UBS AG historic quarter change: USA Warrants, Reduced
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 GENERAL MTRS CO; Country of operation —; Class *W EXP 07/10/201; Shares before 366,384.
- Q3 2014: Stock GENERAL MTRS CO; Country of operation —; Class *W EXP 07/10/201; Shares before 377,664.
- Q3 2014: Stock BANK AMER CORP; Country of operation —; Class *W EXP 01/16/201; Shares before 217,572.
- Q3 2014: Stock AMERICAN INTL GROUP INC; Country of operation —; Class *W EXP 01/19/202; Shares before 90,651.
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 | GENERAL MTRS CO CUSIP 37045V126 | *W EXP 07/10/201 | 366,384 | 343,322 | -23,062 | $6,800,000 | $4,965,000 | -$1,835,000 | 2014-11-12 | |
| Q3 2014 | GENERAL MTRS CO CUSIP 37045V118 | *W EXP 07/10/201 | 377,664 | 375,348 | -2,316 | $10,049,000 | $8,400,000 | -$1,649,000 | 2014-11-12 | |
| Q3 2014 | BANK AMER CORP CUSIP 060505146 | *W EXP 01/16/201 | 217,572 | 126,935 | -90,637 | $1,492,000 | $952,000 | -$540,000 | 2014-11-12 | |
| Q3 2014 | AMERICAN INTL GROUP INC CUSIP 026874156 | *W EXP 01/19/202 | 90,651 | 87,047 | -3,604 | $2,412,000 | $2,072,000 | -$340,000 | 2014-11-12 | |
| Q3 2014 | LINCOLN NATL CORP IND CUSIP 534187117 | *W EXP 07/10/201 | 1,981 | 506 | -1,475 | $84,000 | $23,000 | -$61,000 | 2014-11-12 | |
| Q3 2014 | AMBAC FINL GROUP INC CUSIP 023139116 | *W EXP 04/30/202 | 1,404 | 102 | -1,302 | $24,000 | $1,000 | -$23,000 | 2014-11-12 | |
| Q3 2014 | COMERICA INC CUSIP 200340115 | *W EXP 11/14/201 | 1,422 | 912 | -510 | $30,000 | $19,000 | -$11,000 | 2014-11-12 | |
| Q3 2014 | HARTFORD FINL SVCS GROUP INC CUSIP 416515120 | *W EXP 06/26/201 | 5,122 | 4,945 | -177 | $140,000 | $143,000 | +$3,000 | 2014-11-12 | |
| Q3 2014 | RIT TECHNOLOGIES LTD CUSIP M8215Q128 | *W EXP 12/01/201 | 1,700 | 300 | -1,400 | $1,000 | $0 | -$1,000 | 2014-11-12 | |
| Q3 2014 | COEUR MNG INC CUSIP 192108116 | *W EXP 04/16/201 | 6,134 | 6,068 | -66 | $5,000 | $4,000 | -$1,000 | 2014-11-12 | |
| Q3 2014 | WASHINGTON FED INC CUSIP 938824117 | *W EXP 11/14/201 | 315 | 140 | -175 | $2,000 | $1,000 | -$1,000 | 2014-11-12 | |
| Q3 2014 | CORMEDIX INC CUSIP 21900C118 | *W EXP 03/24/201 | 2,928 | 2,828 | -100 | $1,000 | $1,000 | $0 | 2014-11-12 | |
| Q3 2014 | METHES ENERGIES INTL LTD CUSIP 591517115 | *W EXP 10/12/201 | 1,200 | 1,050 | -150 | $0 | $0 | $0 | 2014-11-12 | |
| Q3 2014 | METHES ENERGIES INTL LTD CUSIP 591517123 | *W EXP 10/12/201 | 2,050 | 50 | -2,000 | $0 | $0 | $0 | 2014-11-12 | |
| Q2 2014 | WELLS FARGO & CO NEW CUSIP 949746119 | *W EXP 10/28/201 | 50,200 | 362 | -49,838 | $936,000 | $8,000 | -$928,000 | 2014-08-14 | |
| Q2 2014 | GENERAL MTRS CO CUSIP 37045V118 | *W EXP 07/10/201 | 388,190 | 377,664 | -10,526 | $9,643,000 | $10,049,000 | +$406,000 | 2014-08-14 | |
| Q2 2014 | BANK OF AMERICA CORPORATION CUSIP 060505146 | *W EXP 01/16/201 | 228,450 | 217,572 | -10,878 | $1,878,000 | $1,492,000 | -$386,000 | 2014-08-14 | |
| Q2 2014 | AMERICAN INTL GROUP INC CUSIP 026874156 | *W EXP 01/19/202 | 103,853 | 90,651 | -13,202 | $2,123,000 | $2,412,000 | +$289,000 | 2014-08-14 | |
| Q2 2014 | BANK OF AMERICA CORPORATION CUSIP 060505153 | *W EXP 10/28/201 | 109,593 | 90,125 | -19,468 | $99,000 | $68,000 | -$31,000 | 2014-08-14 | |
| Q2 2014 | TEJON RANCH CO CUSIP 879080133 | *W EXP 08/31/201 | 9,975 | 9,330 | -645 | $37,000 | $26,000 | -$11,000 | 2014-08-14 | |
| Q2 2014 | COEUR MNG INC CUSIP 192108116 | *W EXP 04/16/201 | 8,247 | 6,134 | -2,113 | $12,000 | $5,000 | -$7,000 | 2014-08-14 | |
| Q2 2014 | EASTMAN KODAK CO CUSIP 277461141 | *W EXP 09/03/201 | 918 | 891 | -27 | $15,000 | $8,000 | -$7,000 | 2014-08-14 | |
| Q2 2014 | CITIGROUP INC CUSIP 172967226 | *W EXP 01/04/201 | 51,522 | 48,138 | -3,384 | $33,000 | $29,000 | -$4,000 | 2014-08-14 | |
| Q2 2014 | MICRONET ENERTEC TECH INC CUSIP 595117110 | *W EXP 04/15/201 | 1,382 | 557 | -825 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | VALLEY NATL BANCORP CUSIP 919794123 | *W EXP 06/30/201 | 7,551 | 1,692 | -5,859 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | WASHINGTON FED INC CUSIP 938824117 | *W EXP 11/14/201 | 415 | 315 | -100 | $3,000 | $2,000 | -$1,000 | 2014-08-14 | |
| Q2 2014 | FIELDPOINT PETROLEUM CORP CUSIP 316570126 | *W EXP 03/23/201 | 705 | 239 | -466 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | CRESUD SA COMERCIAL CUSIP P3311R192 | *W EXP 05/22/201 | 29,500 | 5,491 | -24,009 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | LEVY ACQUISITION CORP CUSIP 52748T112 | *W EXP 11/19/201 | 1,169 | 113 | -1,056 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | CRUMBS BAKE SHOP INC CUSIP 228803110 | *W EXP 05/05/201 | 13,722 | 6,288 | -7,434 | $1,000 | $0 | -$1,000 | 2014-08-14 | |
| Q2 2014 | COLLABRIUM JAPAN ACQUISITN C CUSIP G2266G110 | *W EXP 99/99/999 | 1,800 | 1,761 | -39 | $0 | $0 | $0 | 2014-08-14 | |
| Q2 2014 | ROI ACQUISITION CORP II CUSIP 74966G119 | *W EXP 09/17/201 | 400 | 300 | -100 | $0 | $0 | $0 | 2014-08-14 | |
| Q1 2014 | KINDER MORGAN INC DEL CUSIP 49456B119 | *W EXP 05/25/201 | 1,074,704 | 814,402 | -260,302 | $4,364,000 | $1,434,000 | -$2,930,000 | 2014-05-16 | |
| Q1 2014 | GENERAL MTRS CO CUSIP 37045V134 | *W EXP 12/31/201 | 93,400 | 35,000 | -58,400 | $514,000 | $99,000 | -$415,000 | 2014-05-16 | |
| Q1 2014 | HARTFORD FINL SVCS GROUP INC CUSIP 416515120 | *W EXP 06/26/201 | 7,037 | 4,887 | -2,150 | $194,000 | $131,000 | -$63,000 | 2014-05-16 | |
| Q1 2014 | CITIGROUP INC CUSIP 172967226 | *W EXP 01/04/201 | 70,969 | 51,522 | -19,447 | $46,000 | $33,000 | -$13,000 | 2014-05-16 | |
| Q1 2014 | CAPITAL ONE FINL CORP CUSIP 14040H139 | *W EXP 11/14/201 | 474 | 205 | -269 | $17,000 | $7,000 | -$10,000 | 2014-05-16 | |
| Q1 2014 | EASTMAN KODAK CO CUSIP 277461133 | *W EXP 09/03/201 | 912 | 597 | -315 | $18,000 | $11,000 | -$7,000 | 2014-05-16 | |
| Q1 2014 | CRUMBS BAKE SHOP INC CUSIP 228803110 | *W EXP 05/05/201 | 30,386 | 13,722 | -16,664 | $2,000 | $1,000 | -$1,000 | 2014-05-16 | |
| Q1 2014 | S&W SEED CO CUSIP 785135120 | *W EXP 05/03/201 | 2,120 | 850 | -1,270 | $1,000 | $1,000 | $0 | 2014-05-16 | |
| Q1 2014 | CORMEDIX INC CUSIP 21900C118 | *W EXP 03/24/201 | 7,387 | 1,687 | -5,700 | $1,000 | $1,000 | $0 | 2014-05-16 | |
| Q1 2014 | TCF FINL CORP CUSIP 872275128 | *W EXP 11/14/201 | 1,950 | 1,750 | -200 | $6,000 | $6,000 | $0 | 2014-05-16 | |
| Q1 2014 | FIELDPOINT PETROLEUM CORP CUSIP 316570126 | *W EXP 03/23/201 | 2,053 | 705 | -1,348 | $1,000 | $1,000 | $0 | 2014-05-16 | |
| Q1 2014 | MEDGENICS INC CUSIP 58436Q112 | *W EXP 03/31/201 | 516 | 444 | -72 | $1,000 | $1,000 | $0 | 2014-05-16 | |
| Q4 2013 | KINDER MORGAN INC DEL CUSIP 49456B119 | *W EXP 05/25/201 | 1,239,446 | 1,074,704 | -164,742 | $6,160,000 | $4,364,000 | -$1,796,000 | 2014-05-21 | |
| Q4 2013 | PNC FINL SVCS GROUP INC CUSIP 693475121 | *W EXP 12/31/201 | 74,333 | 38,656 | -35,677 | $1,145,000 | $686,000 | -$459,000 | 2014-05-21 | |
| Q4 2013 | BANK OF AMERICA CORPORATION CUSIP 060505153 | *W EXP 10/28/201 | 164,935 | 100,970 | -63,965 | $131,000 | $78,000 | -$53,000 | 2014-05-21 | |
| Q4 2013 | BANK OF AMERICA CORPORATION CUSIP 060505146 | *W EXP 01/16/201 | 202,148 | 197,398 | -4,750 | $1,231,000 | $1,277,000 | +$46,000 | 2014-05-21 | |
| Q4 2013 | CYTORI THERAPEUTICS INC CUSIP 23283K113 | *W EXP 09/13/201 | 48,757 | 3,015 | -45,742 | $33,000 | $2,000 | -$31,000 | 2014-05-21 | |
| Q4 2013 | CAPITAL ONE FINL CORP CUSIP 14040H139 | *W EXP 11/14/201 | 1,473 | 474 | -999 | $43,000 | $17,000 | -$26,000 | 2014-05-21 | |
| Q4 2013 | TEJON RANCH CO CUSIP 879080133 | *W EXP 08/31/201 | 9,530 | 8,870 | -660 | $26,000 | $48,000 | +$22,000 | 2014-05-21 | |
| Q4 2013 | S&W SEED CO CUSIP 785135120 | *W EXP 05/03/201 | 20,153 | 2,120 | -18,033 | $20,000 | $1,000 | -$19,000 | 2014-05-21 | |
| Q4 2013 | COMERICA INC CUSIP 200340115 | *W EXP 11/14/201 | 2,130 | 823 | -1,307 | $30,000 | $16,000 | -$14,000 | 2014-05-21 | |
| Q4 2013 | WELLS FARGO & CO NEW CUSIP 949746119 | *W EXP 10/28/201 | 1,828 | 1,033 | -795 | $26,000 | $16,000 | -$10,000 | 2014-05-21 | |
| Q4 2013 | AMBAC FINL GROUP INC CUSIP 023139116 | *W EXP 04/30/202 | 403 | 82 | -321 | $5,000 | $1,000 | -$4,000 | 2014-05-21 | |
| Q4 2013 | CITIGROUP INC CUSIP 172967234 | *W EXP 10/28/201 | 200,048 | 200,000 | -48 | $16,000 | $12,000 | -$4,000 | 2014-05-21 | |
| Q4 2013 | DYNEGY INC NEW DEL CUSIP 26817R116 | *W EXP 99/99/999 | 4,425 | 2,621 | -1,804 | $6,000 | $3,000 | -$3,000 | 2014-05-21 | |
| Q4 2013 | CRESUD SA COMERCIAL CUSIP P3311R192 | *W EXP 05/22/201 | 29,282 | 691 | -28,591 | $2,000 | $0 | -$2,000 | 2014-05-21 | |
| Q4 2013 | CHANTICLEER HLDGS INC CUSIP 15930P131 | *W EXP 06/11/201 | 1,877 | 323 | -1,554 | $1,000 | $0 | -$1,000 | 2014-05-21 | |
| Q4 2013 | VALLEY NATL BANCORP CUSIP 919794123 | *W EXP 06/30/201 | 2,335 | 1,717 | -618 | $1,000 | $0 | -$1,000 | 2014-05-21 | |
| Q4 2013 | MICRONET ENERTEC TECH INC CUSIP 595117110 | *W EXP 04/15/201 | 999 | 500 | -499 | $1,000 | $1,000 | $0 | 2014-05-21 | |
| Q4 2013 | LGL GROUP INC CUSIP 50186A116 | *W EXP 08/06/201 | 4,280 | 3,551 | -729 | $0 | $0 | $0 | 2014-05-21 | |
| Q3 2013 | KINDER MORGAN INC DEL CUSIP 49456B119 | *W EXP 05/25/201 | 2,229,339 | 1,239,446 | -989,893 | $11,414,000 | $6,160,000 | -$5,254,000 | 2013-11-13 | |
| Q3 2013 | WELLS FARGO & CO NEW CUSIP 949746119 | *W EXP 10/28/201 | 125,655 | 1,828 | -123,827 | $1,718,000 | $26,000 | -$1,692,000 | 2013-11-13 | |
| Q3 2013 | BANK OF AMERICA CORPORATION CUSIP 060505153 | *W EXP 10/28/201 | 279,595 | 164,935 | -114,660 | $215,000 | $131,000 | -$84,000 | 2013-11-13 | |
| Q3 2013 | HARTFORD FINL SVCS GROUP INC CUSIP 416515120 | *W EXP 06/26/201 | 7,407 | 5,051 | -2,356 | $163,000 | $113,000 | -$50,000 | 2013-11-13 | |
| Q3 2013 | AMBAC FINL GROUP INC CUSIP 023139116 | *W EXP 04/30/202 | 2,121 | 403 | -1,718 | $26,000 | $5,000 | -$21,000 | 2013-11-13 | |
| Q3 2013 | GENERAL MTRS CO CUSIP 37045V126 | *W EXP 07/10/201 | 13,780 | 13,056 | -724 | $226,000 | $243,000 | +$17,000 | 2013-11-13 | |
| Q3 2013 | CITIGROUP INC CUSIP 172967234 | *W EXP 10/28/201 | 286,533 | 200,048 | -86,485 | $24,000 | $16,000 | -$8,000 | 2013-11-13 | |
| Q3 2013 | DYNEGY INC NEW DEL CUSIP 26817R116 | *W EXP 99/99/999 | 6,819 | 4,425 | -2,394 | $13,000 | $6,000 | -$7,000 | 2013-11-13 | |
| Q3 2013 | CITIGROUP INC CUSIP 172967226 | *W EXP 01/04/201 | 56,529 | 53,118 | -3,411 | $44,000 | $40,000 | -$4,000 | 2013-11-13 | |
| Q3 2013 | SIGNATURE BK NEW YORK N Y CUSIP 82669G112 | *W EXP 12/12/201 | 350 | 250 | -100 | $19,000 | $15,000 | -$4,000 | 2013-11-13 | |
| Q3 2013 | COEUR MNG INC CUSIP 192108116 | *W EXP 04/16/201 | 5,862 | 5,751 | -111 | $9,000 | $12,000 | +$3,000 | 2013-11-13 | |
| Q3 2013 | CHANTICLEER HLDGS INC CUSIP 15930P131 | *W EXP 06/11/201 | 5,437 | 1,877 | -3,560 | $2,000 | $1,000 | -$1,000 | 2013-11-13 | |
| Q3 2013 | FIELDPOINT PETROLEUM CORP CUSIP 316570126 | *W EXP 03/23/201 | 1,342 | 650 | -692 | $1,000 | $0 | -$1,000 | 2013-11-13 | |
| Q3 2013 | VALLEY NATL BANCORP CUSIP 919794123 | *W EXP 06/30/201 | 3,474 | 2,335 | -1,139 | $0 | $1,000 | +$1,000 | 2013-11-13 | |
| Q3 2013 | METHES ENERGIES INTL LTD CUSIP 591517115 | *W EXP 10/12/201 | 11,099 | 500 | -10,599 | $1,000 | $0 | -$1,000 | 2013-11-13 |
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