UBS AG Historic Quarter Change: USA Bonds: Zero-Coupon Convertibles, New

UBS AG historic quarter change: USA Bonds: Zero-Coupon Convertibles, New

In zero-coupon convertible notes (no coupon in the filed class) (listed in the US), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 12 positions, added to 2, reduced 1 and sold out of 11.

Q2 2014: Stock DANAHER CORP DEL; Country of operation —; Class NOTE 1/2; Principal before $0.
Q2 2014: Stock COSTCO COMPANIES INC; Country of operation —; Class NOTE 8/1; Principal before $0.
Q2 2014: Stock CSX CORP; Country of operation —; Class DBCV 10/3; Principal before $0.
Q2 2014: Stock OMNICOM GROUP INC; Country of operation —; Class NOTE 7/3; Principal before $0.

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	Class	Principal before	Principal after	Share change	Value before	Value after	Value change	Filed
Q2 2014	DANAHER CORP DEL CUSIP 235851AF9	NOTE 1/2	$0	$46,000	+46,000	$0	$105,000	+$105,000	2014-08-14
Q2 2014	COSTCO COMPANIES INC CUSIP 22160QAC6	NOTE 8/1	$0	$27,000	+27,000	$0	$71,000	+$71,000	2014-08-14
Q2 2014	CSX CORP CUSIP 126408GA5	DBCV 10/3	$0	$4,000	+4,000	$0	$13,000	+$13,000	2014-08-14
Q2 2014	OMNICOM GROUP INC CUSIP 681919AM8	NOTE 7/3	$0	$3,000	+3,000	$0	$4,000	+$4,000	2014-08-14
Q2 2014	LABORATORY CORP AMER HLDGS CUSIP 50540RAG7	NOTE 9/1	$0	$2,000	+2,000	$0	$3,000	+$3,000	2014-08-14
Q1 2014	DANAHER CORP DEL CUSIP 235851AF9	NOTE 1/2	$0	$43,000	+43,000	$0	$94,000	+$94,000	2014-05-16
Q1 2014	COSTCO COMPANIES INC CUSIP 22160QAC6	NOTE 8/1	$0	$27,000	+27,000	$0	$68,000	+$68,000	2014-05-16
Q1 2014	CSX CORP CUSIP 126408GA5	DBCV 10/3	$0	$4,000	+4,000	$0	$12,000	+$12,000	2014-05-16
Q1 2014	OMNICOM GROUP INC CUSIP 681919AM8	NOTE 7/3	$0	$3,000	+3,000	$0	$4,000	+$4,000	2014-05-16
Q1 2014	LABORATORY CORP AMER HLDGS CUSIP 50540RAG7	NOTE 9/1	$0	$2,000	+2,000	$0	$3,000	+$3,000	2014-05-16
Q4 2013	OMNICOM GROUP INC CUSIP 681919AM8	NOTE 7/3	$0	$3,000	+3,000	$0	$4,000	+$4,000	2014-05-21
Q3 2013	LABORATORY CORP AMER HLDGS CUSIP 50540RAG7	NOTE 9/1	$0	$2,000	+2,000	$0	$3,000	+$3,000	2013-11-13

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