UBS AG Current Holdings: USA Funds, 2014 Q3, Page 4

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.

LOCALSHARES INVT TR: Country of operation —; Class NASHVILLE AREA E; Shares 196; Value $6,000.
EATON VANCE CALIF MUN BD FD: Country of operation —; Class COM; Shares 500; Value $6,000.
RETAIL OPPORTUNITY INVTS COR: Country of operation —; Class UNIT 10/23/2014; Shares 286; Value $5,000.
RETAIL OPPORTUNITY INVTS COR: Country of operation —; Class *W EXP 10/23/201; Shares 1,961; Value $5,000.

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
LOCALSHARES INVT TR CUSIP 53957P106		NASHVILLE AREA E	196	$6,000	2014-09-30	2014-11-12
EATON VANCE CALIF MUN BD FD CUSIP 27828C106		COM	500	$6,000	2014-09-30	2014-11-12
RETAIL OPPORTUNITY INVTS COR CUSIP 76131N200		UNIT 10/23/2014	286	$5,000	2014-09-30	2014-11-12
RETAIL OPPORTUNITY INVTS COR CUSIP 76131N119		*W EXP 10/23/201	1,961	$5,000	2014-09-30	2014-11-12
CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M365		GUG BUL 2020 HY	190	$5,000	2014-09-30	2014-11-12
MANAGED HIGH YIELD PLUS FD I CUSIP 561911108		COM	2,141	$4,000	2014-09-30	2014-11-12
VILLAGE BK & TR FINANCIAL CO CUSIP 92705T200	United States	COM NEW	37	$1,000	2014-09-30	2014-11-12
WHEELER REAL ESTATE INVT TR CUSIP 963025101		COM	189	$1,000	2014-09-30	2014-11-12
WHITING USA TR I CUSIP 966389108		TR UNIT	200	$1,000	2014-09-30	2014-11-12
ABERDEEN SINGAPORE FD INC CUSIP 003244100		COM	108	$1,000	2014-09-30	2014-11-12

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