UBS AG historic quarter change: USA Bonds: Convertible Notes, Added
In convertible notes that pay a coupon (listed in the US), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 175 positions, added to 32, reduced 36 and sold out of 197.
- Q3 2014: Stock WELLPOINT INC; Country of operation —; Class NOTE 2.750%10/1; Principal before $8,632,000.
- Q3 2014: Stock MERITOR INC; Country of operation —; Class NOTE 7.875% 3/0; Principal before $2,000,000.
- Q3 2014: Stock BGC PARTNERS INC; Country of operation —; Class NOTE 4.500% 7/1; Principal before $15,000.
- Q4 2013: Stock ARCHER DANIELS MIDLAND CO; Country of operation —; Class NOTE 0.875% 2/1; Principal before $3,410,000.
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.
| Quarter | Stock | Country of operation | Class | Principal before | Principal after | Share change | Value before | Value after | Value change | Filed |
|---|
| Q3 2014 | WELLPOINT INC
CUSIP 94973VBG1 | | NOTE 2.750%10/1 | $8,632,000 | $15,989,000 | +7,357,000 | $13,223,000 | $26,332,000 | +$13,109,000 | 2014-11-12 |
|---|
| Q3 2014 | MERITOR INC
CUSIP 59001KAC4 | | NOTE 7.875% 3/0 | $2,000,000 | $4,009,000 | +2,009,000 | $3,219,000 | $5,796,000 | +$2,577,000 | 2014-11-12 |
|---|
| Q3 2014 | BGC PARTNERS INC
CUSIP 05541TAD3 | | NOTE 4.500% 7/1 | $15,000 | $30,000 | +15,000 | $16,000 | $32,000 | +$16,000 | 2014-11-12 |
|---|
| Q4 2013 | ARCHER DANIELS MIDLAND CO
CUSIP 039483AW2 | | NOTE 0.875% 2/1 | $3,410,000 | $13,216,000 | +9,806,000 | $3,470,000 | $13,984,000 | +$10,514,000 | 2014-05-21 |
|---|
| Q4 2013 | COBALT INTL ENERGY INC
CUSIP 19075FAA4 | | NOTE 2.625%12/0 | $3,000 | $11,607,000 | +11,604,000 | $3,000 | $10,265,000 | +$10,262,000 | 2014-05-21 |
|---|
| Q4 2013 | TESLA MTRS INC
CUSIP 88160RAA9 | | NOTE 1.500% 6/0 | $970,000 | $6,306,000 | +5,336,000 | $1,634,000 | $8,726,000 | +$7,092,000 | 2014-05-21 |
|---|
| Q4 2013 | NORTHGATE MINERALS CORP
CUSIP 666416AB8 | | NOTE 3.500%10/0 | $2,232,000 | $9,388,000 | +7,156,000 | $2,127,000 | $8,989,000 | +$6,862,000 | 2014-05-21 |
|---|
| Q4 2013 | HAWAIIAN HOLDINGS INC
CUSIP 419879AD3 | | NOTE 5.000% 3/1 | $4,282,000 | $6,172,000 | +1,890,000 | $4,999,000 | $8,355,000 | +$3,356,000 | 2014-05-21 |
|---|
| Q4 2013 | NUANCE COMMUNICATIONS INC
CUSIP 67020YAF7 | | NOTE 2.750%11/0 | $1,500,000 | $4,735,000 | +3,235,000 | $1,516,000 | $4,626,000 | +$3,110,000 | 2014-05-21 |
|---|
| Q4 2013 | SANDISK CORP
CUSIP 80004CAD3 | | NOTE 1.500% 8/1 | $73,000 | $1,573,000 | +1,500,000 | $97,000 | $2,319,000 | +$2,222,000 | 2014-05-21 |
|---|
| Q4 2013 | NAVISTAR INTL CORP NEW
CUSIP 63934EAL2 | | NOTE 3.000%10/1 | $12,000 | $1,014,000 | +1,002,000 | $12,000 | $1,037,000 | +$1,025,000 | 2014-05-21 |
|---|
| Q4 2013 | ARES CAP CORP
CUSIP 04010LAB9 | | NOTE 5.750% 2/0 | $4,000 | $467,000 | +463,000 | $4,000 | $503,000 | +$499,000 | 2014-05-21 |
|---|
| Q4 2013 | GT ADVANCED TECHNOLOGIES INC
CUSIP 36191UAA4 | | NOTE 3.000%10/0 | $819,000 | $1,065,000 | +246,000 | $1,067,000 | $1,460,000 | +$393,000 | 2014-05-21 |
|---|
| Q4 2013 | APOLLO INVT CORP
CUSIP 03761UAE6 | | NOTE 5.750% 1/1 | $3,000 | $173,000 | +170,000 | $3,000 | $184,000 | +$181,000 | 2014-05-21 |
|---|
| Q4 2013 | TEVA PHARMACEUTICAL FIN LLC
CUSIP 88163VAE9 | | DBCV 0.250% 2/0 | $6,000 | $66,000 | +60,000 | $6,000 | $70,000 | +$64,000 | 2014-05-21 |
|---|
| Q4 2013 | ADVANCED MICRO DEVICES INC
CUSIP 007903AL1 | | NOTE 6.000% 5/0 | $28,000 | $88,000 | +60,000 | $29,000 | $92,000 | +$63,000 | 2014-05-21 |
|---|
| Q4 2013 | NEWMONT MINING CORP
CUSIP 651639AJ5 | | NOTE 1.625% 7/1 | $3,000 | $53,000 | +50,000 | $3,000 | $54,000 | +$51,000 | 2014-05-21 |
|---|
| Q4 2013 | GOODRICH PETE CORP
CUSIP 382410AC2 | | NOTE 5.000%10/0 | $6,000 | $16,000 | +10,000 | $6,000 | $16,000 | +$10,000 | 2014-05-21 |
|---|
| Q4 2013 | MOLYCORP INC DEL
CUSIP 608753AF6 | | NOTE 6.000% 9/0 | $2,000 | $12,000 | +10,000 | $2,000 | $10,000 | +$8,000 | 2014-05-21 |
|---|
| Q4 2013 | DIGITAL RIV INC
CUSIP 25388BAB0 | | NOTE 1.250% 1/0 | $1,000 | $3,000 | +2,000 | $1,000 | $3,000 | +$2,000 | 2014-05-21 |
|---|
| Q3 2013 | MICRON TECHNOLOGY INC
CUSIP 595112AQ6 | | NOTE 1.500% 8/0 | $1,105,000 | $5,866,000 | +4,761,000 | $1,696,000 | $10,838,000 | +$9,142,000 | 2013-11-13 |
|---|
| Q3 2013 | ARCHER DANIELS MIDLAND CO
CUSIP 039483AW2 | | NOTE 0.875% 2/1 | $10,000 | $3,410,000 | +3,400,000 | $10,000 | $3,470,000 | +$3,460,000 | 2013-11-13 |
|---|
| Q3 2013 | HAWAIIAN HOLDINGS INC
CUSIP 419879AD3 | | NOTE 5.000% 3/1 | $2,317,000 | $4,282,000 | +1,965,000 | $2,531,000 | $4,999,000 | +$2,468,000 | 2013-11-13 |
|---|
| Q3 2013 | ARCELORMITTAL SA LUXEMBOURG
CUSIP 03938LAK0 | | NOTE 5.000% 5/1 | $745,000 | $1,945,000 | +1,200,000 | $760,000 | $1,980,000 | +$1,220,000 | 2013-11-13 |
|---|
| Q3 2013 | PROLOGIS
CUSIP 74340XAT8 | | NOTE 3.250% 3/1 | $12,000 | $697,000 | +685,000 | $14,000 | $789,000 | +$775,000 | 2013-11-13 |
|---|
| Q3 2013 | GILEAD SCIENCES INC
CUSIP 375558AN3 | | NOTE 1.000% 5/0 | $8,000 | $13,000 | +5,000 | $18,000 | $36,000 | +$18,000 | 2013-11-13 |
|---|
| Q3 2013 | BIOMARIN PHARMACEUTICAL INC
CUSIP 09061GAD3 | | NOTE 1.875% 4/2 | $12,000 | $13,000 | +1,000 | $33,000 | $47,000 | +$14,000 | 2013-11-13 |
|---|
| Q3 2013 | INTERNATIONAL GAME TECHNOLOG
CUSIP 459902AQ5 | | NOTE 3.250% 5/0 | $15,000 | $22,000 | +7,000 | $16,000 | $24,000 | +$8,000 | 2013-11-13 |
|---|
| Q3 2013 | ALLEGHENY TECHNOLOGIES INC
CUSIP 01741RAD4 | | NOTE 4.250% 6/0 | $18,000 | $22,000 | +4,000 | $19,000 | $23,000 | +$4,000 | 2013-11-13 |
|---|
| Q3 2013 | NUANCE COMMUNICATIONS INC
CUSIP 67020YAB6 | | DBCV 2.750% 8/1 | $12,000 | $15,000 | +3,000 | $14,000 | $17,000 | +$3,000 | 2013-11-13 |
|---|
| Q3 2013 | LAM RESEARCH CORP
CUSIP 512807AL2 | | NOTE 1.250% 5/1 | $10,000 | $11,000 | +1,000 | $11,000 | $13,000 | +$2,000 | 2013-11-13 |
|---|
| Q3 2013 | SANDISK CORP
CUSIP 80004CAD3 | | NOTE 1.500% 8/1 | $72,000 | $73,000 | +1,000 | $96,000 | $97,000 | +$1,000 | 2013-11-13 |
|---|
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