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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Piper Jaffray Companies | NYSE:PJC | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 79.62 | 0 | 01:00:00 |
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þ
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE
ACT OF 1934
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¨
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE
ACT OF 1934
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A.
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Full title of the plan and the address of the plan, if different from that
of the issuer named below:
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Audited Financial Statements
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Supplemental Schedule
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December 31,
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December 31,
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(Dollars in thousands)
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2012
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2011
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Assets
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Investments, at fair value:
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Mutual funds
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$
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92,457
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$
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80,053
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Common/collective trusts
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28,291
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24,047
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Piper Jaffray Companies Stock Fund
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12,645
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8,385
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Total investments
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133,393
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112,485
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Cash
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168
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173
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Receivables:
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Employer contributions receivable
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3,939
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3,814
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Notes receivable from participants
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1,583
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1,510
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Mutual fund rebates receivable
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22
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—
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Total receivables
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5,544
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5,324
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Total assets
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139,105
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117,982
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Liabilities
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Payables:
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Trade activity pending
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(168
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)
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(173
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)
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Administrative Fees
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(49
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)
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—
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Total payables
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(217
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)
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(173
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)
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Total liabilities
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(217
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)
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(173
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)
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Net assets available for benefits at fair value
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138,888
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117,809
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Adjustment from fair value to contract value for interest in collective trust relating to fully benefit-responsive investment contracts
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(330
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)
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(246
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)
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Net assets available for benefits
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$
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138,558
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$
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117,563
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For the Year Ended December 31,
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(Dollars in thousands)
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2012
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2011
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Additions:
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Investment income:
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Net appreciation/(depreciation) in fair value of investments
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$
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16,791
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$
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(9,434
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)
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Interest and dividends
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1,840
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1,528
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Mutual fund rebates
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140
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175
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Total investment income/(loss)
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18,771
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(7,731
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)
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Interest income on notes receivable from participants
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65
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61
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Contributions:
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Employer – noncash
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3,939
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3,814
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Participants
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9,379
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9,667
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Rollovers and transfers in
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479
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1,204
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Total contributions
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13,797
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14,685
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Deductions:
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Participant withdrawals
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(11,287
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)
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(12,646
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)
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Administrative fees
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(183
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)
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(193
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)
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Trade activity pending
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(168
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)
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(173
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)
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Total deductions
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(11,638
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)
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(13,012
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)
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Net increase/(decrease) in net assets available for benefits
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20,995
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(5,997
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)
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Net assets available for benefits, beginning of year
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$
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117,563
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123,560
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Net assets available for benefits, end of year
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$
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138,558
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$
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117,563
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(Dollars in thousands)
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2012
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2011
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Mutual funds
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$
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9,500
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$
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(5,152
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)
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Common/collective trusts
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2,380
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480
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Piper Jaffray Companies Stock Fund
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4,911
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(4,762
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)
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Net appreciation/(depreciation) in fair value of investments
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$
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16,791
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$
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(9,434
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)
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(Dollars in thousands)
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2012
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2011
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||||
Allianz NFJ Small Cap Value Fund
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$
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11,936
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$
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11,542
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American Europacific Growth Fund
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9,555
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8,241
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American Growth Fund of America
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***
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11,094
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JP Morgan Large Cap Growth Fund
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12,543
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***
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Lord Abbett Developing Growth Fund
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8,877
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8,662
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Oppenheimer Value
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8,025
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6,828
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PIMCO Total Return Fund
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17,673
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13,878
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Piper Jaffray Companies Stock Fund
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12,645
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8,385
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Wells Fargo Stable Return Fund
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11,710
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9,845
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Wells Fargo S&P 500 Index Fund
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15,494
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13,302
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Investment Assets at Fair Value as of December 31, 2012
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(Dollars in thousands)
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Level I
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Level II
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Level III
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Total
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Investments:
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Mutual funds
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$
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92,457
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$
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—
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$
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—
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$
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92,457
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Common/collective trusts
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—
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28,291
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—
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28,291
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|
||||
Piper Jaffray Companies Stock Fund
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12,645
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—
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—
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12,645
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Total investments
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$
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105,102
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$
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28,291
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$
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—
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$
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133,393
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Investment Assets at Fair Value as of December 31, 2011
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(Dollars in thousands)
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Level I
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Level II
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Level III
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Total
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||||||||
Investments:
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Mutual funds
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$
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80,053
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$
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—
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$
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—
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$
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80,053
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Common/collective trusts
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—
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24,047
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—
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24,047
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Piper Jaffray Companies Stock Fund
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8,385
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—
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—
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8,385
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Total investments
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$
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88,438
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$
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24,047
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$
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—
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$
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112,485
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(Dollars in thousands)
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2012
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2011
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Net assets available for benefits per the financial statements
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$
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138,558
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$
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117,563
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Adjustment of common/collective trust to fair value
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330
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246
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Net assets available for benefits per the Form 5500
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$
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138,888
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$
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117,809
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Number of
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Market
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Description
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Shares/Units
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Value
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Common/Collective Trusts:
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Advisory Research Small Cap Value Collective Trust Fund *
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82,621
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units
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$
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1,086,470
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Wells Fargo Stable Return Fund
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227,561
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units
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11,709,914
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Wells Fargo S&P 500 Index Fund
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294,848
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units
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15,494,391
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28,290,775
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Mutual Funds:
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Advisory Research All Cap Value Fund *
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229,806
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shares
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2,946,117
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Advisory Research Global Value Fund*
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29,403
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shares
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341,371
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Advisory Research International Small Cap Value Fund *
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176,515
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shares
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1,901,070
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Allianz NFJ Small Cap Value Fund
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420,582
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shares
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11,936,108
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American Europacific Growth Fund
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232,025
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shares
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9,554,793
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American Funds High Income
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139,159
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shares
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1,580,842
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American Funds US Gov. Sec.
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127,401
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shares
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1,810,364
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American Investment Company of America
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59,403
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|
shares
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1,791,005
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FAMCO MLP & Energy Income Fund*
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130,631
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shares
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1,455,229
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JP Morgan Large Cap Growth Fund
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520,678
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shares
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12,543,142
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Lord Abbett Developing Growth Fund
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413,458
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|
shares
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8,876,935
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Neuberger & Berman Equity Fund
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11,682
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|
shares
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316,826
|
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Oppenheimer Developing Markets
|
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164,514
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|
shares
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|
5,738,253
|
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Oppenheimer Value
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342,665
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|
shares
|
|
8,025,223
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PIMCO Total Return Fund
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1,572,347
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shares
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17,673,185
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Russell Real Estate Securities
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62,496
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shares
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2,459,233
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Vanguard Global Equity Fund
|
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187,840
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shares
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3,506,980
|
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92,456,676
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Stock Fund:
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Piper Jaffray Companies Stock Fund *
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398,187
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units
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12,645,384
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Total investments
|
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|
|
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133,392,835
|
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Participant loans (interest rate range: 4.0-9.25%, maturity date range: 1/31/2013-11/30/2025) *
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1,583,091
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|||||
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Total assets held at end of year
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$
|
134,975,926
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*
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Indicates a party-in-interest to the Plan
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PIPER JAFFRAY COMPANIES RETIREMENT PLAN
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By: Piper Jaffray Companies, Administrator
|
|
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/s/ Christine N. Esckilsen
|
Christine N. Esckilsen
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Global Head of Human Capital
|
Exhibit
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Method of
|
Number
|
|
Description
|
|
Filing
|
23.1
|
|
Consent of Independent Registered Public Accounting Firm
|
|
Filed herewith
|
1 Year Piper Jaffray Companies Chart |
1 Month Piper Jaffray Companies Chart |
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