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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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2013
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2012
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Assets
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Investments, at fair value:
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Mutual funds and equities
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$
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114,657
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$
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92,457
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Common/collective trusts
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36,597
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28,291
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Piper Jaffray Companies Stock Fund
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14,698
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12,645
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Total investments
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165,952
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133,393
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Cash and cash equivalents
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591
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168
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Receivables:
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Employer contributions receivable
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4,156
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3,939
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Notes receivable from participants
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1,509
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1,583
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Mutual fund rebates receivable
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10
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22
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Total receivables
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5,675
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5,544
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Total assets
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172,218
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139,105
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Liabilities
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Payables:
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Trade activity pending
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(286
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)
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(168
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)
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Administrative fees
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(198
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)
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(49
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)
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Total payables
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(484
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)
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(217
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)
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Total liabilities
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(484
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)
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(217
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)
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Net assets available for benefits at fair value
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171,734
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138,888
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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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(109
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)
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(330
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)
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Net assets available for benefits
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$
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171,625
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$
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138,558
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For the Year Ended December 31,
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(Dollars in thousands)
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2013
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2012
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Additions:
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Investment income:
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Net appreciation in fair value of investments
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$
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28,705
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$
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16,791
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Interest and dividends
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1,459
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1,840
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Mutual fund rebates
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105
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140
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Total investment income
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30,269
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18,771
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Interest income on notes receivable from participants
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65
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65
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Contributions:
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Employer – noncash
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4,156
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3,939
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Participants
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10,194
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9,379
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Rollovers and transfers in
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506
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479
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Total contributions
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14,856
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13,797
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Deductions:
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Participant withdrawals
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(11,628
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)
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(11,287
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)
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Administrative fees
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(209
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)
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(183
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)
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Trade activity pending
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(286
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)
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(168
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)
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Total deductions
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(12,123
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)
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(11,638
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)
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Net increase in net assets available for benefits
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33,067
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20,995
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Net assets available for benefits, beginning of year
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138,558
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117,563
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Net assets available for benefits, end of year
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$
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171,625
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$
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138,558
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(Dollars in thousands)
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2013
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2012
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Mutual funds and equities
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$
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20,210
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$
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9,500
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Common/collective trusts
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5,841
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2,380
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Piper Jaffray Companies Stock Fund
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2,654
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4,911
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Net appreciation in fair value of investments
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$
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28,705
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$
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16,791
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(Dollars in thousands)
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2013
|
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2012
|
||||
Allianz NFJ Small Cap Value Fund
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$
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15,801
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$
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11,936
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American Europacific Growth Fund
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11,790
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9,555
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JP Morgan Large Cap Growth Fund
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16,682
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12,543
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Lord Abbett Developing Growth Fund
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14,037
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8,877
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Oppenheimer Value
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10,438
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8,025
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PIMCO Total Return Fund
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16,706
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17,673
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Piper Jaffray Companies Stock Fund
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14,698
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12,645
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Wells Fargo Stable Return Fund
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13,405
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11,710
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Wells Fargo S&P 500 Index Fund
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21,775
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15,494
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Investment Assets at Fair Value as of December 31, 2013
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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 and equities
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$
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114,657
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$
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—
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$
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—
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$
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114,657
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Common/collective trusts
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—
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36,597
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—
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36,597
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Piper Jaffray Companies Stock Fund
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14,698
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—
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—
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14,698
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Total investments
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129,355
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36,597
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—
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165,952
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Cash and cash equivalents
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591
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—
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—
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591
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Total investments, cash and cash equivalents
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$
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129,946
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$
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36,597
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$
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—
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$
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166,543
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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 and equities
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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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105,102
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28,291
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—
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133,393
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Cash and cash equivalents
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168
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—
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—
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168
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Total investments, cash and cash equivalents
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$
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105,270
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$
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28,291
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$
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—
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$
|
133,561
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(Dollars in thousands)
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2013
|
|
2012
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||||
Net assets available for benefits per the financial statements
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$
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171,625
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$
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138,558
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Adjustment of common/collective trust to fair value
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109
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330
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Net assets available for benefits per the Form 5500
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$
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171,734
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$
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138,888
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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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81,876
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units
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$
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1,417,276
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Wells Fargo Stable Return Fund
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261,502
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units
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13,404,822
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Wells Fargo S&P 500 Index Fund
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313,026
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units
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21,775,269
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36,597,367
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Mutual Funds and Equities:
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Advisory Research All Cap Value Fund *
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257,492
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shares
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4,161,077
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Advisory Research Global Value Fund*
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54,651
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shares
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727,957
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Advisory Research International Small Cap Value Fund *
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188,246
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shares
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2,341,780
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Advisory Research MLP & Energy Income Fund*
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178,268
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shares
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2,240,825
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Allianz NFJ Small Cap Value Fund
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477,524
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shares
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15,801,267
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American Depository Receipts
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25,736
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shares
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241,688
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American Europacific Growth Fund
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240,457
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shares
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11,789,599
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American Funds High Income
|
|
108,510
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|
shares
|
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1,232,668
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American Funds US Gov. Sec.
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|
94,999
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shares
|
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1,284,388
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American Funds Investment Company of America
|
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69,977
|
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shares
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2,567,453
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GAMCO Global Gold, Natural Resources & Income Trust
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6,000
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shares
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54,120
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JP Morgan Large Cap Growth Fund
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521,138
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shares
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16,681,637
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Lord Abbett Developing Growth Fund
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495,473
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shares
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14,036,762
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Neuberger & Berman Equity Fund
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24,461
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shares
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853,673
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Oppenheimer Developing Markets
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153,165
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shares
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5,752,894
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Oppenheimer Value
|
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345,964
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shares
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10,437,729
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PIMCO Total Return Fund
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1,562,731
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shares
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16,705,590
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ProShares UltraShort S&P 500
|
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7,500
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|
shares
|
|
222,450
|
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ProShares VIX Short-Term Futures ETF
|
|
5,000
|
|
shares
|
|
142,650
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Russell Real Estate Securities
|
|
66,914
|
|
shares
|
|
2,439,681
|
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Vanguard Global Equity Fund
|
|
205,618
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shares
|
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4,825,851
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Other Equities
|
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7,294
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|
shares
|
|
115,285
|
|
|
|
|
|
|
|
114,657,024
|
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||
|
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Stock Fund:
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|
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|
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Piper Jaffray Companies Stock Fund *
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380,294
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|
units
|
|
14,697,683
|
|
|
Total investments
|
|
|
|
|
165,952,074
|
|
||
|
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|
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|
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Participant loans (interest rate range: 4.25-6.25%, maturity date range: 1/15/2014-11/30/2025) *
|
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1,508,569
|
|
|||||
|
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|
|
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|
|||
Total assets held at end of year
|
|
|
|
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$
|
167,460,643
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*
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Indicates a party-in-interest to the Plan
|
PIPER JAFFRAY COMPANIES RETIREMENT PLAN
|
By: Piper Jaffray Companies, Administrator
|
|
|
/s/ Christine N. Esckilsen
|
Christine N. Esckilsen
|
Global Head of Human Capital
|
Exhibit
|
|
|
|
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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