UBS AG quarter change: USA Bonds: Convertible Notes, Unchanged
In convertible notes that pay a coupon (listed in the US), from the quarter ended 2014-06-30 to 2014-09-30, UBS AG opened 3 positions, added to 3, reduced 6, sold out of 10 and left 41 unchanged. The largest increase in value was WELLPOINT INC (+$13,109,000); the largest decrease was GOLDCORP INC NEW (-$8,487,000).
- GT ADVANCED TECHNOLOGIES INC: Country of operation —; Class NOTE 3.000%10/0; Principal 2014-06-30 $1,400,000; Principal 2014-09-30 $1,400,000.
- PDL BIOPHARMA INC: Country of operation —; Class NOTE 2.875% 2/1; Principal 2014-06-30 $2,700,000; Principal 2014-09-30 $2,700,000.
- PDL BIOPHARMA INC: Country of operation —; Class NOTE 3.750% 5/0; Principal 2014-06-30 $1,959,000; Principal 2014-09-30 $1,959,000.
- ACCURAY INC: Country of operation —; Class NOTE 3.500% 2/0; Principal 2014-06-30 $1,000,000; Principal 2014-09-30 $1,000,000.
Two Form 13F-HR filings compared (SEC CIK 1114446): 2014-06-30 (filed 2014-08-14) and 2014-09-30 (filed 2014-11-12). 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; share change is the position change.
| Stock | Country of operation | Class | Principal 2014-06-30 | Principal 2014-09-30 | Share change | Value 2014-06-30 | Value 2014-09-30 | Value change |
|---|
GT ADVANCED TECHNOLOGIES INC
CUSIP 36191UAA4 | | NOTE 3.000%10/0 | $1,400,000 | $1,400,000 | 0 | $3,481,000 | $2,151,000 | -$1,330,000 |
|---|
PDL BIOPHARMA INC
CUSIP 69329YAE4 | | NOTE 2.875% 2/1 | $2,700,000 | $2,700,000 | 0 | $4,907,000 | $3,839,000 | -$1,068,000 |
|---|
PDL BIOPHARMA INC
CUSIP 69329YAC8 | | NOTE 3.750% 5/0 | $1,959,000 | $1,959,000 | 0 | $3,127,000 | $2,483,000 | -$644,000 |
|---|
ACCURAY INC
CUSIP 004397AD7 | | NOTE 3.500% 2/0 | $1,000,000 | $1,000,000 | 0 | $1,771,000 | $1,503,000 | -$268,000 |
|---|
ACCURAY INC
CUSIP 004397AB1 | | NOTE 3.750% 8/0 | $2,800,000 | $2,800,000 | 0 | $3,190,000 | $2,924,000 | -$266,000 |
|---|
HAWAIIAN HOLDINGS INC
CUSIP 419879AD3 | | NOTE 5.000% 3/1 | $5,855,000 | $5,855,000 | 0 | $10,583,000 | $10,371,000 | -$212,000 |
|---|
UNITED STATES STL CORP NEW
CUSIP 912909AH1 | | NOTE 2.750% 4/0 | $40,000 | $40,000 | 0 | $50,000 | $66,000 | +$16,000 |
|---|
BIOMARIN PHARMACEUTICAL INC
CUSIP 09061GAD3 | | NOTE 1.875% 4/2 | $22,000 | $22,000 | 0 | $68,000 | $78,000 | +$10,000 |
|---|
MOLYCORP INC DEL
CUSIP 608753AF6 | | NOTE 6.000% 9/0 | $20,000 | $20,000 | 0 | $13,000 | $7,000 | -$6,000 |
|---|
AVIS BUDGET GROUP
CUSIP 053774AB1 | | NOTE 3.500%10/0 | $2,000 | $2,000 | 0 | $7,000 | $2,000 | -$5,000 |
|---|
MGIC INVT CORP WIS
CUSIP 552848AE3 | | NOTE 2.000% 4/0 | $27,000 | $27,000 | 0 | $40,000 | $36,000 | -$4,000 |
|---|
SALIX PHARMACEUTICALS INC
CUSIP 795435AC0 | | NOTE 2.750% 5/1 | $3,000 | $3,000 | 0 | $8,000 | $10,000 | +$2,000 |
|---|
JEFFERIES GROUP INC NEW
CUSIP 472319AG7 | | DBCV 3.875%11/0 | $174,000 | $174,000 | 0 | $186,000 | $184,000 | -$2,000 |
|---|
OMNICARE INC
CUSIP 681904AL2 | | DBCV 3.250%12/1 | $46,000 | $46,000 | 0 | $49,000 | $47,000 | -$2,000 |
|---|
NEWMONT MINING CORP
CUSIP 651639AJ5 | | NOTE 1.625% 7/1 | $13,000 | $13,000 | 0 | $14,000 | $13,000 | -$1,000 |
|---|
TELEFLEX INC
CUSIP 879369AA4 | | NOTE 3.875% 8/0 | $10,000 | $10,000 | 0 | $18,000 | $17,000 | -$1,000 |
|---|
TEREX CORP NEW
CUSIP 880779AV5 | | NOTE 4.000% 6/0 | $1,000 | $1,000 | 0 | $3,000 | $2,000 | -$1,000 |
|---|
ADVANCED MICRO DEVICES INC
CUSIP 007903AL1 | | NOTE 6.000% 5/0 | $28,000 | $28,000 | 0 | $30,000 | $29,000 | -$1,000 |
|---|
FLUOR CORP NEW
CUSIP 343412AA0 | | NOTE 1.500% 2/1 | $3,000 | $3,000 | 0 | $8,000 | $7,000 | -$1,000 |
|---|
FORD MTR CO DEL
CUSIP 345370CN8 | | NOTE 4.250%11/1 | $4,000 | $4,000 | 0 | $8,000 | $7,000 | -$1,000 |
|---|
LIONS GATE ENTMT INC
CUSIP 53626YAA6 | | NOTE 3.625% 3/1 | $2,000 | $2,000 | 0 | $7,000 | $8,000 | +$1,000 |
|---|
TEVA PHARMACEUTICAL FIN LLC
CUSIP 88163VAE9 | | DBCV 0.250% 2/0 | $67,000 | $67,000 | 0 | $86,000 | $86,000 | $0 |
|---|
NEWPARK RES INC
CUSIP 651718AC2 | | NOTE 4.000%10/0 | $5,000 | $5,000 | 0 | $7,000 | $7,000 | $0 |
|---|
PROLOGIS
CUSIP 74340XAT8 | | NOTE 3.250% 3/1 | $3,000 | $3,000 | 0 | $3,000 | $3,000 | $0 |
|---|
ON SEMICONDUCTOR CORP
CUSIP 682189AH8 | | NOTE 2.625%12/1 | $1,000 | $1,000 | 0 | $1,000 | $1,000 | $0 |
|---|
NOVAGOLD RES INC
CUSIP 66987EAA5 | | NOTE 5.500% 5/0 | $3,000 | $3,000 | 0 | $3,000 | $3,000 | $0 |
|---|
STERLITE INDS INDIA LTD
CUSIP 859737AB4 | | NOTE 4.000%10/3 | $1,000 | $1,000 | 0 | $1,000 | $1,000 | $0 |
|---|
COEUR MNG INC
CUSIP 192108AR9 | | NOTE 3.250% 3/1 | $20,000 | $20,000 | 0 | $20,000 | $20,000 | $0 |
|---|
GOODRICH PETE CORP
CUSIP 382410AC2 | | NOTE 5.000%10/0 | $16,000 | $16,000 | 0 | $16,000 | $16,000 | $0 |
|---|
JETBLUE AIRWAYS CORP
CUSIP 477143AG6 | | DBCV 6.750%10/1 | $1,000 | $1,000 | 0 | $2,000 | $2,000 | $0 |
|---|
MEDIVATION INC
CUSIP 58501NAA9 | | NOTE 2.625% 4/0 | $1,000 | $1,000 | 0 | $2,000 | $2,000 | $0 |
|---|
NAVISTAR INTL CORP NEW
CUSIP 63934EAL2 | | NOTE 3.000%10/1 | $15,000 | $15,000 | 0 | $15,000 | $15,000 | $0 |
|---|
CHESAPEAKE ENERGY CORP
CUSIP 165167CB1 | | NOTE 2.250%12/1 | $4,000 | $4,000 | 0 | $3,000 | $3,000 | $0 |
|---|
CHESAPEAKE ENERGY CORP
CUSIP 165167BW6 | | NOTE 2.750%11/1 | $17,000 | $17,000 | 0 | $15,000 | $15,000 | $0 |
|---|
DEVELOPERS DIVERSIFIED RLTY
CUSIP 251591AX1 | | NOTE 1.750%11/1 | $1,000 | $1,000 | 0 | $1,000 | $1,000 | $0 |
|---|
KB HOME
CUSIP 48666KAS8 | | NOTE 1.375% 2/0 | $1,000 | $1,000 | 0 | $1,000 | $1,000 | $0 |
|---|
TTM TECHNOLOGIES INC
CUSIP 87305RAC3 | | NOTE 3.250% 5/1 | $6,000 | $6,000 | 0 | $6,000 | $6,000 | $0 |
|---|
WABASH NATL CORP
CUSIP 929566AH0 | | NOTE 3.375% 5/0 | $3,000 | $3,000 | 0 | $4,000 | $4,000 | $0 |
|---|
WESCO INTL INC
CUSIP 95082PAH8 | | DBCV 6.000% 9/1 | $1,000 | $1,000 | 0 | $3,000 | $3,000 | $0 |
|---|
PROSPECT CAPITAL CORPORATION
CUSIP 74348TAD4 | | NOTE 5.500% 8/1 | $25,000 | $25,000 | 0 | $26,000 | $26,000 | $0 |
|---|
DENDREON CORP
CUSIP 24823QAC1 | | NOTE 2.875% 1/1 | $12,000 | $12,000 | 0 | $8,000 | $8,000 | $0 |
|---|
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