UBS AG current holdings: USA Funds
UBS AG reported $1.14 billion in funds and trusts that are not on this site's ETF list (sponsor series, commodity pools, money market) (listed in the US), 310 positions, in its Form 13F for the quarter ended 2014-09-30; the largest are NEWCASTLE INVT CORP NEW, TWO HBRS INVT CORP, PIMCO DYNAMIC CR INCOME FD.
- NEWCASTLE INVT CORP NEW: Country of operation —; Class COM NEW; Shares 5,935,630; Value $75,264,000.
- TWO HBRS INVT CORP: Country of operation —; Class COM; Shares 6,496,919; Value $62,825,000.
- PIMCO DYNAMIC CR INCOME FD: Country of operation —; Class COM SHS; Shares 2,792,774; Value $62,754,000.
- TEXAS PAC LD TR: Country of operation —; Class SUB CTF PROP I T; Shares 322,650; Value $62,090,000.
Form 13F-HR as filed (SEC CIK 1114446): quarter ended 2014-09-30, filed 2014-11-12. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed |
|---|---|---|---|---|---|---|
| NEWCASTLE INVT CORP NEW CUSIP 65105M504 | COM NEW | 5,935,630 | $75,264,000 | 2014-09-30 | 2014-11-12 | |
| TWO HBRS INVT CORP CUSIP 90187B101 | COM | 6,496,919 | $62,825,000 | 2014-09-30 | 2014-11-12 | |
| PIMCO DYNAMIC CR INCOME FD CUSIP 72202D106 | COM SHS | 2,792,774 | $62,754,000 | 2014-09-30 | 2014-11-12 | |
| TEXAS PAC LD TR CUSIP 882610108 | SUB CTF PROP I T | 322,650 | $62,090,000 | 2014-09-30 | 2014-11-12 | |
| APOLLO INVT CORP CUSIP 03761U106 | COM | 6,999,188 | $57,183,000 | 2014-09-30 | 2014-11-12 | |
| POWERSHARES DB CMDTY IDX TRA CUSIP 73935S105 | UNIT BEN INT | 1,810,403 | $42,037,000 | 2014-09-30 | 2014-11-12 | |
| FS INVT CORP CUSIP 302635107 | COM | 3,563,740 | $38,381,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M654 | GUGG ENH SHT DUR | 626,162 | $31,410,000 | 2014-09-30 | 2014-11-12 | |
| NEW RESIDENTIAL INVT CORP CUSIP 64828T102 | COM | 4,827,570 | $28,145,000 | 2014-09-30 | 2014-11-12 | |
| CHIMERA INVT CORP CUSIP 16934Q109 | COM | 7,478,363 | $22,734,000 | 2014-09-30 | 2014-11-12 | |
| TORTOISE MLP FD INC CUSIP 89148B101 | COM | 778,590 | $22,610,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M548 | GUGG CRP BD 2017 | 978,396 | $22,268,000 | 2014-09-30 | 2014-11-12 | |
| BROOKFIELD MTG OPP INC FD IN CUSIP 112792106 | COM | 1,207,956 | $20,523,000 | 2014-09-30 | 2014-11-12 | |
| AMER RLTY CAP HEALTHCAR TR I CUSIP 02917R108 | COM | 1,885,198 | $19,757,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M415 | GUG BLT2016 HY | 735,348 | $19,590,000 | 2014-09-30 | 2014-11-12 | |
| ALPINE TOTAL DYNAMIC DIVID F CUSIP 021060207 | COM SH BEN INT N | 2,260,586 | $19,238,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M555 | GUGG CRP BD 2016 | 835,838 | $18,656,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M209 | GUGG INSDR SENT | 373,379 | $17,478,000 | 2014-09-30 | 2014-11-12 | |
| SENIOR HSG PPTYS TR CUSIP 81721M109 | SH BEN INT | 830,078 | $17,366,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M563 | GUGG CRP BD 2015 | 661,560 | $14,382,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M506 | GUG MULTI ASSET | 557,790 | $13,571,000 | 2014-09-30 | 2014-11-12 | |
| ETFS PLATINUM TR CUSIP 26922V101 | SH BEN INT | 105,375 | $13,308,000 | 2014-09-30 | 2014-11-12 | |
| CYS INVTS INC CUSIP 12673A108 | COM | 1,560,362 | $12,857,000 | 2014-09-30 | 2014-11-12 | |
| GREENHAVEN CONT CMDTY INDEX CUSIP 395258106 | UNIT BEN INT | 507,106 | $12,551,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M530 | GUG BULL2018 E | 563,034 | $11,903,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M423 | GUGG BULL 2015 | 427,077 | $11,292,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN MUN OPPORTUNITY FD IN CUSIP 670984103 | COM | 776,268 | $11,062,000 | 2014-09-30 | 2014-11-12 | |
| ETFS GOLD TR CUSIP 26922Y105 | SHS | 89,829 | $10,643,000 | 2014-09-30 | 2014-11-12 | |
| AMERICAN CAP MTG INVT CORP CUSIP 02504A104 | COM | 565,187 | $10,636,000 | 2014-09-30 | 2014-11-12 | |
| NEW MEDIA INVT GROUP INC CUSIP 64704V106 | COM | 589,085 | $9,797,000 | 2014-09-30 | 2014-11-12 | |
| HOSPITALITY PPTYS TR CUSIP 44106M102 | COM SH BEN INT | 330,736 | $8,880,000 | 2014-09-30 | 2014-11-12 | |
| NASDAQ PREM INCM & GRW FD IN CUSIP 63110R105 | COM | 457,569 | $8,826,000 | 2014-09-30 | 2014-11-12 | |
| APARTMENT INVT & MGMT CO CUSIP 03748R101 | CL A | 265,415 | $8,445,000 | 2014-09-30 | 2014-11-12 | |
| ALLIANZGI CONV & INCOME FD CUSIP 018828103 | COM | 861,744 | $8,229,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN QUALITY PFD INCOME FD CUSIP 67072C105 | United States | COM | 944,181 | $8,224,000 | 2014-09-30 | 2014-11-12 |
| CLEARBRIDGE ENERGY MLP FD IN CUSIP 184692101 | COM | 290,621 | $8,103,000 | 2014-09-30 | 2014-11-12 | |
| POWERSHS DB MULTI SECT COMM CUSIP 73936B408 | PS DB AGRICUL FD | 296,031 | $7,564,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M399 | GUG BLT2017 HY | 268,794 | $7,190,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q507 | GUGG S&P GBL WTR | 231,635 | $6,379,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M381 | GUG BLT2018 HY | 235,075 | $6,274,000 | 2014-09-30 | 2014-11-12 | |
| GOLDMAN SACHS MLP INC OPP FD CUSIP 38147W103 | COM SHS | 281,354 | $6,117,000 | 2014-09-30 | 2014-11-12 | |
| CENTRAL FD CDA LTD CUSIP 153501101 | CL A | 494,852 | $6,092,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M241 | 2023 CORP BOND | 300,000 | $6,039,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M233 | 2024 CORP BOND | 300,100 | $6,023,000 | 2014-09-30 | 2014-11-12 | |
| EGA EMERGING GLOBAL SHS TR CUSIP 268461639 | EGSHR BYND BRC | 270,658 | $6,019,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M522 | GUG BULL2019 E | 279,932 | $5,881,000 | 2014-09-30 | 2014-11-12 | |
| ETFS SILVER TR CUSIP 26922X107 | SILVER SHS | 347,902 | $5,837,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M431 | GUGG BULL 2014 | 191,411 | $5,050,000 | 2014-09-30 | 2014-11-12 | |
| H & Q HEALTHCARE INVESTORS CUSIP 404052102 | SH BEN INT | 175,409 | $4,982,000 | 2014-09-30 | 2014-11-12 | |
| UNITED STATES OIL FUND LP CUSIP 91232N108 | UNITS | 137,150 | $4,720,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M514 | GUG BULL2020 E | 203,426 | $4,288,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN QUALITY PFD INCOME FD CUSIP 67071S101 | COM | 520,249 | $4,240,000 | 2014-09-30 | 2014-11-12 | |
| GUGGENHEIM CR ALLOCATION FD CUSIP 40168G108 | COM | 170,942 | $4,063,000 | 2014-09-30 | 2014-11-12 | |
| WESTERN ASSET MGD HI INCM FD CUSIP 95766L107 | COM | 726,567 | $4,018,000 | 2014-09-30 | 2014-11-12 | |
| VOYA PRIME RATE TR CUSIP 92913A100 | SH BEN INT | 730,557 | $4,018,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN DIVERSIFIED COMMODTY CUSIP 67074P104 | COM UT BEN INT | 287,868 | $3,970,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN PREM INCOME MUN FD 2 CUSIP 67063W102 | COM | 272,153 | $3,742,000 | 2014-09-30 | 2014-11-12 | |
| ARLINGTON ASSET INVT CORP CUSIP 041356205 | CL A NEW | 138,162 | $3,510,000 | 2014-09-30 | 2014-11-12 | |
| ALLIANZGI CONV & INCOME FD I CUSIP 018825109 | COM | 371,976 | $3,396,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M720 | GUG MIDCAP CORE | 69,871 | $3,374,000 | 2014-09-30 | 2014-11-12 | |
| WESTERN ASSET VAR RT STRG FD CUSIP 957667108 | COM | 196,868 | $3,362,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN CA DIV ADVANTG MUN FD CUSIP 67069X104 | COM | 236,461 | $3,275,000 | 2014-09-30 | 2014-11-12 | |
| BABSON CAP PARTN INVS TR CUSIP 05616B100 | SH BEN INT | 236,409 | $3,214,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN QUALITY PFD INC FD 3 CUSIP 67072W101 | COM | 377,491 | $3,160,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN SELECT QUALITY MUN FD CUSIP 670973106 | COM | 225,804 | $3,087,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q739 | GUGGENHEIM SOLAR | 75,883 | $3,085,000 | 2014-09-30 | 2014-11-12 | |
| FEDERAL REALTY INVT TR CUSIP 313747206 | SH BEN INT NEW | 25,829 | $3,059,000 | 2014-09-30 | 2014-11-12 | |
| TEMPLETON GLOBAL INCOME FD CUSIP 880198106 | United States | COM | 368,236 | $2,927,000 | 2014-09-30 | 2014-11-12 |
| QTS RLTY TR INC CUSIP 74736A103 | COM CL A | 93,053 | $2,825,000 | 2014-09-30 | 2014-11-12 | |
| RMR REAL ESTATE INCOME FUND CUSIP 76970B101 | COM | 149,957 | $2,819,000 | 2014-09-30 | 2014-11-12 | |
| CLEARBRIDGE ENERGY MLP TR FD CUSIP 18469Q108 | COM | 120,175 | $2,769,000 | 2014-09-30 | 2014-11-12 | |
| ETFS PRECIOUS METALS BASKET CUSIP 26922W109 | PHYS PM BSKT | 43,531 | $2,751,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN QUALITY INCOME MUN FD CUSIP 670977107 | COM | 197,123 | $2,699,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUN 2020 TERM TR CUSIP 09249X109 | COM SHS | 169,233 | $2,698,000 | 2014-09-30 | 2014-11-12 | |
| ADVENT CLAY CONV SEC INC FD CUSIP 007639107 | COM | 389,611 | $2,645,000 | 2014-09-30 | 2014-11-12 | |
| EQUITY COMWLTH CUSIP 294628102 | United States | COM SH BEN INT | 101,978 | $2,622,000 | 2014-09-30 | 2014-11-12 |
| NUVEEN SR INCOME FD CUSIP 67067Y104 | COM | 375,192 | $2,510,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN EQUITY PREM ADV FD CUSIP 6706ET107 | COM | 181,962 | $2,376,000 | 2014-09-30 | 2014-11-12 | |
| UNITED STATES NATL GAS FUND CUSIP 912318201 | UNIT PAR $0.001 | 107,360 | $2,374,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M258 | GUGG BULSH 2022 | 107,660 | $2,225,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M571 | GUGG CRP BD 2014 | 103,009 | $2,171,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK INCOME TR INC CUSIP 09247F100 | COM | 341,020 | $2,166,000 | 2014-09-30 | 2014-11-12 | |
| NEW YORK MTG TR INC CUSIP 649604501 | COM PAR $.02 | 296,851 | $2,146,000 | 2014-09-30 | 2014-11-12 | |
| PIONEER MUN HIGH INCOME TR CUSIP 723763108 | United States | COM SHS | 133,181 | $2,031,000 | 2014-09-30 | 2014-11-12 |
| LEGG MASON BW GLB INC OPP FD CUSIP 52469B100 | COM | 115,852 | $1,961,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN PREM INCOME MUN FD CUSIP 67062T100 | COM | 146,222 | $1,959,000 | 2014-09-30 | 2014-11-12 | |
| ARES MULTI STRATEGY CR FD IN CUSIP 04014Q108 | COM | 93,403 | $1,942,000 | 2014-09-30 | 2014-11-12 | |
| SALIENT MIDSTREAM & MLP FD CUSIP 79471V105 | SH BEN INT | 66,096 | $1,929,000 | 2014-09-30 | 2014-11-12 | |
| LIBERTY PPTY TR CUSIP 531172104 | SH BEN INT | 57,498 | $1,912,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN SELECT TAX FREE INCM CUSIP 67063X100 | SH BEN INT | 130,792 | $1,813,000 | 2014-09-30 | 2014-11-12 | |
| INVESCO DYNAMIC CR OPP FD CUSIP 46132R104 | COM | 141,289 | $1,745,000 | 2014-09-30 | 2014-11-12 | |
| WEINGARTEN RLTY INVS CUSIP 948741103 | SH BEN INT | 54,927 | $1,730,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNI INTER DR FD I CUSIP 09253X102 | United States | COM | 116,230 | $1,682,000 | 2014-09-30 | 2014-11-12 |
| ETFS PALLADIUM TR CUSIP 26923A106 | SH BEN INT | 21,850 | $1,643,000 | 2014-09-30 | 2014-11-12 | |
| CUTWATER SELECT INCOME FD CUSIP 232229104 | COM | 80,935 | $1,598,000 | 2014-09-30 | 2014-11-12 | |
| NEXPOINT CR STRATEGIES FD CUSIP 65340G106 | COM | 149,790 | $1,591,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN ENHANCED MUN VALUE FD CUSIP 67074M101 | COM | 107,710 | $1,589,000 | 2014-09-30 | 2014-11-12 | |
| EATON VANCE TAX-ADV BD & OPT CUSIP 27829M103 | COM SH BEN INT | 111,655 | $1,576,000 | 2014-09-30 | 2014-11-12 | |
| PORTFOLIO RECOVERY ASSOCS IN CUSIP 73640Q105 | COM | 29,903 | $1,562,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN PREM INCOME MUN FD 4 CUSIP 6706K4105 | COM | 120,043 | $1,528,000 | 2014-09-30 | 2014-11-12 |
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