UBS AG historic quarter change: USA Preferred Shares, Added
In preferred shares (listed in the US), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 27 positions, added to 79, reduced 73 and sold out of 31.
- Q3 2014: Stock FPE; Country of operation —; Class PFD SECS INC ETF; Shares before 69,140.
- Q3 2014: Stock POWERSHARES ETF TRUST; Country of operation —; Class FINL PFD PTFL; Shares before 828,957.
- Q3 2014: Stock ISHARES TR; Country of operation —; Class INTL PFD STK ETF; Shares before 51,282.
- Q3 2014: Stock BANK AMER CORP; Country of operation United States; Class 7.25%CNV PFD L; Shares before 1,347.
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 | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|---|---|---|---|---|---|---|---|---|---|
| Q3 2014 | FPE FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 69,140 | 111,651 | +42,511 | $1,332,000 | $2,106,000 | +$774,000 | 2014-11-12 | |
| Q3 2014 | POWERSHARES ETF TRUST CUSIP 73935X229 | FINL PFD PTFL | 828,957 | 853,012 | +24,055 | $15,087,000 | $15,363,000 | +$276,000 | 2014-11-12 | |
| Q3 2014 | ISHARES TR CUSIP 46429B135 | INTL PFD STK ETF | 51,282 | 62,641 | +11,359 | $1,293,000 | $1,495,000 | +$202,000 | 2014-11-12 | |
| Q3 2014 | BANK AMER CORP CUSIP 060505682 | United States | 7.25%CNV PFD L | 1,347 | 1,550 | +203 | $1,580,000 | $1,777,000 | +$197,000 | 2014-11-12 |
| Q3 2014 | HUNTINGTON BANCSHARES INC CUSIP 446150401 | PFD CONV SER A | 222 | 316 | +94 | $293,000 | $419,000 | +$126,000 | 2014-11-12 | |
| Q3 2014 | POWERSHARES GLOBAL ETF TRUST CUSIP 73936T565 | AGG PFD PORT | 955,298 | 958,853 | +3,555 | $13,976,000 | $13,866,000 | -$110,000 | 2014-11-12 | |
| Q3 2014 | BARCLAYS BANK PLC CUSIP 06739H511 | ADS7.75%PFD S4 | 176,937 | 180,540 | +3,603 | $4,560,000 | $4,668,000 | +$108,000 | 2014-11-12 | |
| Q3 2014 | ALERE INC CUSIP 01449J204 | PERP PFD CONV SE | 514 | 625 | +111 | $163,000 | $203,000 | +$40,000 | 2014-11-12 | |
| Q3 2014 | WELLS FARGO & CO NEW CUSIP 949746804 | United States | PERP PFD CNV A | 1,217 | 1,259 | +42 | $1,478,000 | $1,514,000 | +$36,000 | 2014-11-12 |
| Q3 2014 | OMNICARE CAP TR II CUSIP 68214Q200 | PFD B TR 4.00% | 992 | 1,492 | +500 | $81,000 | $114,000 | +$33,000 | 2014-11-12 | |
| Q3 2014 | EL PASO ENERGY CAP TR I CUSIP 283678209 | United States | PFD CV TR SECS | 10,319 | 10,486 | +167 | $571,000 | $598,000 | +$27,000 | 2014-11-12 |
| Q3 2014 | KEYCORP NEW CUSIP 493267405 | PFD 7.75% SR A | 468 | 589 | +121 | $61,000 | $77,000 | +$16,000 | 2014-11-12 | |
| Q3 2014 | U M H PROPERTIES INC CUSIP 903002202 | CV RED PFD-A | 1,170 | 1,626 | +456 | $31,000 | $43,000 | +$12,000 | 2014-11-12 | |
| Q3 2014 | ASHFORD HOSPITALITY TR INC CUSIP 044103505 | 9% CUM PFD SER E | 870 | 1,074 | +204 | $24,000 | $30,000 | +$6,000 | 2014-11-12 | |
| Q3 2014 | CHESAPEAKE ENERGY CORP CUSIP 165167842 | PFD CONV | 3,954 | 4,004 | +50 | $386,000 | $384,000 | -$2,000 | 2014-11-12 | |
| Q2 2014 | POWERSHARES GLOBAL ETF TRUST CUSIP 73936T565 | AGG PFD PORT | 897,211 | 955,298 | +58,087 | $12,794,000 | $13,976,000 | +$1,182,000 | 2014-08-14 | |
| Q2 2014 | FPE FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 56,762 | 69,140 | +12,378 | $1,066,000 | $1,332,000 | +$266,000 | 2014-08-14 | |
| Q2 2014 | PSK SPDR SERIES TRUST | WELLS FG PFD ETF | 32,191 | 34,884 | +2,693 | $1,365,000 | $1,522,000 | +$157,000 | 2014-08-14 | |
| Q2 2014 | FELCOR LODGING TR INC CUSIP 31430F200 | PFD CV A $1.95 | 1,309 | 2,811 | +1,502 | $32,000 | $74,000 | +$42,000 | 2014-08-14 | |
| Q2 2014 | AES TR III CUSIP 00808N202 | PFD CV 6.75% | 7,496 | 8,176 | +680 | $383,000 | $424,000 | +$41,000 | 2014-08-14 | |
| Q2 2014 | LEXINGTON REALTY TRUST CUSIP 529043309 | United States | PFD CONV SER C | 424 | 1,236 | +812 | $20,000 | $60,000 | +$40,000 | 2014-08-14 |
| Q2 2014 | HECLA MNG CO CUSIP 422704205 | PFD CV SER B | 130 | 700 | +570 | $6,000 | $35,000 | +$29,000 | 2014-08-14 | |
| Q2 2014 | CINCINNATI BELL INC NEW CUSIP 171871403 | PFD CV DEP1/20 | 4,131 | 4,383 | +252 | $187,000 | $211,000 | +$24,000 | 2014-08-14 | |
| Q2 2014 | U M H PROPERTIES INC CUSIP 903002202 | CV RED PFD-A | 800 | 1,170 | +370 | $21,000 | $31,000 | +$10,000 | 2014-08-14 | |
| Q2 2014 | EPRPRE EPR PPTYS | United States | CONV PFD 9% SR E | 100 | 373 | +273 | $3,000 | $12,000 | +$9,000 | 2014-08-14 |
| Q2 2014 | GLOBAL X FDS CUSIP 37950E481 | GLB X CDA PFD | 1,041 | 1,584 | +543 | $13,000 | $20,000 | +$7,000 | 2014-08-14 | |
| Q2 2014 | SUPERTEL HOSPITALITY INC MD CUSIP 868526203 | PFD CONV SER A | 700 | 1,456 | +756 | $3,000 | $8,000 | +$5,000 | 2014-08-14 | |
| Q2 2014 | HEALTH CARE REIT INC CUSIP 42217K601 | PFD PER CON I | 100 | 161 | +61 | $6,000 | $10,000 | +$4,000 | 2014-08-14 | |
| Q2 2014 | USA TECHNOLOGIES INC CUSIP 90328S203 | CONV PFD SER A | 902 | 1,102 | +200 | $17,000 | $19,000 | +$2,000 | 2014-08-14 | |
| Q2 2014 | BGMSP CYCLACEL PHARMACEUTICALS INC | PFD CONV EX 6% | 31 | 34 | +3 | $0 | $0 | $0 | 2014-08-14 | |
| Q1 2014 | PFF ISHARES | U.S. PFD STK ETF | 2,154,164 | 2,487,692 | +333,528 | $79,338,000 | $97,095,000 | +$17,757,000 | 2014-05-16 | |
| Q1 2014 | POWERSHARES GLOBAL ETF TRUST CUSIP 73936T565 | AGG PFD PORT | 742,431 | 897,211 | +154,780 | $9,978,000 | $12,794,000 | +$2,816,000 | 2014-05-16 | |
| Q1 2014 | BARCLAYS BANK PLC CUSIP 06739H511 | ADS7.75%PFD S4 | 184,585 | 197,931 | +13,346 | $4,676,000 | $5,134,000 | +$458,000 | 2014-05-16 | |
| Q1 2014 | ISHARES TR CUSIP 46429B135 | INTL PFD STK ETF | 32,806 | 51,841 | +19,035 | $787,000 | $1,234,000 | +$447,000 | 2014-05-16 | |
| Q1 2014 | BANK OF AMERICA CORPORATION CUSIP 060505682 | United States | 7.25%CNV PFD L | 1,468 | 1,743 | +275 | $1,558,000 | $1,994,000 | +$436,000 | 2014-05-16 |
| Q1 2014 | FPE FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 38,942 | 56,762 | +17,820 | $698,000 | $1,066,000 | +$368,000 | 2014-05-16 | |
| Q1 2014 | MARKET VECTORS ETF TR CUSIP 57061R791 | PFD SEC EXFINL | 31,092 | 41,953 | +10,861 | $586,000 | $857,000 | +$271,000 | 2014-05-16 | |
| Q1 2014 | PSK SPDR SERIES TRUST | WELLS FG PFD ETF | 29,230 | 32,191 | +2,961 | $1,152,000 | $1,365,000 | +$213,000 | 2014-05-16 | |
| Q1 2014 | COMMONWEALTH REIT CUSIP 203233606 | CV PFD-E 7.25% | 20,855 | 23,962 | +3,107 | $455,000 | $603,000 | +$148,000 | 2014-05-16 | |
| Q1 2014 | HUNTINGTON BANCSHARES INC CUSIP 446150401 | PFD CONV SER A | 451 | 546 | +95 | $575,000 | $710,000 | +$135,000 | 2014-05-16 | |
| Q1 2014 | COMMONWEALTH REIT CUSIP 203233408 | 6.50% PFD CUM CO | 3,421 | 7,727 | +4,306 | $70,000 | $194,000 | +$124,000 | 2014-05-16 | |
| Q1 2014 | GOODYEAR TIRE & RUBR CO CUSIP 382550309 | PFD CONV 5.875% | 880 | 2,257 | +1,377 | $59,000 | $164,000 | +$105,000 | 2014-05-16 | |
| Q1 2014 | NATIONAL HEALTHCARE CORP CUSIP 635906209 | PFD CONV SER A | 450 | 1,664 | +1,214 | $6,000 | $25,000 | +$19,000 | 2014-05-16 | |
| Q1 2014 | ASHFORD HOSPITALITY TR INC CUSIP 044103505 | 9% CUM PFD SER E | 870 | 1,228 | +358 | $23,000 | $33,000 | +$10,000 | 2014-05-16 | |
| Q1 2014 | RAMCO-GERSHENSON PPTYS TR CUSIP 751452608 | PERP PFD-D CV | 923 | 1,019 | +96 | $54,000 | $61,000 | +$7,000 | 2014-05-16 | |
| Q1 2014 | ALERE INC CUSIP 01449J204 | PERP PFD CONV SE | 515 | 517 | +2 | $148,000 | $150,000 | +$2,000 | 2014-05-16 | |
| Q1 2014 | NAVISTAR INTL CORP CUSIP 638901306 | PFD SR D CONV | 426 | 626 | +200 | $5,000 | $6,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | SUPERTEL HOSPITALITY INC MD CUSIP 868526203 | PFD CONV SER A | 483 | 700 | +217 | $3,000 | $3,000 | $0 | 2014-05-16 | |
| Q4 2013 | FPE FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 13,976 | 38,942 | +24,966 | $252,000 | $698,000 | +$446,000 | 2014-05-21 | |
| Q4 2013 | ISHARES CUSIP 46429B135 | INTL PFD STK ETF | 17,828 | 32,806 | +14,978 | $439,000 | $787,000 | +$348,000 | 2014-05-21 | |
| Q4 2013 | COMMONWEALTH REIT CUSIP 203233606 | CV PFD-E 7.25% | 7,491 | 20,855 | +13,364 | $172,000 | $455,000 | +$283,000 | 2014-05-21 | |
| Q4 2013 | HUNTINGTON BANCSHARES INC CUSIP 446150401 | PFD CONV SER A | 364 | 451 | +87 | $451,000 | $575,000 | +$124,000 | 2014-05-21 | |
| Q4 2013 | CINCINNATI BELL INC NEW CUSIP 171871403 | PFD CV DEP1/20 | 4,131 | 5,462 | +1,331 | $174,000 | $247,000 | +$73,000 | 2014-05-21 | |
| Q4 2013 | EPRPRE EPR PPTYS | United States | CONV PFD 9% SR E | 196 | 1,835 | +1,639 | $6,000 | $52,000 | +$46,000 | 2014-05-21 |
| Q4 2013 | ALERE INC CUSIP 01449J204 | PERP PFD CONV SE | 398 | 515 | +117 | $103,000 | $148,000 | +$45,000 | 2014-05-21 | |
| Q4 2013 | FELCOR LODGING TR INC CUSIP 31430F200 | PFD CV A $1.95 | 300 | 1,494 | +1,194 | $7,000 | $36,000 | +$29,000 | 2014-05-21 | |
| Q4 2013 | HEALTH CARE REIT INC CUSIP 42217K601 | PFD PER CON I | 222 | 503 | +281 | $13,000 | $26,000 | +$13,000 | 2014-05-21 | |
| Q4 2013 | OMNICARE CAP TR II CUSIP 68214Q200 | PFD B TR 4.00% | 1,966 | 1,980 | +14 | $134,000 | $147,000 | +$13,000 | 2014-05-21 | |
| Q4 2013 | AES TR III CUSIP 00808N202 | PFD CV 6.75% | 9,380 | 9,546 | +166 | $473,000 | $479,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | USA TECHNOLOGIES INC CUSIP 90328S203 | CONV PFD SER A | 802 | 902 | +100 | $14,000 | $17,000 | +$3,000 | 2014-05-21 | |
| Q4 2013 | NAVISTAR INTL CORP CUSIP 638901306 | PFD SR D CONV | 326 | 426 | +100 | $4,000 | $5,000 | +$1,000 | 2014-05-21 | |
| Q3 2013 | MARKET VECTORS ETF TR CUSIP 57061R791 | PFD SEC EXFINL | 4,317 | 45,250 | +40,933 | $86,000 | $873,000 | +$787,000 | 2013-11-13 | |
| Q3 2013 | WELLS FARGO & CO NEW CUSIP 949746804 | United States | PERP PFD CNV A | 1,629 | 1,977 | +348 | $1,945,000 | $2,249,000 | +$304,000 | 2013-11-13 |
| Q3 2013 | HUNTINGTON BANCSHARES INC CUSIP 446150401 | PFD CONV SER A | 138 | 364 | +226 | $169,000 | $451,000 | +$282,000 | 2013-11-13 | |
| Q3 2013 | GOODYEAR TIRE & RUBR CO CUSIP 382550309 | PFD CONV 5.875% | 83 | 1,350 | +1,267 | $4,000 | $86,000 | +$82,000 | 2013-11-13 | |
| Q3 2013 | ALERE INC CUSIP 01449J204 | PERP PFD CONV SE | 97 | 398 | +301 | $22,000 | $103,000 | +$81,000 | 2013-11-13 | |
| Q3 2013 | AES TR III CUSIP 00808N202 | PFD CV 6.75% | 7,860 | 9,380 | +1,520 | $397,000 | $473,000 | +$76,000 | 2013-11-13 | |
| Q3 2013 | ASHFORD HOSPITALITY TR INC CUSIP 044103505 | 9% CUM PFD SER E | 850 | 2,710 | +1,860 | $23,000 | $70,000 | +$47,000 | 2013-11-13 | |
| Q3 2013 | OMNICARE CAP TR II CUSIP 68214Q200 | PFD B TR 4.00% | 1,498 | 1,966 | +468 | $89,000 | $134,000 | +$45,000 | 2013-11-13 | |
| Q3 2013 | CINCINNATI BELL INC NEW CUSIP 171871403 | PFD CV DEP1/20 | 3,131 | 4,131 | +1,000 | $140,000 | $174,000 | +$34,000 | 2013-11-13 | |
| Q3 2013 | FPE FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 11,149 | 13,976 | +2,827 | $218,000 | $252,000 | +$34,000 | 2013-11-13 | |
| Q3 2013 | RAMCO-GERSHENSON PPTYS TR CUSIP 751452608 | PERP PFD-D CV | 526 | 977 | +451 | $31,000 | $57,000 | +$26,000 | 2013-11-13 | |
| Q3 2013 | U M H PROPERTIES INC CUSIP 903002202 | CV RED PFD-A | 800 | 1,690 | +890 | $21,000 | $43,000 | +$22,000 | 2013-11-13 | |
| Q3 2013 | COMMONWEALTH REIT CUSIP 203233408 | 6.50% PFD CUM CO | 15,137 | 15,687 | +550 | $349,000 | $328,000 | -$21,000 | 2013-11-13 | |
| Q3 2013 | MOLYCORP INC DEL CUSIP 608753208 | PFD CONV SER A | 410 | 1,439 | +1,029 | $9,000 | $29,000 | +$20,000 | 2013-11-13 | |
| Q3 2013 | KEYCORP NEW CUSIP 493267405 | PFD 7.75% SR A | 327 | 431 | +104 | $41,000 | $54,000 | +$13,000 | 2013-11-13 | |
| Q3 2013 | GLOBAL X FDS CUSIP 37950E481 | GLB X CDA PFD | 861 | 1,457 | +596 | $11,000 | $19,000 | +$8,000 | 2013-11-13 | |
| Q3 2013 | COMMONWEALTH REIT CUSIP 203233606 | CV PFD-E 7.25% | 6,891 | 7,491 | +600 | $173,000 | $172,000 | -$1,000 | 2013-11-13 | |
| Q3 2013 | USA TECHNOLOGIES INC CUSIP 90328S203 | CONV PFD SER A | 782 | 802 | +20 | $15,000 | $14,000 | -$1,000 | 2013-11-13 |
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