SEC Filing Summary: Piper Jaffray Companies (13F-HR)
Business Context and Reporting Period
This Form 13F-HR is a quarterly holdings report filed by Piper Jaffray Companies (Institutional Investment Manager) for the period ended March 31, 2009. The report was signed by Tim Carter, Treasurer, on April 24, 2009. It details the manager's reportable equity and debt securities holdings.
Key Financial Metrics
As a 13F filing, this document reports portfolio holdings rather than the company's own operating financials (revenue, profit, cash flow). Key metrics from the filing include:
- Total Reportable Value: $9,071,000 (reported in thousands).
- Total Number of Holdings: 20 entries.
- Asset Composition: The portfolio consists of common stocks and corporate notes (debt securities).
- Largest Holdings by Value:
- NYSE Euronext (Common Stock): $1,138,000
- OCWEN Financial Corp (Note 3.250%): $1,995,000
- Magma Design Automation (Note 2.000%): $1,793,000
- Macrovision Corp (Note 2.625%): $1,828,000
Material Changes and Portfolio Composition
The filing does not provide comparative data against the prior quarter (December 31, 2008) to determine material changes in position size or value. The portfolio is diversified across various sectors including healthcare (Acadia, Immucor, Masimo), technology (Sandisk, RF Microdevices), and financial services (NYSE Euronext, Ocwen). Notably, the manager holds significant positions in corporate debt notes from Macrovision, Magma Design Automation, and Ocwen Financial.
Guidance, Risks, and Management Commentary
This filing type (13F-HR) does not contain management commentary, forward-looking guidance, risk factors, or contingency disclosures. It is a statutory disclosure of holdings only.
Investor Verification Checklist
- Verify the total reportable value of $9,071,000 against the sum of individual holdings to ensure accuracy.
- Confirm the specific CUSIP numbers for the debt securities (Macrovision, Magma, Ocwen) to assess credit risk exposure.
- Note that this report covers only reportable holdings; it does not reflect the full balance sheet or liquidity position of Piper Jaffray Companies.
- Check subsequent filings to track changes in the 20 holdings listed, as no prior period comparison is available in this document.