0001104659-20-125601.txt : 20201116 0001104659-20-125601.hdr.sgml : 20201116 20201116114516 ACCESSION NUMBER: 0001104659-20-125601 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIER 88 INVESTMENT PARTNERS LLC CENTRAL INDEX KEY: 0001697366 IRS NUMBER: 463506954 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17645 FILM NUMBER: 201314726 BUSINESS ADDRESS: STREET 1: 230 CALIFORNIA STREET, SUITE 410 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-814-8840 MAIL ADDRESS: STREET 1: 230 CALIFORNIA STREET, SUITE 410 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001697366 XXXXXXXX 09-30-2020 09-30-2020 false PIER 88 INVESTMENT PARTNERS LLC

230 California Street, Suite 410 San Francisco CA 94111

13F HOLDINGS REPORT 028-17645 N Sean Aurigemma 201-424-9144 /s/ Sean Aurigemma San Francisco CA 11-09-2020 1 172 329630 1 0001387508 028-12257 PRELUDE CAPITAL MANAGEMENT, LLC INFORMATION TABLE 2 infotable.xml American Electric Power Co Inc Preferred Stock 025537127 13910 286730 SH SOLE 286730 0 0 Bank of America Corp Convertible Preferred 060505682 16502 11090 SH SOLE 0 0 11090 Boston Scientific Corp Preferred Stock 101137206 16015 143270 SH SOLE 143270 0 0 Chegg Inc Common Stock 163092109 692 9680 SH SOLE 9680 0 0 DTE Energy Co Preferred Stock 233331842 13674 302800 SH SOLE 302800 0 0 Danaher Corp Preferred Stock 235851300 6823 4623 SH SOLE 4623 0 0 Deckers Outdoor Corp Common Stock 243537107 1134 5155 SH SOLE 5155 0 0 DexCom Inc Common Stock 252131107 956 2320 SH SOLE 2320 0 0 DocuSign Inc Common Stock 256163106 768 3570 SH SOLE 3570 0 0 Dynatrace Holdings LLC Common Stock 268150109 74 1800 SH SOLE 1800 0 0 Euronet Worldwide Inc Common Stock 298736109 208 2280 SH SOLE 2280 0 0 Freshpet Inc Common Stock 358039105 1096 9820 SH SOLE 9820 0 0 Glu Mobile Inc Common Stock 379890106 565 73570 SH SOLE 73570 0 0 Heron Therapeutics Inc Common Stock 427746102 558 37680 SH SOLE 37680 0 0 HubSpot Inc Common Stock 443573100 1511 5170 SH SOLE 5170 0 0 Immunomedics Inc Common Stock 452907108 1831 21535 SH SOLE 21535 0 0 Iovance Biotherapeutics Inc Common Stock 462260100 1010 30675 SH SOLE 30675 0 0 Lattice Semiconductor Corp Common Stock 518415104 1211 41810 SH SOLE 41810 0 0 Livongo Health Inc Common Stock 539183103 174 1240 SH SOLE 1240 0 0 Model N Inc Common Stock 607525102 202 5739 SH SOLE 5739 0 0 Monolithic Power Systems Inc Common Stock 609839105 1356 4848 SH SOLE 4848 0 0 NuVasive Inc Common Stock 670704105 78 1605 SH SOLE 1605 0 0 Okta Inc Common Stock 679295105 483 2260 SH SOLE 2260 0 0 Ontrak Inc Common Stock 683373104 728 12125 SH SOLE 12125 0 0 ProofPoint Inc Common Stock 743424103 591 5600 SH SOLE 5600 0 0 Silicon Laboratories Inc Common Stock 826919102 196 2001 SH SOLE 2001 0 0 Southern Co/The Preferred Stock 842587602 12646 271722 SH SOLE 271722 0 0 Splunk Inc Common Stock 848637104 889 4725 SH SOLE 4725 0 0 Stanley Black & Decker Inc Common Stock 854502101 316 1946 SH SOLE 1946 0 0 Stanley Black & Decker Inc Preferred Stock 854502846 9794 97066 SH SOLE 97066 0 0 Stitch Fix Inc Common Stock 860897107 111 4105 SH SOLE 4105 0 0 Tabula Rasa HealthCare Inc Common Stock 873379101 127 3120 SH SOLE 3120 0 0 Tandem Diabetes Care Inc Common Stock 875372203 242 2135 SH SOLE 2135 0 0 Tradeweb Markets Inc Common Stock 892672106 661 11405 SH SOLE 11405 0 0 TriNet Group Inc Common Stock 896288107 808 13620 SH SOLE 13620 0 0 Wells Fargo & Co Convertible Preferred 949746804 15545 11583 SH SOLE 0 0 11583 Evo Payments Inc Common Stock 26927E104 1033 41559 SH SOLE 41559 0 0 Beyond Meat Inc Common Stock 08862E109 911 5485 SH SOLE 5485 0 0 ASGN Inc Common Stock 00191U102 976 15360 SH SOLE 15360 0 0 Adeptus Health Inc Common Stock 00650F109 1127 23175 SH SOLE 23175 0 0 Alteryx Inc Common Stock 02156B103 223 1965 SH SOLE 1965 0 0 Alteryx Inc Convertible Bonds 02156BAF0 5683 5690000 PRN SOLE 0 0 5690000 Apollo Commercial Real Estate Finance Inc Convertible Bonds 03762UAB1 2425 2598000 PRN SOLE 0 0 2598000 Benefitfocus Inc Convertible Bonds 08180DAB2 3303 4216000 PRN SOLE 0 0 4216000 Bluebird Bio Inc Common Stock 09609G100 492 9115 SH SOLE 9115 0 0 Chewy Inc Common Stock 16679L109 821 14970 SH SOLE 14970 0 0 Cloudflare Inc Common Stock 18915M107 293 7130 SH SOLE 7130 0 0 Coupa Software Inc Common Stock 22266L106 709 2585 SH SOLE 2585 0 0 Coupa Software Inc Convertible Bonds 22266LAC0 775 425000 PRN SOLE 0 0 425000 Crowdstrike Holdings Inc Common Stock 22788C105 200 1455 SH SOLE 1455 0 0 Denali Therapeutics Inc Common Stock 24823R105 956 26695 SH SOLE 26695 0 0 DexCom Inc Convertible Bonds 252131AH0 1238 490000 PRN SOLE 0 0 490000 DocuSign Inc Convertible Bonds 256163AB2 1903 630000 PRN SOLE 0 0 630000 Dominion Resources Inc/VA Preferred Stock 25746U133 14915 146570 SH SOLE 146570 0 0 Echo Global Logistics Inc Common Stock 27875T101 794 30803 SH SOLE 30803 0 0 eHealth Inc Common Stock 28238P109 101 1280 SH SOLE 1280 0 0 Equinox Gold Corp Common Stock 29446Y502 130 11105 SH SOLE 11105 0 0 Etsy Inc Common Stock 29786A106 814 6696 SH SOLE 6696 0 0 Euronet Worldwide Inc Convertible Bonds 298736AL3 11064 11555000 PRN SOLE 0 0 11555000 Evoqua Water Technologies Corp Common Stock 30057T105 1589 74892 SH SOLE 74892 0 0 Farmland Partners Inc Common Stock 31154R109 188 28268 SH SOLE 28268 0 0 Fastly Inc Common Stock 31188V100 683 7290 SH SOLE 7290 0 0 Fate Therapeutics Inc Common Stock 31189P102 903 22595 SH SOLE 22595 0 0 FireEye Inc Convertible Bonds 31816QAF8 2512 2710000 PRN SOLE 0 0 2710000 Fortive Corp Convertible Bonds 34959JAK4 12330 12305000 PRN SOLE 0 0 12305000 Goosehead Insurance Inc Common Stock 38267D109 494 5700 SH SOLE 5700 0 0 HealthEquity Inc Common Stock 42226A107 655 12755 SH SOLE 12755 0 0 Illumina Inc Convertible Bonds 452327AH2 1214 945000 PRN SOLE 0 0 945000 Inovalon Holdings Inc Common Stock 45781D101 1186 44835 SH SOLE 44835 0 0 Insulet Corp Common Stock 45784P101 1344 5680 SH SOLE 5680 0 0 Meritor Inc Common Stock 59001K100 180 8600 SH SOLE 8600 0 0 Meritor Inc Convertible Bonds 59001KAF7 6571 6330000 PRN SOLE 0 0 6330000 Microchip Technology Inc Convertible Bonds 595017AF1 4600 2986000 PRN SOLE 0 0 2986000 Micron Technology Inc Convertible Bonds 595112AX1 1308 280000 PRN SOLE 0 0 280000 Mirati Therapeutics Inc Common Stock 60468T105 356 2145 SH SOLE 2145 0 0 Neurocrine Biosciences Inc 2.250000 05/15/2024 Convertible Bonds 64125CAD1 454 330000 PRN SOLE 0 0 330000 New Mountain Finance Corp Convertible Bonds 647551AC4 4326 4320000 PRN SOLE 0 0 4320000 New Relic Inc Common Stock 64829B100 184 3265 SH SOLE 3265 0 0 New Relic Inc Convertible Bonds 64829BAB6 3835 4010000 PRN SOLE 0 0 4010000 NextEra Energy Inc Preferred Stock 65339F770 4513 96660 SH SOLE 96660 0 0 NextEra Energy Inc Preferred Stock 65339F796 10425 192490 SH SOLE 192490 0 0 Novellus Systems Inc Convertible Bonds 670008AD3 2844 273000 PRN SOLE 0 0 273000 NuVasive Inc Convertible Bonds 670704AG0 1005 970000 PRN SOLE 0 0 970000 Okta Inc Convertible Bonds 679295AD7 1001 760000 PRN SOLE 0 0 760000 Pluralsight Inc Common Stock 72941B106 464 27100 SH SOLE 27100 0 0 Pluralsight Inc Convertible Bonds 72941BAB2 8660 9840000 PRN SOLE 0 0 9840000 Proofpoint Inc Convertible Bonds 743424AF0 6063 6090000 PRN SOLE 0 0 6090000 PROS Holdings Inc Common Stock 74346Y103 82 2570 SH SOLE 2570 0 0 Prospect Capital Corp Convertible Bonds 74348TAR3 207 205000 PRN SOLE 0 0 205000 Qorvo Inc Common Stock 74736K101 185 1435 SH SOLE 1435 0 0 Retrophin Inc Convertible Bonds 761299AB2 1318 1550000 PRN SOLE 0 0 1550000 RingCentral Inc Common Stock 76680R206 518 1885 SH SOLE 1885 0 0 SPDR Gold Shares ETF 78463V107 655 3700 SH SOLE 3700 0 0 ServiceNow Inc Convertible Bonds 81762PAC6 1519 420000 PRN SOLE 0 0 420000 Silicon Laboratories Inc Convertible Bonds 826919AB8 1218 1015000 PRN SOLE 0 0 1015000 Slack Technologies Inc Common Stock 83088V102 145 5410 SH SOLE 5410 0 0 Southwest Airlines Co Convertible Bonds 844741BG2 8843 6775000 PRN SOLE 0 0 6775000 Spirit Realty Capital Inc Convertible Bonds 84860WAB8 4710 4640000 PRN SOLE 0 0 4640000 Splunk Inc Convertible Bonds 848637AD6 1494 1035000 PRN SOLE 0 0 1035000 Switch Inc Common Stock 87105L104 530 33960 SH SOLE 33960 0 0 TPG Specialty Lending Inc Convertible Bonds 87265KAD4 2864 2780000 PRN SOLE 0 0 2780000 Teladoc Inc Common Stock 87918A105 960 4380 SH SOLE 4380 0 0 10X Genomics Inc Common Stock 88025U109 844 6770 SH SOLE 6770 0 0 Trex Co Inc Common Stock 89531P105 843 11780 SH SOLE 11780 0 0 Twist Bioscience Corp Common Stock 90184D100 1026 13500 SH SOLE 13500 0 0 Ultragenyx Pharmaceutical Inc Common Stock 90400D108 750 9130 SH SOLE 9130 0 0 Vanguard Industrials ETF ETF 92204A603 883 6100 SH SOLE 6100 0 0 Anthem Inc Convertible Bonds 94973VBG1 4777 1275000 PRN SOLE 0 0 1275000 Western Digital Corp Convertible Bonds 958102AP0 10454 11010000 PRN SOLE 0 0 11010000 Workday Inc Convertible Bonds 98138HAF8 1098 715000 PRN SOLE 0 0 715000 Zendesk Inc Common Stock 98936J101 1079 10487 SH SOLE 10487 0 0 Zscaler Inc Common Stock 98980G102 902 6410 SH SOLE 6410 0 0 Mimecast Ltd Common Stock G14838109 1017 21675 SH SOLE 21675 0 0 Helen of Troy Ltd Common Stock G4388N106 971 5020 SH SOLE 5020 0 0 Horizon Pharma Plc Common Stock G46188101 2074 26693 SH SOLE 26693 0 0 Pagseguro Digital Ltd Common Stock G68707101 605 16035 SH SOLE 16035 0 0 CRISPR Therapeutics AG Common Stock H17182108 556 6645 SH SOLE 6645 0 0 CyberArk Software Ltd Common Stock M2682V108 139 1340 SH SOLE 1340 0 0 Wix.com Ltd Common Stock M98068105 826 3240 SH SOLE 3240 0 0 Etsy Inc Common Stock 29786A106 437 3596 SH OTR 1 0 3596 0 HubSpot Inc Common Stock 443573100 865 2959 SH OTR 1 0 2959 0 Model N Inc Common Stock 607525102 325 9225 SH OTR 1 0 9225 0 Monolithic Power Systems Inc Common Stock 609839105 808 2888 SH OTR 1 0 2888 0 Zendesk Inc Common Stock 98936J101 945 9180 SH OTR 1 0 9180 0 Wix.com Ltd Common Stock M98068105 323 1269 SH OTR 1 0 1269 0 Mimecast Ltd Common Stock G14838109 207 4420 SH OTR 1 0 4420 0 Silicon Laboratories Inc Convertible Bonds 826919AB8 804 670000 PRN OTR 1 0 0 670000 ASGN Inc Common Stock 00191U102 782 12300 SH OTR 1 0 12300 0 Chegg Inc Common Stock 163092109 313 4387 SH OTR 1 0 4387 0 Echo Global Logistics Inc Common Stock 27875T101 189 7345 SH OTR 1 0 7345 0 Insulet Corp Common Stock 45784P101 482 2037 SH OTR 1 0 2037 0 Teladoc Inc Common Stock 87918A105 279 1274 SH OTR 1 0 1274 0 Ultragenyx Pharmaceutical Inc Common Stock 90400D108 191 2320 SH OTR 1 0 2320 0 Denali Therapeutics Inc Common Stock 24823R105 326 9100 SH OTR 1 0 9100 0 Evo Payments Inc Common Stock 26927E104 179 7200 SH OTR 1 0 7200 0 NuVasive Inc Convertible Bonds 670704AG0 383 370000 PRN OTR 1 0 0 370000 DexCom Inc Common Stock 252131107 738 1791 SH OTR 1 0 1791 0 Horizon Pharma Plc Common Stock G46188101 442 5690 SH OTR 1 0 5690 0 Immunomedics Inc Common Stock 452907108 467 5488 SH OTR 1 0 5488 0 Meritor Inc Convertible Bonds 59001KAF7 374 360000 PRN OTR 1 0 0 360000 Retrophin Inc Convertible Bonds 761299AB2 389 455000 PRN OTR 1 0 0 455000 CRISPR Therapeutics AG Common Stock H17182108 138 1650 SH OTR 1 0 1650 0 Glu Mobile Inc Common Stock 379890106 200 26000 SH OTR 1 0 26000 0 Goosehead Insurance Inc Common Stock 38267D109 151 1740 SH OTR 1 0 1740 0 Iovance Biotherapeutics Inc Common Stock 462260100 323 9806 SH OTR 1 0 9806 0 Trex Co Inc Common Stock 89531P105 159 2224 SH OTR 1 0 2224 0 Zscaler Inc Common Stock 98980G102 210 1495 SH OTR 1 0 1495 0 Euronet Worldwide Inc Convertible Bonds 298736AL3 789 820000 PRN OTR 1 0 0 820000 CyberArk Software Ltd Common Stock M2682V108 342 3308 SH OTR 1 0 3308 0 10X Genomics Inc Common Stock 88025U109 120 960 SH OTR 1 0 960 0 Adeptus Health Inc Common Stock 00650F109 71 1467 SH OTR 1 0 1467 0 Beyond Meat Inc Common Stock 08862E109 128 770 SH OTR 1 0 770 0 Bluebird Bio Inc Common Stock 09609G100 165 3060 SH OTR 1 0 3060 0 Chewy Inc Common Stock 16679L109 198 3605 SH OTR 1 0 3605 0 Coupa Software Inc Common Stock 22266L106 104 380 SH OTR 1 0 380 0 Evoqua Water Technologies Corp Common Stock 30057T105 766 36102 SH OTR 1 0 36102 0 Fate Therapeutics Inc Common Stock 31189P102 349 8722 SH OTR 1 0 8722 0 Freshpet Inc Common Stock 358039105 533 4770 SH OTR 1 0 4770 0 Inovalon Holdings Inc Common Stock 45781D101 889 33600 SH OTR 1 0 33600 0 Lattice Semiconductor Corp Common Stock 518415104 723 24958 SH OTR 1 0 24958 0 Livongo Health Inc Common Stock 539183103 356 2539 SH OTR 1 0 2539 0 TriNet Group Inc Common Stock 896288107 746 12580 SH OTR 1 0 12580 0 Twist Bioscience Corp Common Stock 90184D100 113 1490 SH OTR 1 0 1490 0 Pluralsight Inc Convertible Bonds 72941BAB2 781 880000 PRN OTR 1 0 0 880000 Deckers Outdoor Corp Common Stock 243537107 551 2505 SH OTR 1 0 2505 0 Equinox Gold Corp Common Stock 29446Y502 201 17200 SH OTR 1 0 17200 0 Helen of Troy Ltd Common Stock G4388N106 495 2560 SH OTR 1 0 2560 0 Mirati Therapeutics Inc Common Stock 60468T105 180 1085 SH OTR 1 0 1085 0 Ontrak Inc Common Stock 683373104 105 1755 SH OTR 1 0 1755 0 ProofPoint Inc Common Stock 743424103 195 1850 SH OTR 1 0 1850 0 Switch Inc Common Stock 87105L104 169 10810 SH OTR 1 0 10810 0 Alteryx Inc Convertible Bonds 02156BAF0 782 780000 PRN OTR 1 0 0 780000