UBS AG historic quarter change: USA Warrants, Added
In warrants (listed in the US), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 63 positions, added to 90, reduced 77 and sold out of 60.
- Q3 2014: Stock KINDER MORGAN INC DEL; Country of operation —; Class *W EXP 05/25/201; Shares before 838,749.
- Q3 2014: Stock JPMORGAN CHASE & CO; Country of operation —; Class *W EXP 10/28/201; Shares before 317,970.
- Q3 2014: Stock PNC FINL SVCS GROUP INC; Country of operation —; Class *W EXP 12/31/201; Shares before 42,030.
- Q3 2014: Stock WELLS FARGO & CO NEW; Country of operation —; Class *W EXP 10/28/201; Shares before 362.
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 | KINDER MORGAN INC DEL CUSIP 49456B119 | *W EXP 05/25/201 | 838,749 | 1,148,100 | +309,351 | $2,332,000 | $4,180,000 | +$1,848,000 | 2014-11-12 | |
| Q3 2014 | JPMORGAN CHASE & CO CUSIP 46634E114 | *W EXP 10/28/201 | 317,970 | 331,981 | +14,011 | $6,146,000 | $6,676,000 | +$530,000 | 2014-11-12 | |
| Q3 2014 | PNC FINL SVCS GROUP INC CUSIP 693475121 | *W EXP 12/31/201 | 42,030 | 44,571 | +2,541 | $1,092,000 | $1,019,000 | -$73,000 | 2014-11-12 | |
| Q3 2014 | WELLS FARGO & CO NEW CUSIP 949746119 | *W EXP 10/28/201 | 362 | 2,738 | +2,376 | $8,000 | $55,000 | +$47,000 | 2014-11-12 | |
| Q3 2014 | CITIGROUP INC CUSIP 172967226 | *W EXP 01/04/201 | 48,138 | 73,743 | +25,605 | $29,000 | $71,000 | +$42,000 | 2014-11-12 | |
| Q3 2014 | M & T BK CORP CUSIP 55261F112 | *W EXP 12/23/201 | 278 | 461 | +183 | $14,000 | $23,000 | +$9,000 | 2014-11-12 | |
| Q3 2014 | CAPITAL ONE FINL CORP CUSIP 14040H139 | *W EXP 11/14/201 | 464 | 685 | +221 | $19,000 | $27,000 | +$8,000 | 2014-11-12 | |
| Q3 2014 | SUNTRUST BKS INC CUSIP 867914129 | *W EXP 12/31/201 | 300 | 967 | +667 | $3,000 | $9,000 | +$6,000 | 2014-11-12 | |
| Q3 2014 | CRESUD SA COMERCIAL CUSIP P3311R192 | *W EXP 05/22/201 | 5,491 | 142,564 | +137,073 | $0 | $4,000 | +$4,000 | 2014-11-12 | |
| Q3 2014 | TEJON RANCH CO CUSIP 879080133 | *W EXP 08/31/201 | 9,330 | 12,003 | +2,673 | $26,000 | $24,000 | -$2,000 | 2014-11-12 | |
| Q3 2014 | VRINGO INC CUSIP 92911N112 | *W EXP 06/21/201 | 2,616 | 11,500 | +8,884 | $3,000 | $1,000 | -$2,000 | 2014-11-12 | |
| Q3 2014 | VALLEY NATL BANCORP CUSIP 919794123 | *W EXP 06/30/201 | 1,692 | 12,226 | +10,534 | $0 | $1,000 | +$1,000 | 2014-11-12 | |
| Q3 2014 | EASTMAN KODAK CO CUSIP 277461133 | *W EXP 09/03/201 | 1,036 | 1,179 | +143 | $10,000 | $9,000 | -$1,000 | 2014-11-12 | |
| Q3 2014 | EASTMAN KODAK CO CUSIP 277461141 | *W EXP 09/03/201 | 891 | 1,299 | +408 | $8,000 | $7,000 | -$1,000 | 2014-11-12 | |
| Q3 2014 | INTERCLOUD SYS INC CUSIP 458488111 | *W EXP 08/25/201 | 220 | 814 | +594 | $1,000 | $2,000 | +$1,000 | 2014-11-12 | |
| Q3 2014 | LGL GROUP INC CUSIP 50186A116 | *W EXP 08/06/201 | 13,601 | 16,501 | +2,900 | $0 | $1,000 | +$1,000 | 2014-11-12 | |
| Q3 2014 | SYNERGY PHARMACEUTICALS DEL CUSIP 871639118 | *W EXP 12/06/201 | 1,309 | 1,709 | +400 | $2,000 | $1,000 | -$1,000 | 2014-11-12 | |
| Q3 2014 | MICRONET ENERTEC TECH INC CUSIP 595117110 | *W EXP 04/15/201 | 557 | 668 | +111 | $0 | $0 | $0 | 2014-11-12 | |
| Q2 2014 | KINDER MORGAN INC DEL CUSIP 49456B119 | *W EXP 05/25/201 | 814,402 | 838,749 | +24,347 | $1,434,000 | $2,332,000 | +$898,000 | 2014-08-14 | |
| Q2 2014 | GENERAL MTRS CO CUSIP 37045V126 | *W EXP 07/10/201 | 341,809 | 366,384 | +24,575 | $5,951,000 | $6,800,000 | +$849,000 | 2014-08-14 | |
| Q2 2014 | JPMORGAN CHASE & CO CUSIP 46634E114 | *W EXP 10/28/201 | 276,525 | 317,970 | +41,445 | $5,586,000 | $6,146,000 | +$560,000 | 2014-08-14 | |
| Q2 2014 | PNC FINL SVCS GROUP INC CUSIP 693475121 | *W EXP 12/31/201 | 38,676 | 42,030 | +3,354 | $913,000 | $1,092,000 | +$179,000 | 2014-08-14 | |
| Q2 2014 | AMBAC FINL GROUP INC CUSIP 023139116 | *W EXP 04/30/202 | 102 | 1,404 | +1,302 | $2,000 | $24,000 | +$22,000 | 2014-08-14 | |
| Q2 2014 | DYNEGY INC NEW DEL CUSIP 26817R116 | *W EXP 99/99/999 | 3,324 | 5,004 | +1,680 | $6,000 | $22,000 | +$16,000 | 2014-08-14 | |
| Q2 2014 | LINCOLN NATL CORP IND CUSIP 534187117 | *W EXP 07/10/201 | 1,701 | 1,981 | +280 | $71,000 | $84,000 | +$13,000 | 2014-08-14 | |
| Q2 2014 | CAPITAL ONE FINL CORP CUSIP 14040H139 | *W EXP 11/14/201 | 205 | 464 | +259 | $7,000 | $19,000 | +$12,000 | 2014-08-14 | |
| Q2 2014 | COMERICA INC CUSIP 200340115 | *W EXP 11/14/201 | 923 | 1,422 | +499 | $21,000 | $30,000 | +$9,000 | 2014-08-14 | |
| Q2 2014 | NORTHWEST BIOTHERAPEUTICS IN CUSIP 66737P113 | *W EXP 99/99/999 | 158 | 2,732 | +2,574 | $1,000 | $10,000 | +$9,000 | 2014-08-14 | |
| Q2 2014 | HARTFORD FINL SVCS GROUP INC CUSIP 416515120 | *W EXP 06/26/201 | 4,887 | 5,122 | +235 | $131,000 | $140,000 | +$9,000 | 2014-08-14 | |
| Q2 2014 | CYTORI THERAPEUTICS INC CUSIP 23283K113 | *W EXP 09/13/201 | 10,000 | 11,200 | +1,200 | $9,000 | $7,000 | -$2,000 | 2014-08-14 | |
| Q2 2014 | METHES ENERGIES INTL LTD CUSIP 591517123 | *W EXP 10/12/201 | 1,900 | 2,050 | +150 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | EASTMAN KODAK CO CUSIP 277461133 | *W EXP 09/03/201 | 597 | 1,036 | +439 | $11,000 | $10,000 | -$1,000 | 2014-08-14 | |
| Q2 2014 | INTERCLOUD SYS INC CUSIP 458488111 | *W EXP 08/25/201 | 40 | 220 | +180 | $0 | $1,000 | +$1,000 | 2014-08-14 | |
| Q2 2014 | LGL GROUP INC CUSIP 50186A116 | *W EXP 08/06/201 | 12,351 | 13,601 | +1,250 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | CORMEDIX INC CUSIP 21900C118 | *W EXP 03/24/201 | 1,687 | 2,928 | +1,241 | $1,000 | $1,000 | $0 | 2014-08-14 | |
| Q1 2014 | GENERAL MTRS CO CUSIP 37045V118 | *W EXP 07/10/201 | 371,528 | 388,190 | +16,662 | $11,569,000 | $9,643,000 | -$1,926,000 | 2014-05-16 | |
| Q1 2014 | GENERAL MTRS CO CUSIP 37045V126 | *W EXP 07/10/201 | 325,223 | 341,809 | +16,586 | $7,520,000 | $5,951,000 | -$1,569,000 | 2014-05-16 | |
| Q1 2014 | WELLS FARGO & CO NEW CUSIP 949746119 | *W EXP 10/28/201 | 1,033 | 50,200 | +49,167 | $16,000 | $936,000 | +$920,000 | 2014-05-16 | |
| Q1 2014 | BANK OF AMERICA CORPORATION CUSIP 060505146 | *W EXP 01/16/201 | 197,398 | 228,450 | +31,052 | $1,277,000 | $1,878,000 | +$601,000 | 2014-05-16 | |
| Q1 2014 | JPMORGAN CHASE & CO CUSIP 46634E114 | *W EXP 10/28/201 | 263,779 | 276,525 | +12,746 | $5,115,000 | $5,586,000 | +$471,000 | 2014-05-16 | |
| Q1 2014 | AMERICAN INTL GROUP INC CUSIP 026874156 | *W EXP 01/19/202 | 86,204 | 103,853 | +17,649 | $1,746,000 | $2,123,000 | +$377,000 | 2014-05-16 | |
| Q1 2014 | PNC FINL SVCS GROUP INC CUSIP 693475121 | *W EXP 12/31/201 | 38,656 | 38,676 | +20 | $686,000 | $913,000 | +$227,000 | 2014-05-16 | |
| Q1 2014 | BANK OF AMERICA CORPORATION CUSIP 060505153 | *W EXP 10/28/201 | 100,970 | 109,593 | +8,623 | $78,000 | $99,000 | +$21,000 | 2014-05-16 | |
| Q1 2014 | LINCOLN NATL CORP IND CUSIP 534187117 | *W EXP 07/10/201 | 1,243 | 1,701 | +458 | $53,000 | $71,000 | +$18,000 | 2014-05-16 | |
| Q1 2014 | TEJON RANCH CO CUSIP 879080133 | *W EXP 08/31/201 | 8,870 | 9,975 | +1,105 | $48,000 | $37,000 | -$11,000 | 2014-05-16 | |
| Q1 2014 | CYTORI THERAPEUTICS INC CUSIP 23283K113 | *W EXP 09/13/201 | 3,015 | 10,000 | +6,985 | $2,000 | $9,000 | +$7,000 | 2014-05-16 | |
| Q1 2014 | COMERICA INC CUSIP 200340115 | *W EXP 11/14/201 | 823 | 923 | +100 | $16,000 | $21,000 | +$5,000 | 2014-05-16 | |
| Q1 2014 | DYNEGY INC NEW DEL CUSIP 26817R116 | *W EXP 99/99/999 | 2,621 | 3,324 | +703 | $3,000 | $6,000 | +$3,000 | 2014-05-16 | |
| Q1 2014 | CHANTICLEER HLDGS INC CUSIP 15930P131 | *W EXP 06/11/201 | 323 | 4,623 | +4,300 | $0 | $3,000 | +$3,000 | 2014-05-16 | |
| Q1 2014 | SEMGROUP CORP CUSIP 81663A113 | *W EXP 11/30/201 | 933 | 1,033 | +100 | $40,000 | $43,000 | +$3,000 | 2014-05-16 | |
| Q1 2014 | COEUR MNG INC CUSIP 192108116 | *W EXP 04/16/201 | 7,232 | 8,247 | +1,015 | $10,000 | $12,000 | +$2,000 | 2014-05-16 | |
| Q1 2014 | COMBIMATRIX CORPORATION CUSIP 20009T121 | *W EXP 05/01/201 | 407 | 631 | +224 | $0 | $1,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | VALLEY NATL BANCORP CUSIP 919794123 | *W EXP 06/30/201 | 1,717 | 7,551 | +5,834 | $0 | $1,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | WASHINGTON FED INC CUSIP 938824117 | *W EXP 11/14/201 | 300 | 415 | +115 | $2,000 | $3,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | LGL GROUP INC CUSIP 50186A116 | *W EXP 08/06/201 | 3,551 | 12,351 | +8,800 | $0 | $1,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | CRESUD SA COMERCIAL CUSIP P3311R192 | *W EXP 05/22/201 | 691 | 29,500 | +28,809 | $0 | $1,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | METHES ENERGIES INTL LTD CUSIP 591517123 | *W EXP 10/12/201 | 400 | 1,900 | +1,500 | $0 | $1,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | AMBAC FINL GROUP INC CUSIP 023139116 | *W EXP 04/30/202 | 82 | 102 | +20 | $1,000 | $2,000 | +$1,000 | 2014-05-16 | |
| Q1 2014 | EASTMAN KODAK CO CUSIP 277461141 | *W EXP 09/03/201 | 816 | 918 | +102 | $15,000 | $15,000 | $0 | 2014-05-16 | |
| Q1 2014 | MICRONET ENERTEC TECH INC CUSIP 595117110 | *W EXP 04/15/201 | 500 | 1,382 | +882 | $1,000 | $1,000 | $0 | 2014-05-16 | |
| Q1 2014 | METHES ENERGIES INTL LTD CUSIP 591517115 | *W EXP 10/12/201 | 700 | 1,200 | +500 | $0 | $0 | $0 | 2014-05-16 | |
| Q1 2014 | COLLABRIUM JAPAN ACQUISITN C CUSIP G2266G110 | *W EXP 99/99/999 | 400 | 1,800 | +1,400 | $0 | $0 | $0 | 2014-05-16 | |
| Q4 2013 | GENERAL MTRS CO CUSIP 37045V118 | *W EXP 07/10/201 | 60,177 | 371,528 | +311,351 | $1,590,000 | $11,569,000 | +$9,979,000 | 2014-05-21 | |
| Q4 2013 | GENERAL MTRS CO CUSIP 37045V126 | *W EXP 07/10/201 | 13,056 | 325,223 | +312,167 | $243,000 | $7,520,000 | +$7,277,000 | 2014-05-21 | |
| Q4 2013 | JPMORGAN CHASE & CO CUSIP 46634E114 | *W EXP 10/28/201 | 260,851 | 263,779 | +2,928 | $4,372,000 | $5,115,000 | +$743,000 | 2014-05-21 | |
| Q4 2013 | AMERICAN INTL GROUP INC CUSIP 026874156 | *W EXP 01/19/202 | 66,062 | 86,204 | +20,142 | $1,253,000 | $1,746,000 | +$493,000 | 2014-05-21 | |
| Q4 2013 | HARTFORD FINL SVCS GROUP INC CUSIP 416515120 | *W EXP 06/26/201 | 5,051 | 7,037 | +1,986 | $113,000 | $194,000 | +$81,000 | 2014-05-21 | |
| Q4 2013 | SEMGROUP CORP CUSIP 81663A113 | *W EXP 11/30/201 | 911 | 933 | +22 | $30,000 | $40,000 | +$10,000 | 2014-05-21 | |
| Q4 2013 | USA TECHNOLOGIES INC CUSIP 90328S195 | *W EXP 12/31/201 | 6,675 | 18,895 | +12,220 | $4,000 | $14,000 | +$10,000 | 2014-05-21 | |
| Q4 2013 | TCF FINL CORP CUSIP 872275128 | *W EXP 11/14/201 | 200 | 1,950 | +1,750 | $0 | $6,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | CITIGROUP INC CUSIP 172967226 | *W EXP 01/04/201 | 53,118 | 70,969 | +17,851 | $40,000 | $46,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | COEUR MNG INC CUSIP 192108116 | *W EXP 04/16/201 | 5,751 | 7,232 | +1,481 | $12,000 | $10,000 | -$2,000 | 2014-05-21 | |
| Q4 2013 | CORMEDIX INC CUSIP 21900C118 | *W EXP 03/24/201 | 4,257 | 7,387 | +3,130 | $0 | $1,000 | +$1,000 | 2014-05-21 | |
| Q4 2013 | FIELDPOINT PETROLEUM CORP CUSIP 316570126 | *W EXP 03/23/201 | 650 | 2,053 | +1,403 | $0 | $1,000 | +$1,000 | 2014-05-21 | |
| Q4 2013 | XG TECHNOLOGY INC CUSIP 98372A408 | *W EXP 03/26/201 | 130 | 630 | +500 | $0 | $0 | $0 | 2014-05-21 | |
| Q4 2013 | METHES ENERGIES INTL LTD CUSIP 591517115 | *W EXP 10/12/201 | 500 | 700 | +200 | $0 | $0 | $0 | 2014-05-21 | |
| Q3 2013 | JPMORGAN CHASE & CO CUSIP 46634E114 | *W EXP 10/28/201 | 93,785 | 260,851 | +167,066 | $1,463,000 | $4,372,000 | +$2,909,000 | 2013-11-13 | |
| Q3 2013 | AMERICAN INTL GROUP INC CUSIP 026874156 | *W EXP 01/19/202 | 46,814 | 66,062 | +19,248 | $854,000 | $1,253,000 | +$399,000 | 2013-11-13 | |
| Q3 2013 | GENERAL MTRS CO CUSIP 37045V118 | *W EXP 07/10/201 | 52,173 | 60,177 | +8,004 | $1,252,000 | $1,590,000 | +$338,000 | 2013-11-13 | |
| Q3 2013 | BANK OF AMERICA CORPORATION CUSIP 060505146 | *W EXP 01/16/201 | 171,800 | 202,148 | +30,348 | $938,000 | $1,231,000 | +$293,000 | 2013-11-13 | |
| Q3 2013 | OWENS CORNING NEW CUSIP 690742127 | *W EXP 10/31/201 | 178,245 | 184,231 | +5,986 | $172,000 | $6,000 | -$166,000 | 2013-11-13 | |
| Q3 2013 | CAPITAL ONE FINL CORP CUSIP 14040H139 | *W EXP 11/14/201 | 500 | 1,473 | +973 | $12,000 | $43,000 | +$31,000 | 2013-11-13 | |
| Q3 2013 | PNC FINL SVCS GROUP INC CUSIP 693475121 | *W EXP 12/31/201 | 74,075 | 74,333 | +258 | $1,119,000 | $1,145,000 | +$26,000 | 2013-11-13 | |
| Q3 2013 | S&W SEED CO CUSIP 785135120 | *W EXP 05/03/201 | 4,043 | 20,153 | +16,110 | $4,000 | $20,000 | +$16,000 | 2013-11-13 | |
| Q3 2013 | CYTORI THERAPEUTICS INC CUSIP 23283K113 | *W EXP 09/13/201 | 31,059 | 48,757 | +17,698 | $23,000 | $33,000 | +$10,000 | 2013-11-13 | |
| Q3 2013 | SEMGROUP CORP CUSIP 81663A113 | *W EXP 11/30/201 | 832 | 911 | +79 | $25,000 | $30,000 | +$5,000 | 2013-11-13 | |
| Q3 2013 | CORMEDIX INC CUSIP 21900C118 | *W EXP 03/24/201 | 3,257 | 4,257 | +1,000 | $1,000 | $0 | -$1,000 | 2013-11-13 | |
| Q3 2013 | CRESUD SA COMERCIAL CUSIP P3311R192 | *W EXP 05/22/201 | 27,262 | 29,282 | +2,020 | $1,000 | $2,000 | +$1,000 | 2013-11-13 | |
| Q3 2013 | BGS ACQUISITION CORP CUSIP G1082J118 | *W EXP 03/21/201 | 200 | 1,500 | +1,300 | $0 | $0 | $0 | 2013-11-13 | |
| Q3 2013 | BIOAMBER INC CUSIP 09072Q114 | *W EXP 05/09/201 | 335 | 435 | +100 | $0 | $0 | $0 | 2013-11-13 |
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