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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
-3.6%
1 Year Est. Return
+0.15%
3 Year Est. Return
-0.04%
5 Year Est. Return
-7.65%
10 Year Est. Return
–
AUM
$93.5M
AUM Growth
-$73.3M
Cap. Flow
-$82.1M
Cap. Flow %
-87.75%
Top 10 Hldgs %
75.11%
Holding
169
New
71
Increased
4
Reduced
22
Closed
63

Top Buys

Rank Stock Value
1
VTVT icon
vTv Therapeutics
VTVT
+$6.75M
2
AMBA icon
Ambarella
AMBA
+$708K
3
EW icon
Edwards Lifesciences
EW
+$652K
4
LMNX
Luminex Corp
LMNX
+$624K
5
IBB icon
iShares Biotechnology ETF
IBB
+$576K

Top Sells

Rank Stock Value
1
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$19.6M
2
CTRX
CATAMARAN CORP COM STK (CDA)
CTRX
+$2.75M
3
VXX
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
+$2.51M
4
TZA icon
Direxion Daily Small Cap Bear 3x ETF
TZA
+$1.31M
5
IMMR icon
Immersion
IMMR
+$919K

Sector Composition

Rank Sector Weight
1 Healthcare 15.55%
2 Technology 8.46%
3 Industrials 1.33%
4 Consumer Discretionary 1.27%
5 Communication Services 0.77%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LCI
126
DELISTED
Lannett Company, Inc.
LCI
– –
-3,000
Closed -$713K
VIVO
127
DELISTED
Meridian Bioscience Inc
VIVO
– –
-25,000
Closed -$466K
BNFT
128
DELISTED
Benefitfocus, Inc.
BNFT
– –
-4,000
Closed -$175K
CLVS
129
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-3,500
Closed -$308K
MNDT
130
DELISTED
Mandiant, Inc. Common Stock
MNDT
– –
-5,000
Closed -$245K
SFUN
131
DELISTED
Fang Holdings Limited American Depositary Shares (each representing ten Class A Ordinary Shares)
SFUN
– –
-800
Closed -$336K
EVFM
132
DELISTED
Evofem Biosciences, Inc. Common Stock
EVFM
– –
-587
Closed -$475K
FIT
133
DELISTED
Fitbit, Inc. Class A common stock
FIT
– –
-7,500
Closed -$287K
ENT
134
DELISTED
Global Eagle Entertainment Inc.
ENT
– –
-1,000
Closed -$326K
AKRX
135
DELISTED
Akorn Inc
AKRX
– –
-7,000
Closed -$306K
JCP
136
DELISTED
J.C. Penney Company, Inc.
JCP
– –
-27,500
Closed -$233K
JMEI
137
DELISTED
Jumei International Holding Limited American depositary shares, each representing ten Class A ordina
JMEI
– –
-500
Closed -$114K
CARB
138
DELISTED
Carbonite Inc
CARB
– –
-22,500
Closed -$266K
MDSO
139
DELISTED
Medidata Solutions, Inc.
MDSO
– –
-6,000
Closed -$326K
MXWL
140
DELISTED
Maxwell Technologies Inc
MXWL
– –
-30,000
Closed -$179K
CBK
141
DELISTED
Christopher & Banks Corporation
CBK
– –
-75,000
Closed -$301K
IMPV
142
DELISTED
Imperva, Inc.
IMPV
– –
-5,000
Closed -$339K
EVHC
143
DELISTED
Envision Healthcare Holdings Inc
EVHC
– –
-5,010
Closed -$592K
ABCO
144
DELISTED
Advisory Board Co
ABCO
– –
-6,000
Closed -$328K
SHOR
145
DELISTED
ShoreTel, Inc.
SHOR
– –
-25,000
Closed -$170K
WBMD
146
DELISTED
WebMD Health Corp.
WBMD
– –
-15,000
Closed -$664K
FUEL
147
DELISTED
Rocket Fuel Inc.
FUEL
– –
-45,000
Closed -$369K
NMBL
148
DELISTED
Nimble Storage, Inc.
NMBL
– –
-7,500
Closed -$210K
LOCK
149
DELISTED
LifeLock, Inc.
LOCK
– –
-42,500
Closed -$697K
ININ
150
DELISTED
Interactive Intelligence Group, inc.
ININ
– –
-5,000
Closed -$222K
3 4 5
6
7

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ICM
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EC
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GEH
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JAA
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Piper Sandler & Co's Q3 2015 Portfolio in Review

As of Q3 2015, Piper Sandler & Co held 169 positions worth $93.5M, down 44% from $167M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Piper Sandler & Co withdrew a net $82.1M in Q3 2015, closing 63 positions and reducing 22 holdings. Its most notable exit was OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS, an estimated $19.6M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 16% of assets, up from 5.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, Piper Sandler & Co opened a new position in vTv Therapeutics worth $5.05M.

  • Piper Sandler & Co's largest Q3 2015 buy was vTv Therapeutics: 19,381 shares worth $5.05M.
  • Piper Sandler & Co added most to Twitter, Inc. in Q3 2015, an estimated $150K increase.
  • Piper Sandler & Co's biggest Q3 2015 reduction was Direxion Daily Small Cap Bear 3x ETF, cutting an estimated $1.31M.
  • Piper Sandler & Co fully exited OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS in Q3 2015, selling an estimated $19.6M.
  • Piper Sandler & Co's ten largest holdings make up 75% of its $93.5M portfolio in Q3 2015.
  • Piper Sandler & Co opened 71 new positions and closed 63 in Q3 2015.
  • Piper Sandler & Co's portfolio value fell 44% quarter-over-quarter to $93.5M.

Based on Piper Sandler & Co's 13F filing for Q3 2015, filed 16 Nov 2015.