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.
- LMP CORPORATE LN FD INC: Country of operation —; Class COM; Shares 132,169; Value $1,526,000.
- BLACKROCK MUNI 2018 TERM TR: Country of operation —; Class COM; Shares 93,873; Value $1,494,000.
- EATON VANCE FLTG RATE INCOM: Country of operation —; Class COM SHS BEN INT; Shares 86,433; Value $1,490,000.
- APOLLO SR FLOATING RATE FD I: Country of operation United States; Class COM; Shares 86,348; Value $1,477,000.
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 |
|---|---|---|---|---|---|---|
| LMP CORPORATE LN FD INC CUSIP 50208B100 | COM | 132,169 | $1,526,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNI 2018 TERM TR CUSIP 09248C106 | COM | 93,873 | $1,494,000 | 2014-09-30 | 2014-11-12 | |
| EATON VANCE FLTG RATE INCOM CUSIP 278284104 | COM SHS BEN INT | 86,433 | $1,490,000 | 2014-09-30 | 2014-11-12 | |
| APOLLO SR FLOATING RATE FD I CUSIP 037636107 | United States | COM | 86,348 | $1,477,000 | 2014-09-30 | 2014-11-12 |
| BLACKROCK STRATEGIC MUN TR CUSIP 09248T109 | COM | 107,544 | $1,429,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN SELECT TAX FREE INCM CUSIP 67063C106 | SH BEN INT | 107,751 | $1,426,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNIYIELD CALIF FD CUSIP 09254M105 | COM | 94,073 | $1,425,000 | 2014-09-30 | 2014-11-12 | |
| DREYFUS MUN BD INFRSTRCTR FD CUSIP 26203D101 | SHS | 116,857 | $1,375,000 | 2014-09-30 | 2014-11-12 | |
| WESTERN ASSET MUN DEF OPP TR CUSIP 95768A109 | COM | 60,644 | $1,368,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M266 | GUGG BULSH 2021 | 61,407 | $1,274,000 | 2014-09-30 | 2014-11-12 | |
| MONMOUTH REAL ESTATE INVT CO CUSIP 609720107 | CL A | 122,779 | $1,243,000 | 2014-09-30 | 2014-11-12 | |
| DOW 30 PREMIUM & DIV INC FD CUSIP 260582101 | COM | 77,121 | $1,204,000 | 2014-09-30 | 2014-11-12 | |
| H & Q LIFE SCIENCES INVS CUSIP 404053100 | SH BEN INT | 52,326 | $1,156,000 | 2014-09-30 | 2014-11-12 | |
| HEALTHCARE TR AMER INC CUSIP 42225P105 | CL A | 99,165 | $1,150,000 | 2014-09-30 | 2014-11-12 | |
| EDUCATION RLTY TR INC CUSIP 28140H104 | COM | 110,393 | $1,134,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK DEBT STRAT FD INC CUSIP 09255R103 | COM | 296,668 | $1,133,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNIYIELD N J FD I CUSIP 09254Y109 | COM | 75,224 | $1,092,000 | 2014-09-30 | 2014-11-12 | |
| APOLLO TACTICAL INCOME FD IN CUSIP 037638103 | United States | COM | 62,732 | $1,085,000 | 2014-09-30 | 2014-11-12 |
| MACQUARIE FT TR GB INF UT DI CUSIP 55607W100 | United States | COM | 64,454 | $1,083,000 | 2014-09-30 | 2014-11-12 |
| NUVEEN MUN ADVANTAGE FD INC CUSIP 67062H106 | COM | 79,359 | $1,071,000 | 2014-09-30 | 2014-11-12 | |
| CURRENCYSHARES CDN DLR TR CUSIP 23129X105 | CDN DOLLAR SHS | 11,913 | $1,058,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNIHLDGS FD II IN CUSIP 09253P109 | COM | 70,599 | $1,057,000 | 2014-09-30 | 2014-11-12 | |
| COLUMBIA PPTY TR INC CUSIP 198287203 | COM NEW | 43,479 | $1,037,000 | 2014-09-30 | 2014-11-12 | |
| SALIENT MLP & ENERGY INFRSTR CUSIP 79471T100 | COM SH BEN INT | 30,833 | $1,032,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNIENHANCED FD IN CUSIP 09253Y100 | COM | 90,285 | $1,011,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN LG/SHT COMMODITY TOTR CUSIP 670731108 | COM UT BEN INT | 68,242 | $1,008,000 | 2014-09-30 | 2014-11-12 | |
| PIMCO INCOME OPPORTUNITY FD CUSIP 72202B100 | COM | 36,127 | $997,000 | 2014-09-30 | 2014-11-12 | |
| FEDERATED ENHANC TREAS INCM CUSIP 314162108 | COM SH BEN INT | 73,689 | $992,000 | 2014-09-30 | 2014-11-12 | |
| GUGGENHEIM EQ WEIGHT ENHANC CUSIP 40167M106 | COM SH BEN INT | 49,110 | $970,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN FLTNG RTE INCM OPP FD CUSIP 6706EN100 | COM SHS | 81,984 | $933,000 | 2014-09-30 | 2014-11-12 | |
| DREYFUS STRATEGIC MUN BD FD CUSIP 26202F107 | COM | 115,149 | $927,000 | 2014-09-30 | 2014-11-12 | |
| CURRENCYSHS JAPANESE YEN TR CUSIP 23130A102 | JAPANESE YEN | 10,389 | $922,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN NJ INVT QUALITY MUN F CUSIP 670971100 | COM | 67,730 | $903,000 | 2014-09-30 | 2014-11-12 | |
| LASALLE HOTEL PPTYS CUSIP 517942108 | COM SH BEN INT | 26,241 | $899,000 | 2014-09-30 | 2014-11-12 | |
| GLIMCHER RLTY TR CUSIP 379302102 | SH BEN INT | 65,465 | $887,000 | 2014-09-30 | 2014-11-12 | |
| HEALTHCARE RLTY TR CUSIP 421946104 | COM | 36,902 | $874,000 | 2014-09-30 | 2014-11-12 | |
| BROOKFIELD TOTAL RETURN FD I CUSIP 11283U108 | COM | 34,726 | $868,000 | 2014-09-30 | 2014-11-12 | |
| DELAWARE INVTS DIV & INCOME CUSIP 245915103 | COM | 85,273 | $840,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN SHT DUR CR OPP FD CUSIP 67074X107 | COM | 47,273 | $810,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q838 | GUGG FRNTR MKT | 48,658 | $809,000 | 2014-09-30 | 2014-11-12 | |
| EGA EMERGING GLOBAL SHS TR CUSIP 268461654 | LOW VOL EM DIV | 48,371 | $771,000 | 2014-09-30 | 2014-11-12 | |
| WINTHROP RLTY TR CUSIP 976391300 | SH BEN INT NEW | 49,899 | $752,000 | 2014-09-30 | 2014-11-12 | |
| PIMCO CALIF MUN INCOME FD II CUSIP 72201C109 | United States | COM | 71,788 | $747,000 | 2014-09-30 | 2014-11-12 |
| DELAWARE INV MN MUN INC FD I CUSIP 24610V103 | COM | 53,690 | $725,000 | 2014-09-30 | 2014-11-12 | |
| MFS INTERMARKET INCOME TRUST CUSIP 59318R103 | SH BEN INT | 86,375 | $722,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN QUALITY MUN FD INC CUSIP 67062N103 | COM | 55,421 | $717,000 | 2014-09-30 | 2014-11-12 | |
| POWERSHARES DB G10 CURCY HAR CUSIP 73935Y102 | COM UT BEN INT | 27,458 | $706,000 | 2014-09-30 | 2014-11-12 | |
| ALTISOURCE PORTFOLIO SOLNS S CUSIP L0175J104 | REG SHS | 6,888 | $694,000 | 2014-09-30 | 2014-11-12 | |
| PIMCO NY MUNICIPAL INCOME FD CUSIP 72200T103 | United States | COM | 58,136 | $683,000 | 2014-09-30 | 2014-11-12 |
| BLACKROCK MUNICIPAL BOND TR CUSIP 09249H104 | COM | 44,461 | $680,000 | 2014-09-30 | 2014-11-12 | |
| GOVERNMENT PPTYS INCOME TR CUSIP 38376A103 | COM SHS BEN INT | 30,898 | $677,000 | 2014-09-30 | 2014-11-12 | |
| PIMCO MUNICIPAL INCOME FD CUSIP 72200R107 | United States | COM | 49,031 | $672,000 | 2014-09-30 | 2014-11-12 |
| BROOKFIELD HIGH INCOME FD IN CUSIP 11272P102 | COM | 70,536 | $661,000 | 2014-09-30 | 2014-11-12 | |
| SELECT INCOME REIT CUSIP 81618T100 | COM SH BEN INT | 26,706 | $642,000 | 2014-09-30 | 2014-11-12 | |
| RETAIL OPPORTUNITY INVTS COR CUSIP 76131N101 | United States | COM | 42,415 | $623,000 | 2014-09-30 | 2014-11-12 |
| SANDRIDGE PERMIAN TR CUSIP 80007A102 | COM UNIT BEN INT | 57,551 | $559,000 | 2014-09-30 | 2014-11-12 | |
| LMP REAL ESTATE INCOME FD IN CUSIP 50208C108 | COM | 49,808 | $559,000 | 2014-09-30 | 2014-11-12 | |
| ENDURO RTY TR CUSIP 29269K100 | TR UNIT | 47,580 | $538,000 | 2014-09-30 | 2014-11-12 | |
| ADVISORSHARES TR CUSIP 00768Y883 | RANGER EQUITY BE | 44,297 | $528,000 | 2014-09-30 | 2014-11-12 | |
| MFS CALIF MUN FD CUSIP 59318C106 | COM | 48,500 | $523,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN INVT QUALITY MUN FD I CUSIP 67062E103 | COM | 33,785 | $502,000 | 2014-09-30 | 2014-11-12 | |
| CURRENCYSHARES EURO TR CUSIP 23130C108 | EURO SHS | 4,016 | $500,000 | 2014-09-30 | 2014-11-12 | |
| VOYA RISK MANAGED NAT RES FD CUSIP 92913C106 | COM | 46,921 | $486,000 | 2014-09-30 | 2014-11-12 | |
| EATON VANCE MUN BD FD II CUSIP 27827K109 | COM | 36,576 | $460,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK DIVID INCOME TR CUSIP 09250D109 | SHS | 33,655 | $441,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M860 | GUG S&PG DIV OPP | 34,001 | $431,000 | 2014-09-30 | 2014-11-12 | |
| PENNSYLVANIA RL ESTATE INVT CUSIP 709102107 | SH BEN INT | 21,464 | $428,000 | 2014-09-30 | 2014-11-12 | |
| AMERICAN EQTY INVT LIFE HLD CUSIP 025676206 | United States | COM | 18,033 | $413,000 | 2014-09-30 | 2014-11-12 |
| CUSHING MLP TOTAL RETURN FD CUSIP 231631102 | COM SHS | 47,791 | $412,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN NJ PREM INCOME MUN FD CUSIP 67101N106 | COM | 29,547 | $403,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN MD PREM INCOME MUN FD CUSIP 67061Q107 | COM | 31,794 | $398,000 | 2014-09-30 | 2014-11-12 | |
| AG MTG INVT TR INC CUSIP 001228105 | COM | 22,288 | $397,000 | 2014-09-30 | 2014-11-12 | |
| ETFS WHITE METALS BASKET TR CUSIP 26923B104 | PHY WM BSK SHS | 10,825 | $382,000 | 2014-09-30 | 2014-11-12 | |
| DEUTSCHE STRATEGIC INCOME TR CUSIP 25160F109 | SHS | 31,283 | $380,000 | 2014-09-30 | 2014-11-12 | |
| CHESAPEAKE LODGING TR CUSIP 165240102 | SH BEN INT | 12,600 | $368,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK N Y MUN INCOME TR CUSIP 09248L106 | United States | SH BEN INT | 26,186 | $366,000 | 2014-09-30 | 2014-11-12 |
| EATON VANCE NY MUNI INCOME T CUSIP 27826W104 | SH BEN INT | 25,937 | $360,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M373 | GUG BUL 2019 HY | 13,588 | $349,000 | 2014-09-30 | 2014-11-12 | |
| ZWEIG TOTAL RETURN FD INC CUSIP 989837208 | COM NEW | 24,847 | $344,000 | 2014-09-30 | 2014-11-12 | |
| NUVEEN PREMIER MUN INCOME FD CUSIP 670988104 | COM | 24,552 | $330,000 | 2014-09-30 | 2014-11-12 | |
| ALLIANCE CALIF MUN INCOME FD CUSIP 018546101 | COM | 24,331 | $329,000 | 2014-09-30 | 2014-11-12 | |
| ASHFORD HOSPITALITY TR INC CUSIP 044103109 | COM SHS | 32,146 | $329,000 | 2014-09-30 | 2014-11-12 | |
| ABERDEEN AUSTRALIA EQTY FD I CUSIP 003011103 | United States | COM | 41,609 | $325,000 | 2014-09-30 | 2014-11-12 |
| INVESTORS REAL ESTATE TR CUSIP 461730103 | SH BEN INT | 41,922 | $323,000 | 2014-09-30 | 2014-11-12 | |
| SILVER BAY RLTY TR CORP CUSIP 82735Q102 | COM | 19,363 | $314,000 | 2014-09-30 | 2014-11-12 | |
| VIRTUS TOTAL RETURN FD CUSIP 92829A103 | COM | 67,159 | $312,000 | 2014-09-30 | 2014-11-12 | |
| MADISON STRTG SECTOR PREM FD CUSIP 558268108 | COM | 23,584 | $292,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK ECOSOLUTIONS INVT CUSIP 092546100 | COM SH | 37,488 | $287,000 | 2014-09-30 | 2014-11-12 | |
| FELCOR LODGING TR INC CUSIP 31430F101 | COM | 29,383 | $275,000 | 2014-09-30 | 2014-11-12 | |
| BLACKROCK MUNIC INCM INVST T CUSIP 09248H105 | SH BEN INT | 20,247 | $275,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q606 | GUGG CA ENRG INC | 17,759 | $271,000 | 2014-09-30 | 2014-11-12 | |
| PUTMAN HIGH INCOME SEC FUND CUSIP 746779107 | SHS BEN INT | 30,970 | $257,000 | 2014-09-30 | 2014-11-12 | |
| RAMCO-GERSHENSON PPTYS TR CUSIP 751452202 | COM SH BEN INT | 15,505 | $252,000 | 2014-09-30 | 2014-11-12 | |
| HERSHA HOSPITALITY TR CUSIP 427825104 | SH BEN INT A | 38,413 | $245,000 | 2014-09-30 | 2014-11-12 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q861 | GUGG CHN RL EST | 11,164 | $230,000 | 2014-09-30 | 2014-11-12 | |
| CUSHING RENAISSANCE FD CUSIP 231647108 | COM | 7,845 | $215,000 | 2014-09-30 | 2014-11-12 | |
| ABERDEEN GTR CHINA FD INC CUSIP 003031101 | COM | 19,177 | $198,000 | 2014-09-30 | 2014-11-12 | |
| DELAWARE INV CO MUN INC FD I CUSIP 246101109 | COM | 13,390 | $196,000 | 2014-09-30 | 2014-11-12 | |
| FIRST POTOMAC RLTY TR CUSIP 33610F109 | COM | 16,264 | $191,000 | 2014-09-30 | 2014-11-12 | |
| EATON VANCE OH MUNI INCOME T CUSIP 27826G109 | SH BEN INT | 14,191 | $191,000 | 2014-09-30 | 2014-11-12 |
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