-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LfabbFTyX9TWdeP+nJ08j6bKqwjYSK6znXYmNJXIqYEZ5ZqQ7Wk3Zz2UWOSrRq4Y PD1laHs7MOrKNOYtL75mEw== 0000950123-09-059833.txt : 20091109 0000950123-09-059833.hdr.sgml : 20091109 20091109095302 ACCESSION NUMBER: 0000950123-09-059833 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091109 DATE AS OF CHANGE: 20091109 EFFECTIVENESS DATE: 20091109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIPER JAFFRAY COMPANIES CENTRAL INDEX KEY: 0001230245 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 300168701 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10776 FILM NUMBER: 091166795 BUSINESS ADDRESS: STREET 1: 800 NICOLLET MALL, SUITE 800 STREET 2: MAIL STOP J09N02 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612) 303-6000 MAIL ADDRESS: STREET 1: 800 NICOLLET MALL, SUITE 800 STREET 2: MAIL STOP J09N02 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 c54539e13fvhr.txt FORM 13F-HR -------------------------- Omb APPROVAL -------------------------- OMB Number: 3235-0006 Expires: October 31, 2003 Estimated average burden hours per response....23.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: _________ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Piper Jaffray Companies Address: 800 Nicollet Mall Suite 800 Minneapolis, MN 55402-7020 Form 13F File Number: 28-10776 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Tim Carter Title: Treasurer Phone: 612 303-6000 Signature, Place, and Date of Signing: Tim Carter Minneapolis, MN 11/09/09 - ------------------------------------- ----------------- -------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 40 Form 13F Information Table Value Total: $52,588 (thousands) List of Other Included Managers: None Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- --------------- --------- -------- ------------------ ---------- -------- --------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- 51JOB INC SP ADR REP COM 316827104 42 3,036 SH 3,036 0 0 AIRTRAN HLDGS INC NOTE 7.000% 7/0 00949PAB4 3,950 4,000,000 PRN 4,000,000 0 0 ALCOA INC NOTE 5.250% 3/1 013817AT8 5,500 2,500,000 PRN 2,500,000 0 0 ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 4,659 4,840,000 PRN 4,840,000 0 0 ALLIANCE HEALTHCARE SRVCS IN COM NEW 018606202 57 10,000 SH 10,000 0 0 AMERICAN MED SYS HLDGS INC NOTE 3.250% 7/0 02744MAA6 1,297 1,229,000 PRN 1,229,000 0 0 ASPECT MED SYS INC NOTE 2.500% 6/1 045235AB4 3,935 4,000,000 PRN 4,000,000 0 0 BRIDGEPOINT ED INC COM 10807M105 2 100 SH 100 0 0 CADENCE DESIGN SYSTEM INC NOTE 1.500%12/1 127387AF5 897 1,120,000 PRN 1,120,000 0 0 CHANGYOU COM LTD ADS REP CL A 15911M107 7 200 SH 200 0 0 CRAY INC NOTE 3.000%12/0 225223AB2 23 23,000 PRN 23,000 0 0 CYBERONICS INC COM 23251P102 2 100 SH 100 0 0 E M C CORP MASS NOTE 1.750%12/0 268648AM4 616 500,000 PRN 500,000 0 0 EARTHLINK INC NOTE 3.250%11/1 270321AA0 4,910 4,459,000 PRN 4,459,000 0 0 EXPEDIA INC DEL COM 30212P105 2 66 SH 66 0 0 FINANCIAL FED CORP COM 317492106 247 10,000 SH 10,000 0 0 GREAT ATLANTIC & PAC TEA INC NOTE 5.125% 6/1 390064AJ2 2,762 2,900,000 PRN 2,900,000 0 0 HOLOGIC INC FRNT 2.000%12/1 436440AA9 916 1,121,000 PRN 1,121,000 0 0 HOME INNS & HOTELS MGMT INC SPON ADR 43713W107 9 300 SH 300 0 0 INCYTE CORP NOTE 3.500% 2/1 45337CAF9 1,491 1,500,000 PRN 1,500,000 0 0 KENSEY NASH CORP COM 490057106 2 85 SH 85 0 0 KING PHARMACEUTICALS INC NOTE 1.250% 4/0 495582AJ7 258 300,000 PRN 300,000 0 0 LCA-VISION INC COM PAR $.001 501803308 1 100 SH 100 0 0 MACROVISION CORP NOTE 2.625% 8/1 555904AB7 519 400,000 PRN 400,000 0 0 MASIMO CORP COM 574795100 6 236 SH 236 0 0 MEDTRONIC INC NOTE 1.625% 4/1 585055AM8 1,975 2,000,000 PRN 2,000,000 0 0 MENTOR GRAPHICS CORP SDCV 6.250% 3/0 587200AF3 59 61,000 PRN 61,000 0 0 NANOSPHERE INC COM 63009F105 4 515 SH 515 0 0 NII HLDGS INC NOTE 3.125% 6/1 62913FAJ1 4,295 4,916,000 PRN 4,916,000 0 0 NYSE EURONEXT COM 629491101 1,837 63,578 SH 63,578 0 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 63 4,662 SH 4,662 0 0 PHARMACEUTICAL RES INC NOTE 2.875% 9/3 717125AC2 107 110,000 PRN 110,000 0 0 RF MICRODEVICES INC NOTE 1.000% 4/1 749941AJ9 147 168,000 PRN 168,000 0 0 ROPER INDS INC NEW NOTE 1/1 776696AA4 202 320,000 PRN 320,000 0 0 SAVVIS INC NOTE 3.000% 5/1 805423AA8 1,730 2,000,000 PRN 2,000,000 0 0 SMITH & WESSON HLDG CORP NOTE 4.000%12/1 831756AB7 2,328 2,500,000 PRN 2,500,000 0 0 SUNPOWER CORP DBCV 4.750% 4/1 867652AC3 803 625,000 PRN 625,000 0 0 SYNAPTICS INC NOTE 0.750%12/0 87157DAB5 21 21,000 PRN 21,000 0 0 TRANSOCEAN INC NOTE 1.625%12/1 893830AU3 547 550,000 PRN 550,000 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 6,360 4,000,000 PRN 4,000,000 0 0
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