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UBS AG Historic Quarter Change: USA Funds, Added, 2014 Q2

UBS AG historic quarter change: USA Funds, Added

In funds and trusts that are not on this site's ETF list (sponsor series, commodity pools, money market) (listed in the US), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 104 positions, added to 833, reduced 627 and sold out of 121.

  • Q2 2014: Stock APOLLO INVT CORP; Country of operation —; Class COM; Shares before 6,266,132.
  • Q2 2014: Stock COMMONWEALTH REIT; Country of operation —; Class COM SH BEN INT; Shares before 129,180.
  • Q2 2014: Stock TWO HBRS INVT CORP; Country of operation —; Class COM; Shares before 2,681,977.
  • Q2 2014: Stock CHIMERA INVT CORP; Country of operation —; Class COM; Shares before 5,196,738.

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
Q2 2014APOLLO INVT CORP
CUSIP 03761U106
COM6,266,1327,861,975+1,595,843$52,072,000$67,692,000+$15,620,0002014-08-14
Q2 2014COMMONWEALTH REIT
CUSIP 203233101
COM SH BEN INT129,180607,846+478,666$3,397,000$15,999,000+$12,602,0002014-08-14
Q2 2014TWO HBRS INVT CORP
CUSIP 90187B101
COM2,681,9773,592,557+910,580$27,490,000$37,650,000+$10,160,0002014-08-14
Q2 2014CHIMERA INVT CORP
CUSIP 16934Q109
COM5,196,7388,036,797+2,840,059$15,902,000$25,638,000+$9,736,0002014-08-14
Q2 2014ALPINE TOTAL DYNAMIC DIVID F
CUSIP 021060207
COM SH BEN INT N776,9001,780,190+1,003,290$6,518,000$15,879,000+$9,361,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383M654
GUGG ENH SHT DUR395,766524,128+128,362$19,891,000$26,374,000+$6,483,0002014-08-14
Q2 2014CYS INVTS INC
CUSIP 12673A108
COM1,165,3671,689,136+523,769$9,626,000$15,236,000+$5,610,0002014-08-14
Q2 2014NEW RESIDENTIAL INVT CORP
CUSIP 64828T102
COM3,831,7824,768,651+936,869$24,792,000$30,043,000+$5,251,0002014-08-14
Q2 2014POWERSHARES DB CMDTY IDX TRA
CUSIP 73935S105
UNIT BEN INT1,857,5902,022,153+164,563$48,520,000$53,748,000+$5,228,0002014-08-14
Q2 2014GOLDMAN SACHS MLP INC OPP FD
CUSIP 38147W103
COM SHS7,300255,932+248,632$139,000$5,323,000+$5,184,0002014-08-14
Q2 2014AMERICAN CAP MTG INVT CORP
CUSIP 02504A104
COM332,005565,251+233,246$6,231,000$11,316,000+$5,085,0002014-08-14
Q2 2014ETFS SILVER TR
CUSIP 26922X107
SILVER SHS168,047360,837+192,790$3,282,000$7,505,000+$4,223,0002014-08-14
Q2 2014LIBERTY PPTY TR
CUSIP 531172104
SH BEN INT59,874165,708+105,834$2,213,000$6,285,000+$4,072,0002014-08-14
Q2 2014ETFS PLATINUM TR
CUSIP 26922V101
SH BEN INT104,392120,329+15,937$14,419,000$17,404,000+$2,985,0002014-08-14
Q2 2014ALLIANZGI CONV & INCOME FD
CUSIP 018828103
COM626,393833,112+206,719$6,427,000$8,823,000+$2,396,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383M415
GUG BLT2016 HY597,933681,086+83,153$16,324,000$18,682,000+$2,358,0002014-08-14
Q2 2014UNITED STATES OIL FUND LP
CUSIP 91232N108
UNITS33,90390,192+56,289$1,240,000$3,507,000+$2,267,0002014-08-14
Q2 2014EGA EMERGING GLOBAL SHS TR
CUSIP 268461639
EGSHR BYND BRC2,300104,284+101,984$49,000$2,285,000+$2,236,0002014-08-14
Q2 2014HOSPITALITY PPTYS TR
CUSIP 44106M102
COM SH BEN INT263,804316,850+53,046$7,577,000$9,632,000+$2,055,0002014-08-14
Q2 2014APARTMENT INVT & MGMT CO
CUSIP 03748R101
CL A201,065248,965+47,900$6,076,000$8,034,000+$1,958,0002014-08-14
Q2 2014TEMPLETON GLOBAL INCOME FD
CUSIP 880198106
United StatesCOM270,405479,673+209,268$2,175,000$3,963,000+$1,788,0002014-08-14
Q2 2014NUVEEN SR INCOME FD
CUSIP 67067Y104
COM371,603583,929+212,326$2,661,000$4,117,000+$1,456,0002014-08-14
Q2 2014NUVEEN DIVERSIFIED COMMODTY
CUSIP 67074P104
COM UT BEN INT205,370286,222+80,852$3,261,000$4,654,000+$1,393,0002014-08-14
Q2 2014CLEARBRIDGE ENERGY MLP FD IN
CUSIP 184692101
COM259,378273,272+13,894$6,908,000$8,157,000+$1,249,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383Q507
GUGG S&P GBL WTR187,802220,041+32,239$5,450,000$6,630,000+$1,180,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383M423
GUGG BULL 2015534,907575,893+40,986$14,459,000$15,504,000+$1,045,0002014-08-14
Q2 2014ETFS PALLADIUM TR
CUSIP 26923A106
SH BEN INT15,89625,564+9,668$1,201,000$2,101,000+$900,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383M506
GUG MULTI ASSET505,936519,865+13,929$12,714,000$13,589,000+$875,0002014-08-14
Q2 2014NUVEEN QUALITY PFD INCOME FD
CUSIP 67072C105
United StatesCOM1,109,5581,161,078+51,520$9,631,000$10,485,000+$854,0002014-08-14
Q2 2014BLACKROCK STRATEGIC MUN TR
CUSIP 09248T109
COM11,18073,225+62,045$143,000$991,000+$848,0002014-08-14
Q2 2014SALIENT MIDSTREAM & MLP FD
CUSIP 79471V105
SH BEN INT7,83435,001+27,167$191,000$1,036,000+$845,0002014-08-14
Q2 2014NASDAQ PREM INCM & GRW FD IN
CUSIP 63110R105
COM409,974438,436+28,462$7,470,000$8,234,000+$764,0002014-08-14
Q2 2014EATON VANCE TAX-ADV BD & OPT
CUSIP 27829M103
COM SH BEN INT48,123101,244+53,121$667,000$1,405,000+$738,0002014-08-14
Q2 2014NEW YORK MTG TR INC
CUSIP 649604501
COM PAR $.0290,431183,077+92,646$703,000$1,430,000+$727,0002014-08-14
Q2 2014MONMOUTH REAL ESTATE INVT CO
CUSIP 609720107
CL A9,56478,329+68,765$91,000$786,000+$695,0002014-08-14
Q2 2014BLACKROCK MUNI INTER DR FD I
CUSIP 09253X102
United StatesCOM71,310115,590+44,280$1,013,000$1,687,000+$674,0002014-08-14
Q2 2014ETFS PRECIOUS METALS BASKET
CUSIP 26922W109
PHYS PM BSKT30,71838,287+7,569$2,122,000$2,774,000+$652,0002014-08-14
Q2 2014H & Q HEALTHCARE INVESTORS
CUSIP 404052102
SH BEN INT101,557128,920+27,363$2,763,000$3,398,000+$635,0002014-08-14
Q2 2014WESTERN ASSET VAR RT STRG FD
CUSIP 957667108
COM146,523175,826+29,303$2,506,000$3,072,000+$566,0002014-08-14
Q2 2014NUVEEN QUALITY PFD INC FD 3
CUSIP 67072W101
COM264,971318,299+53,328$2,218,000$2,763,000+$545,0002014-08-14
Q2 2014DREYFUS MUN BD INFRSTRCTR FD
CUSIP 26203D101
SHS53,80095,847+42,047$605,000$1,135,000+$530,0002014-08-14
Q2 2014GUGGENHEIM EQ WEIGHT ENHANC
CUSIP 40167M106
COM SH BEN INT18,60242,596+23,994$350,000$853,000+$503,0002014-08-14
Q2 2014UNITED STATES NATL GAS FUND
CUSIP 912318201
UNIT PAR $0.001185,464204,041+18,577$4,529,000$5,019,000+$490,0002014-08-14
Q2 2014SALIENT MLP & ENERGY INFRSTR
CUSIP 79471T100
COM SH BEN INT4,50317,171+12,668$134,000$581,000+$447,0002014-08-14
Q2 2014NUVEEN QUALITY PFD INCOME FD
CUSIP 67071S101
COM434,555462,755+28,200$3,498,000$3,938,000+$440,0002014-08-14
Q2 2014NUVEEN MUN ADVANTAGE FD INC
CUSIP 67062H106
COM93,396122,502+29,106$1,212,000$1,646,000+$434,0002014-08-14
Q2 2014PIONEER MUN HIGH INCOME TR
CUSIP 723763108
United StatesCOM SHS42,55567,333+24,778$631,000$1,046,000+$415,0002014-08-14
Q2 2014WEINGARTEN RLTY INVS
CUSIP 948741103
SH BEN INT60,00167,364+7,363$1,800,000$2,211,000+$411,0002014-08-14
Q2 2014BLACKROCK MUNIYIELD INVST FD
CUSIP 09254R104
COM50,65474,506+23,852$717,000$1,094,000+$377,0002014-08-14
Q2 2014DREYFUS STRATEGIC MUN BD FD
CUSIP 26202F107
COM26,64862,965+36,317$208,000$522,000+$314,0002014-08-14
Q2 2014CURRENCYSHARES CDN DLR TR
CUSIP 23129X105
CDN DOLLAR SHS31,48333,712+2,229$2,833,000$3,142,000+$309,0002014-08-14
Q2 2014NUVEEN SELECT QUALITY MUN FD
CUSIP 670973106
COM230,381238,262+7,881$3,050,000$3,302,000+$252,0002014-08-14
Q2 2014BLACKROCK MUNIENHANCED FD IN
CUSIP 09253Y100
COM60,20981,313+21,104$657,000$909,000+$252,0002014-08-14
Q2 2014LEGG MASON BW GLB INC OPP FD
CUSIP 52469B100
COM90,989100,598+9,609$1,598,000$1,846,000+$248,0002014-08-14
Q2 2014NUVEEN QUALITY INCOME MUN FD
CUSIP 670977107
COM222,624233,224+10,600$2,959,000$3,200,000+$241,0002014-08-14
Q2 2014BLACKROCK ECOSOLUTIONS INVT
CUSIP 092546100
COM SH10,80038,868+28,068$87,000$321,000+$234,0002014-08-14
Q2 2014APOLLO SR FLOATING RATE FD I
CUSIP 037636107
United StatesCOM25,40138,168+12,767$464,000$689,000+$225,0002014-08-14
Q2 2014ALLIANCE CALIF MUN INCOME FD
CUSIP 018546101
COM7,67324,350+16,677$98,000$320,000+$222,0002014-08-14
Q2 2014NUVEEN FLTNG RTE INCM OPP FD
CUSIP 6706EN100
COM SHS64,49881,214+16,716$787,000$1,009,000+$222,0002014-08-14
Q2 2014ALLIANZGI CONV & INCOME FD I
CUSIP 018825109
COM325,505339,657+14,152$3,203,000$3,397,000+$194,0002014-08-14
Q2 2014ENDURO RTY TR
CUSIP 29269K100
TR UNIT29,48140,649+11,168$370,000$562,000+$192,0002014-08-14
Q2 2014PIMCO NY MUNICIPAL INCOME FD
CUSIP 72200T103
United StatesCOM43,74456,850+13,106$484,000$665,000+$181,0002014-08-14
Q2 2014BABSON CAP PARTN INVS TR
CUSIP 05616B100
SH BEN INT232,937238,146+5,209$3,090,000$3,258,000+$168,0002014-08-14
Q2 2014NUVEEN QUALITY MUN FD INC
CUSIP 67062N103
COM29,24241,124+11,882$373,000$539,000+$166,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383M258
GUGG BULSH 202290,44796,320+5,873$1,848,000$2,010,000+$162,0002014-08-14
Q2 2014AMERICAN EQTY INVT LIFE HLD
CUSIP 025676206
United StatesCOM18,80224,618+5,816$444,000$606,000+$162,0002014-08-14
Q2 2014BLACKROCK MUNIYIELD CALIF FD
CUSIP 09254M105
COM51,63460,472+8,838$759,000$913,000+$154,0002014-08-14
Q2 2014LMP REAL ESTATE INCOME FD IN
CUSIP 50208C108
COM22,83334,182+11,349$247,000$393,000+$146,0002014-08-14
Q2 2014ARES MULTI STRATEGY CR FD IN
CUSIP 04014Q108
COM25,50032,218+6,718$561,000$704,000+$143,0002014-08-14
Q2 2014EDUCATION RLTY TR INC
CUSIP 28140H104
COM73,59080,297+6,707$726,000$862,000+$136,0002014-08-14
Q2 2014NUVEEN PREM INCOME MUN FD
CUSIP 67062T100
COM145,621149,911+4,290$1,909,000$2,037,000+$128,0002014-08-14
Q2 2014AG MTG INVT TR INC
CUSIP 001228105
COM17,49622,895+5,399$306,000$433,000+$127,0002014-08-14
Q2 2014ADVENT CLAY CONV SEC INC FD
CUSIP 007639107
COM372,768383,455+10,687$2,818,000$2,937,000+$119,0002014-08-14
Q2 2014H & Q LIFE SCIENCES INVS
CUSIP 404053100
SH BEN INT29,04136,102+7,061$632,000$750,000+$118,0002014-08-14
Q2 2014BLACKROCK MUNIYIELD N J FD I
CUSIP 09254Y109
COM63,01467,558+4,544$898,000$1,011,000+$113,0002014-08-14
Q2 2014BLACKROCK MUNICIPAL BOND TR
CUSIP 09249H104
COM24,69230,310+5,618$366,000$477,000+$111,0002014-08-14
Q2 2014SELECT INCOME REIT
CUSIP 81618T100
COM SH BEN INT18,87122,675+3,804$571,000$671,000+$100,0002014-08-14
Q2 2014EATON VANCE FLTG RATE INCOM
CUSIP 278284104
COM SHS BEN INT89,75396,166+6,413$1,639,000$1,732,000+$93,0002014-08-14
Q2 2014DELAWARE INVTS DIV & INCOME
CUSIP 245915103
COM78,76880,564+1,796$754,000$841,000+$87,0002014-08-14
Q2 2014NUVEEN CA DIV ADVANTG MUN FD
CUSIP 67069X104
COM210,040211,511+1,471$2,869,000$2,955,000+$86,0002014-08-14
Q2 2014ARLINGTON ASSET INVT CORP
CUSIP 041356205
CL A NEW2,3395,372+3,033$62,000$147,000+$85,0002014-08-14
Q2 2014NUVEEN SELECT TAX FREE INCM
CUSIP 67063X100
SH BEN INT104,303107,199+2,896$1,426,000$1,509,000+$83,0002014-08-14
Q2 2014HERSHA HOSPITALITY TR
CUSIP 427825104
SH BEN INT A39,91047,011+7,101$233,000$316,000+$83,0002014-08-14
Q2 2014BLACKROCK MUN 2020 TERM TR
CUSIP 09249X109
COM SHS150,217155,887+5,670$2,459,000$2,539,000+$80,0002014-08-14
Q2 2014DOW 30 PREMIUM & DIV INC FD
CUSIP 260582101
COM60,09965,023+4,924$963,000$1,042,000+$79,0002014-08-14
Q2 2014MORGAN STANLEY EMER MKTS FD
CUSIP 61744G107
COM8,82413,114+4,290$135,000$211,000+$76,0002014-08-14
Q2 2014FEDERATED ENHANC TREAS INCM
CUSIP 314162108
COM SH BEN INT63,45369,597+6,144$865,000$939,000+$74,0002014-08-14
Q2 2014BLACKROCK INCOME TR INC
CUSIP 09247F100
COM297,581303,370+5,789$1,940,000$2,014,000+$74,0002014-08-14
Q2 2014CATCHMARK TIMBER TR INC
CUSIP 14912Y202
CL A4,3749,861+5,487$61,000$135,000+$74,0002014-08-14
Q2 2014WESTERN ASSET MUN DEF OPP TR
CUSIP 95768A109
COM61,88463,867+1,983$1,359,000$1,432,000+$73,0002014-08-14
Q2 2014NUVEEN MD PREM INCOME MUN FD
CUSIP 67061Q107
COM27,94332,490+4,547$347,000$419,000+$72,0002014-08-14
Q2 2014CLAYMORE EXCHANGE TRD FD TR
CUSIP 18383Q606
GUGG CA ENRG INC10,26712,990+2,723$157,000$227,000+$70,0002014-08-14
Q2 2014BROOKFIELD TOTAL RETURN FD I
CUSIP 11283U108
COM35,32536,654+1,329$856,000$923,000+$67,0002014-08-14
Q2 2014MACQUARIE FT TR GB INF UT DI
CUSIP 55607W100
United StatesCOM46,28747,932+1,645$793,000$860,000+$67,0002014-08-14
Q2 2014ZWEIG FD
CUSIP 989834205
COM NEW5244,732+4,208$8,000$74,000+$66,0002014-08-14
Q2 2014EXCEL TR INC
CUSIP 30068C109
COM12,70716,891+4,184$161,000$225,000+$64,0002014-08-14
Q2 2014UNITED STS SHORT OIL FD LP
CUSIP 912613205
UNITS1442,252+2,108$5,000$69,000+$64,0002014-08-14
Q2 2014THAI FD INC
CUSIP 882904105
COM1,9597,459+5,500$21,000$84,000+$63,0002014-08-14
Q2 2014FELCOR LODGING TR INC
CUSIP 31430F101
COM27,97530,094+2,119$253,000$316,000+$63,0002014-08-14
Q2 2014HELIOS ADVANTAGE INCOME FD I
CUSIP 42327W206
COM NEW34,09538,422+4,327$319,000$378,000+$59,0002014-08-14

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