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UBS AG Historic Quarter Change: USA Stocks, Added, 2013 Q4, Page 10

UBS AG historic quarter change: USA Stocks, Added

In share positions in stocks (listed in the US), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 535 positions, added to 4,469, reduced 3,687 and sold out of 336.

  • Q4 2013: Stock CCRD; Country of operation United States; Class COM; Shares before 1,296.
  • Q4 2013: Stock SIEB; Country of operation United States; Class COM; Shares before 3,641.
  • Q4 2013: Stock WSR; Country of operation United States; Class COM; Shares before 2,021.
  • Q4 2013: Stock EDUC; Country of operation United States; Class COM; Shares before 1,377.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1114446), 5 quarters: Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-12); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-16); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-05-21); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-13). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2002-12-31.

QuarterStockCountry of operationClassShares beforeShares afterShare changeValue beforeValue afterValue changeFiled
Q4 2013CCRD
INTELLIGENT SYS CORP NEW
United StatesCOM1,2961,675+379$2,000$3,000+$1,0002014-05-21
Q4 2013SIEB
SIEBERT FINL CORP
United StatesCOM3,6414,241+600$6,000$7,000+$1,0002014-05-21
Q4 2013WSR
WHITESTONE REIT
United StatesCOM2,0212,323+302$30,000$31,000+$1,0002014-05-21
Q4 2013EDUC
EDUCATIONAL DEV CORP
United StatesCOM1,3771,737+360$4,000$5,000+$1,0002014-05-21
Q4 2013GALT
GALECTIN THERAPEUTICS INC
United StatesCOM NEW1,6982,327+629$17,000$18,000+$1,0002014-05-21
Q4 2013LPTH
LIGHTPATH TECHNOLOGIES INC
United StatesCL A NEW227572+345$0$0$02014-05-21
Q4 2013IGC
INDIA GLOBALIZATION CAP INC
United StatesCOM NEW5471,011+464$1,000$1,000$02014-05-21
Q4 2013CENT
CENTRAL GARDEN & PET CO
United StatesCOM443519+76$3,000$3,000$02014-05-21
Q4 2013KTOS
KRATOS DEFENSE & SEC SOLUTIO
United StatesCOM NEW4,9295,285+356$41,000$41,000$02014-05-21

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