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PSC

Piper Sandler & Co Portfolio holdings

AUM $135M
1-Year Est. Return 0.15%
This Fund
S&P 500
This Quarter Est. Return
+0.45%
1 Year Est. Return
+0.15%
3 Year Est. Return
-0.04%
5 Year Est. Return
-7.65%
10 Year Est. Return
–
AUM
$115M
AUM Growth
-$3.77M
Cap. Flow
-$35.6M
Cap. Flow %
-30.89%
Top 10 Hldgs %
75.49%
Holding
155
New
60
Increased
8
Reduced
16
Closed
59

Top Buys

Rank Stock Value
1
TVIX
VelocityShares Daily 2x VIX Short Term ETN
TVIX
+$1.89M
2
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$1.38M
3
RWM icon
ProShares Short Russell2000
RWM
+$1.26M
4
SDS icon
ProShares UltraShort S&P500
SDS
+$1.2M
5
FIO
FUSION-IO INC COM
FIO
+$900K

Top Sells

Rank Stock Value
1
UIS.PRA
UNISYS CORP 6.25% MANDATORY CNV PFD
UIS.PRA
+$5.16M
2
HIMX
Himax Technologies
HIMX
+$1.46M
3
AAPL icon
Apple
AAPL
+$1.28M
4
FTNT icon
Fortinet
FTNT
+$1.15M
5
GE icon
GE Aerospace
GE
+$841K

Sector Composition

Rank Sector Weight
1 Technology 7.88%
2 Consumer Discretionary 2.99%
3 Healthcare 1.93%
4 Financials 0.97%
5 Communication Services 0.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ACTA
126
DELISTED
Actua Corp
ACTA
– –
-35,000
Closed -$652K
DD
127
DELISTED
Du Pont De Nemours E I
DD
– –
-8,951
Closed -$552K
WSTL
128
DELISTED
Westell Technologies Inc
WSTL
– –
-15,938
Closed -$258K
NRF
129
DELISTED
NorthStar Realty Finance Corp.
NRF
– –
-30,300
Closed -$800K
NSPH
130
DELISTED
NANOSPHERE INC. COM NEW
NSPH
– –
-5,313
Closed -$243K
SUNE
131
DELISTED
SUNEDISON, INC COM
SUNE
– –
-50,000
Closed -$653K
MR
132
DELISTED
MINDRAY MED INTL LTD SPONSORED ADR REPSTG CL A
MR
– –
-300
Closed -$11K
SWI
133
DELISTED
SOLARWINDS INC COM STK (DE)
SWI
– –
-12,750
Closed -$482K
BRCM
134
DELISTED
BROADCOM CORP CL-A
BRCM
– –
-23,500
Closed -$697K
ADEP
135
DELISTED
Adept Technology Inc
ADEP
– –
-29,750
Closed -$502K
ARUN
136
DELISTED
ARUBA NETWORKS, INC.
ARUN
– –
-35,000
Closed -$627K
CNVR
137
DELISTED
CONVERSANT INC COM STK (DE)
CNVR
– –
-17,000
Closed -$397K
GTAT
138
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
– –
-29,750
Closed -$259K
UIS.PRA
139
DELISTED
UNISYS CORP 6.25% MANDATORY CNV PFD
UIS.PRA
– –
-57,767
Closed -$5.16M
RXII
140
PUT
DELISTED
GALENA BIOPHARMA INC COM
RXII
– –
-50,000
Closed -$248K
RSOL
141
DELISTED
REAL GOODS SOLAR, INC. CL A COM
RSOL
– –
-25,000
Closed -$76K
FNSR
142
DELISTED
Finisar Corp
FNSR
– –
-35,000
Closed -$837K
RESI
143
DELISTED
Front Yard Residential Corporation Common Stock
RESI
– –
-21,250
Closed -$640K
ETRM
144
DELISTED
EnteroMedics Inc.
ETRM
– –
-142
Closed -$303K
2 3 4 5
6

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UOP
University of Pittsburgh Pittsburgh, Pennsylvania $135M AUM 29.36% 1-Year Est. Return
BGI
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ICM
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EC
Enhancing Capital Harrisburg, Pennsylvania $135M AUM 25.85% 1-Year Est. Return
AV
Alamea Verwaltungs Edison, New Jersey $135M AUM 36.32% 1-Year Est. Return
GEH
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SA
Seneschal Advisors Tacoma, Washington $135M AUM 13.18% 1-Year Est. Return
JAA
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Piper Sandler & Co's Q1 2014 Portfolio in Review

As of Q1 2014, Piper Sandler & Co held 155 positions worth $115M, down 3.2% from $119M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Piper Sandler & Co withdrew a net $35.6M in Q1 2014, closing 59 positions and reducing 16 holdings. Its most notable exit was UNISYS CORP 6.25% MANDATORY CNV PFD, an estimated $5.16M position sold in full.

By sector, the portfolio is most concentrated in Technology at 7.9% of assets, down from 12% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Piper Sandler & Co opened a new position in VelocityShares Daily 2x VIX Short Term ETN worth $911K.

  • Piper Sandler & Co's largest Q1 2014 buy was VelocityShares Daily 2x VIX Short Term ETN: 1 share worth $911K.
  • Piper Sandler & Co added most to OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS in Q1 2014, an estimated $1.38M increase.
  • Piper Sandler & Co's biggest Q1 2014 reduction was Himax Technologies, cutting an estimated $1.46M.
  • Piper Sandler & Co fully exited UNISYS CORP 6.25% MANDATORY CNV PFD in Q1 2014, selling an estimated $5.16M.
  • Piper Sandler & Co's ten largest holdings make up 75% of its $115M portfolio in Q1 2014.
  • Piper Sandler & Co opened 60 new positions and closed 59 in Q1 2014.
  • Piper Sandler & Co's portfolio value fell 3.2% quarter-over-quarter to $115M.

Based on Piper Sandler & Co's 13F filing for Q1 2014, filed 15 May 2014.