
SH
SOLE
25000
0
0
JINKOSOLAR HLDG CO LTD
SPONSORED ADR
47759T100
385
15000
SH
SOLE
15000
0
0
KYTHERA BIOPHARMACEUTICALS I
COM
501570105
401
8000
SH
SOLE
8000
0
0
LHC GROUP INC
COM
50187A107
462
14000
SH
SOLE
14000
0
0
MARCHEX INC
CL B
56624R108
245
60000
SH
SOLE
60000
0
0
MARKETO INC
COM
57063L107
448
17500
SH
SOLE
17500
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
282
35000
SH
SOLE
35000
0
0
MEDIVATION INC
NOTE 2.625% 4/0
58501NAA9
19018
7575000
PRN
SOLE
7575000
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
680
15000
SH
SOLE
15000
0
0
MOBILEIRON INC
COM NEW
60739U204
185
20000
SH
SOLE
20000
0
0
MONSTER WORLDWIDE INC
COM
611742107
317
50000
SH
SOLE
50000
0
0
MYLAN INC
NOTE 3.750% 9/1
628530AJ6
3668
825000
PRN
SOLE
825000
0
0
NEOTHETICS INC
COM
64066G101
2491
303420
SH
SOLE
303420
0
0
NIMBLE STORAGE INC
COM
65440R101
223
10000
SH
SOLE
10000
0
0
OMNICARE CAP TR II
PFD B TR 4.00%
68214Q200
19030
200000
SH
SOLE
200000
0
0
OMNICARE INC
DBCV 3.250%12/1
681904AL2
55
50000
PRN
SOLE
50000
0
0
ORBCOMM INC
COM
68555P100
299
50010
SH
SOLE
50010
0
0
OREXIGEN THERAPEUTICS INC
COM
686164104
548
70000
SH
SOLE
70000
0
0
ORTHOFIX INTL N V
COM
N6748L102
1292
36000
SH
SOLE
36000
0
0
OSIRIS THERAPEUTICS INC NEW
COM
68827R108
299
17000
SH
SOLE
17000
0
0
OXFORD IMMUNOTEC GLOBAL PLC
ORD SHS
G6855A103
419
29750
SH
SOLE
29750
0
0
PANDORA MEDIA INC
COM
698354107
405
25000
SH
SOLE
25000
0
0
PDF SOLUTIONS INC
COM
693282105
493
27500
SH
SOLE
27500
0
0
PIXELWORKS INC
COM NEW
72581M305
151
30000
SH
SOLE
30000
0
0
POWERSECURE INTL INC
COM
73936N105
395
30000
SH
SOLE
30000
0
0
PROSHARES TR
ULTRAPRO SHORT S
74348A442
720
20000
SH
SOLE
20000
0
0
PROSHARES TR
ULTRAPRO SHORT S
74348A442
1080
30000
SH
SOLE
30000
0
0
QUALITY SYS INC
COM
747582104
639
40000
SH
SOLE
40000
0
0
QUANTUM CORP
COM DSSG
747906204
200
125000
SH
SOLE
125000
0
0
RALLY SOFTWARE DEV CORP
COM
751198102
11
694
SH
SOLE
694
0
0
RINGCENTRAL INC
CL A
76680R206
613
40000
SH
SOLE
40000
0
0
RITE AID CORP
NOTE 8.500% 5/1
767754BU7
6768
2015000
PRN
SOLE
2015000
0
0
ROYAL BK SCOTLAND GROUP PLC
SP ADR L RP PF
780097788
140
5757
SH
SOLE
5757
0
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
751
730000
PRN
SOLE
730000
0
0
RUBICON PROJ INC
COM
78112V102
358
20000
SH
SOLE
20000
0
0
RUCKUS WIRELESS INC
COM
781220108
644
50000
SH
SOLE
50000
0
0
SALIX PHARMACEUTICALS INC
NOTE 1.500% 3/1
795435AE6
9968
3750000
PRN
SOLE
3750000
0
0
SHORETEL INC
COM
825211105
171
25000
SH
SOLE
25000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
46860
227000
SH
Put
SOLE
227000
0
0
SPECTRANETICS CORP
MTNF 2.625% 6/0
84760CAA5
2136
1650000
PRN
SOLE
1650000
0
0
SUNEDISON INC
COM
86732Y109
600
25000
SH
SOLE
25000
0
0
SUPERCOM LTD NEW
SHS NEW
M87095119
168
20000
SH
SOLE
20000
0
0
SUPERNUS PHARMACEUTICALS INC
COM
868459108
363
30000
SH
SOLE
30000
0
0
TANDEM DIABETES CARE INC
COM
875372104
568
45000
SH
SOLE
45000
0
0
TASER INTL INC
COM
87651B104
362
15000
SH
SOLE
15000
0
0
TEREX CORP NEW
NOTE 4.000% 6/0
880779AV5
14434
8778000
PRN
SOLE
8778000
0
0
TERRAPIN 3 ACQUISITION CORP
*W EXP 06/27/201
88104P112
25
78980
SH
SOLE
78980
0
0
TOWER SEMICONDUCTOR LTD
SHS NEW
M87915274
425
25000
SH
SOLE
25000
0
0
TUBEMOGUL INC
COM
898570106
416
30113
SH
SOLE
30113
0
0
TWITTER INC
COM
90184L102
626
12500
SH
SOLE
12500
0
0
UNILIFE CORP NEW
COM
90478E103
602
150000
SH
SOLE
150000
0
0
UNITED THERAPEUTICS CORP DEL
NOTE 1.000% 9/1
91307CAF9
5404
1500000
PRN
SOLE
1500000
0
0
VERACYTE INC
COM
92337F107
146
20000
SH
SOLE
20000
0
0
VIVINT SOLAR INC
COM
92854Q106
546
45000
SH
SOLE
45000
0
0
VOCERA COMMUNICATIONS INC
COM
92857F107
843
85000
SH
SOLE
85000
0
0
VONAGE HLDGS CORP
COM
92886T201
417
85000
SH
SOLE
85000
0
0
WEB COM GROUP INC
COM
94733A104
284
15000
SH
SOLE
15000
0
0
WEBMD HEALTH CORP
COM
94770V102
1030
23500
SH
SOLE
23500
0
0
WELLS FARGO & CO NEW
PERP PFD CNV A
949746804
3050
2500
SH
SOLE
2500
0
0
WESCO INTL INC
DBCV 6.000% 9/1
95082PAH8
16529
6690000
PRN
SOLE
6690000
0
0
XCERRA CORP
COM
98400J108
178
20000
SH
SOLE
20000
0
0
XILINX INC
COM
983919101
8
200
SH
SOLE
200
0
0
ZULILY INC
CL A
989774104
455
35000
SH
SOLE
35000
0
0
ZYNGA INC
CL A
98986T108
143
50000
SH
SOLE
50000
0
0