UBS AG historic quarter change: USA Bonds: Convertible Notes, Reduced
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 MGM RESORTS INTERNATIONAL; Country of operation —; Class NOTE 4.250% 4/1; Principal before $3,908,000.
- Q3 2014: Stock SANDISK CORP; Country of operation —; Class NOTE 1.500% 8/1; Principal before $9,009,000.
- Q3 2014: Stock COBALT INTL ENERGY INC; Country of operation —; Class NOTE 2.625%12/0; Principal before $5,000,000.
- Q3 2014: Stock TESLA MTRS INC; Country of operation —; Class NOTE 1.250% 3/0; Principal before $9,115,000.
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 | MGM RESORTS INTERNATIONAL
CUSIP 55303QAE0 | | NOTE 4.250% 4/1 | $3,908,000 | $3,158,000 | -750,000 | $5,737,000 | $3,977,000 | -$1,760,000 | 2014-11-12 |
|---|
| Q3 2014 | SANDISK CORP
CUSIP 80004CAD3 | | NOTE 1.500% 8/1 | $9,009,000 | $8,825,000 | -184,000 | $18,327,000 | $16,971,000 | -$1,356,000 | 2014-11-12 |
|---|
| Q3 2014 | COBALT INTL ENERGY INC
CUSIP 19075FAA4 | | NOTE 2.625%12/0 | $5,000,000 | $4,000,000 | -1,000,000 | $4,613,000 | $3,313,000 | -$1,300,000 | 2014-11-12 |
|---|
| Q3 2014 | TESLA MTRS INC
CUSIP 88160RAC5 | | NOTE 1.250% 3/0 | $9,115,000 | $8,638,000 | -477,000 | $8,813,000 | $8,206,000 | -$607,000 | 2014-11-12 |
|---|
| Q3 2014 | MASSEY ENERGY CO
CUSIP 576203AJ2 | | NOTE 3.250% 8/0 | $139,000 | $79,000 | -60,000 | $141,000 | $76,000 | -$65,000 | 2014-11-12 |
|---|
| Q3 2014 | APOLLO INVT CORP
CUSIP 03761UAE6 | | NOTE 5.750% 1/1 | $173,000 | $170,000 | -3,000 | $183,000 | $177,000 | -$6,000 | 2014-11-12 |
|---|
| Q4 2013 | PDL BIOPHARMA INC
CUSIP 69329YAE4 | | NOTE 2.875% 2/1 | $6,200,000 | $2,700,000 | -3,500,000 | $8,909,000 | $4,148,000 | -$4,761,000 | 2014-05-21 |
|---|
| Q4 2013 | PROLOGIS
CUSIP 74340XAT8 | | NOTE 3.250% 3/1 | $697,000 | $12,000 | -685,000 | $789,000 | $13,000 | -$776,000 | 2014-05-21 |
|---|
| Q4 2013 | PDL BIOPHARMA INC
CUSIP 69329YAC8 | | NOTE 3.750% 5/0 | $2,000,000 | $1,459,000 | -541,000 | $2,576,000 | $1,974,000 | -$602,000 | 2014-05-21 |
|---|
| Q4 2013 | ARCELORMITTAL SA LUXEMBOURG
CUSIP 03938LAK0 | | NOTE 5.000% 5/1 | $1,945,000 | $1,545,000 | -400,000 | $1,980,000 | $1,563,000 | -$417,000 | 2014-05-21 |
|---|
| Q4 2013 | ACCURAY INC
CUSIP 004397AB1 | | NOTE 3.750% 8/0 | $4,210,000 | $3,575,000 | -635,000 | $4,410,000 | $4,008,000 | -$402,000 | 2014-05-21 |
|---|
| Q4 2013 | JEFFERIES GROUP INC NEW
CUSIP 472319AG7 | | DBCV 3.875%11/0 | $255,000 | $174,000 | -81,000 | $267,000 | $184,000 | -$83,000 | 2014-05-21 |
|---|
| Q4 2013 | INTERNATIONAL GAME TECHNOLOG
CUSIP 459902AQ5 | | NOTE 3.250% 5/0 | $22,000 | $15,000 | -7,000 | $24,000 | $16,000 | -$8,000 | 2014-05-21 |
|---|
| Q4 2013 | EQUINIX INC
CUSIP 29444UAH9 | | NOTE 4.750% 6/1 | $3,000 | $2,000 | -1,000 | $7,000 | $4,000 | -$3,000 | 2014-05-21 |
|---|
| Q4 2013 | NUANCE COMMUNICATIONS INC
CUSIP 67020YAB6 | | DBCV 2.750% 8/1 | $15,000 | $13,000 | -2,000 | $17,000 | $14,000 | -$3,000 | 2014-05-21 |
|---|
| Q4 2013 | NEWPARK RES INC
CUSIP 651718AC2 | | NOTE 4.000%10/0 | $7,000 | $5,000 | -2,000 | $10,000 | $7,000 | -$3,000 | 2014-05-21 |
|---|
| Q4 2013 | CHESAPEAKE ENERGY CORP
CUSIP 165167BW6 | | NOTE 2.750%11/1 | $44,000 | $42,000 | -2,000 | $38,000 | $36,000 | -$2,000 | 2014-05-21 |
|---|
| Q4 2013 | TTM TECHNOLOGIES INC
CUSIP 87305RAC3 | | NOTE 3.250% 5/1 | $7,000 | $6,000 | -1,000 | $7,000 | $6,000 | -$1,000 | 2014-05-21 |
|---|
| Q4 2013 | LAM RESEARCH CORP
CUSIP 512807AL2 | | NOTE 1.250% 5/1 | $11,000 | $10,000 | -1,000 | $13,000 | $12,000 | -$1,000 | 2014-05-21 |
|---|
| Q3 2013 | HEALTH CARE REIT INC
CUSIP 42217KAR7 | | NOTE 3.000%12/0 | $25,000,000 | $1,000 | -24,999,000 | $33,078,000 | $1,000 | -$33,077,000 | 2013-11-13 |
|---|
| Q3 2013 | NEWMONT MINING CORP
CUSIP 651639AJ5 | | NOTE 1.625% 7/1 | $13,500,000 | $3,000 | -13,497,000 | $14,504,000 | $3,000 | -$14,501,000 | 2013-11-13 |
|---|
| Q3 2013 | GT ADVANCED TECHNOLOGIES INC
CUSIP 36191UAA4 | | NOTE 3.000%10/0 | $5,958,000 | $819,000 | -5,139,000 | $5,057,000 | $1,067,000 | -$3,990,000 | 2013-11-13 |
|---|
| Q3 2013 | MICRON TECHNOLOGY INC
CUSIP 595112AR4 | | NOTE 1.875% 8/0 | $2,936,000 | $550,000 | -2,386,000 | $4,558,000 | $1,031,000 | -$3,527,000 | 2013-11-13 |
|---|
| Q3 2013 | NORTHGATE MINERALS CORP
CUSIP 666416AB8 | | NOTE 3.500%10/0 | $4,840,000 | $2,232,000 | -2,608,000 | $4,562,000 | $2,127,000 | -$2,435,000 | 2013-11-13 |
|---|
| Q3 2013 | TAKE-TWO INTERACTIVE SOFTWAR
CUSIP 874054AD1 | | NOTE 1.000% 7/0 | $2,143,000 | $3,000 | -2,140,000 | $2,084,000 | $3,000 | -$2,081,000 | 2013-11-13 |
|---|
| Q3 2013 | NAVISTAR INTL CORP NEW
CUSIP 63934EAL2 | | NOTE 3.000%10/1 | $2,009,000 | $12,000 | -1,997,000 | $1,951,000 | $12,000 | -$1,939,000 | 2013-11-13 |
|---|
| Q3 2013 | E M C CORP MASS
CUSIP 268648AM4 | | NOTE 1.750%12/0 | $1,125,000 | $27,000 | -1,098,000 | $1,662,000 | $43,000 | -$1,619,000 | 2013-11-13 |
|---|
| Q3 2013 | FORD MTR CO DEL
CUSIP 345370CN8 | | NOTE 4.250%11/1 | $692,000 | $15,000 | -677,000 | $1,250,000 | $30,000 | -$1,220,000 | 2013-11-13 |
|---|
| Q3 2013 | NEWMONT MINING CORP
CUSIP 651639AH9 | | NOTE 1.250% 7/1 | $1,163,000 | $6,000 | -1,157,000 | $1,175,000 | $6,000 | -$1,169,000 | 2013-11-13 |
|---|
| Q3 2013 | NUANCE COMMUNICATIONS INC
CUSIP 67020YAF7 | | NOTE 2.750%11/0 | $2,480,000 | $1,500,000 | -980,000 | $2,554,000 | $1,516,000 | -$1,038,000 | 2013-11-13 |
|---|
| Q3 2013 | ALCOA INC
CUSIP 013817AT8 | | NOTE 5.250% 3/1 | $757,000 | $7,000 | -750,000 | $961,000 | $9,000 | -$952,000 | 2013-11-13 |
|---|
| Q3 2013 | ACCURAY INC
CUSIP 004397AB1 | | NOTE 3.750% 8/0 | $5,010,000 | $4,210,000 | -800,000 | $4,803,000 | $4,410,000 | -$393,000 | 2013-11-13 |
|---|
| Q3 2013 | ADVANCED MICRO DEVICES INC
CUSIP 007903AL1 | | NOTE 6.000% 5/0 | $192,000 | $28,000 | -164,000 | $196,000 | $29,000 | -$167,000 | 2013-11-13 |
|---|
| Q3 2013 | CHESAPEAKE ENERGY CORP
CUSIP 165167BW6 | | NOTE 2.750%11/1 | $167,000 | $44,000 | -123,000 | $144,000 | $38,000 | -$106,000 | 2013-11-13 |
|---|
| Q3 2013 | JEFFERIES GROUP INC NEW
CUSIP 472319AG7 | | DBCV 3.875%11/0 | $314,000 | $255,000 | -59,000 | $335,000 | $267,000 | -$68,000 | 2013-11-13 |
|---|
| Q3 2013 | CHESAPEAKE ENERGY CORP
CUSIP 165167BZ9 | | NOTE 2.500% 5/1 | $50,000 | $5,000 | -45,000 | $38,000 | $4,000 | -$34,000 | 2013-11-13 |
|---|
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