UBS AG quarter change: USA ETF, Added
In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2014-06-30 to 2014-09-30, UBS AG opened 119 positions, added to 688, reduced 462, sold out of 81 and left 9 unchanged. The largest increase in value was IEMG (+$324,611,000); the largest decrease was SPY (-$1,571,085,000).
- IEMG: Country of operation —; Class CORE MSCI EMKT; Shares 2014-06-30 1,398,077; Shares 2014-09-30 7,931,502.
- XLF: Country of operation —; Class SBI INT-FINL; Shares 2014-06-30 13,117,104; Shares 2014-09-30 22,584,993.
- GMF: Country of operation —; Class ASIA PACIF ETF; Shares 2014-06-30 491,172; Shares 2014-09-30 2,266,682.
- EEM: Country of operation —; Class MSCI EMG MKT ETF; Shares 2014-06-30 6,470,243; Shares 2014-09-30 9,743,867.
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 | Shares 2014-06-30 | Shares 2014-09-30 | Share change | Value 2014-06-30 | Value 2014-09-30 | Value change |
|---|---|---|---|---|---|---|---|---|
| IEMG ISHARES INC | CORE MSCI EMKT | 1,398,077 | 7,931,502 | +6,533,425 | $72,281,000 | $396,892,000 | +$324,611,000 | |
| XLF SELECT SECTOR SPDR TR | SBI INT-FINL | 13,117,104 | 22,584,993 | +9,467,889 | $298,283,000 | $523,295,000 | +$225,012,000 | |
| GMF SPDR INDEX SHS FDS | ASIA PACIF ETF | 491,172 | 2,266,682 | +1,775,510 | $40,622,000 | $190,011,000 | +$149,389,000 | |
| EEM ISHARES TR | MSCI EMG MKT ETF | 6,470,243 | 9,743,867 | +3,273,624 | $279,708,000 | $404,956,000 | +$125,248,000 | |
| BNDX VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 1,008,258 | 3,133,254 | +2,124,996 | $51,835,000 | $163,274,000 | +$111,439,000 | |
| IEF ISHARES TR | 7-10 Y TR BD ETF | 854,296 | 1,854,607 | +1,000,311 | $88,488,000 | $192,175,000 | +$103,687,000 | |
| BND VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 5,850,730 | 7,077,722 | +1,226,992 | $481,047,000 | $579,878,000 | +$98,831,000 | |
| MINT PIMCO ETF TR | ENHAN SHRT MAT | 513,622 | 1,400,832 | +887,210 | $52,081,000 | $141,975,000 | +$89,894,000 | |
| IWM ISHARES TR | RUSSELL 2000 ETF | 6,863,222 | 8,210,710 | +1,347,488 | $815,419,000 | $897,841,000 | +$82,422,000 | |
| FXI ISHARES TR | CHINA LG-CAP ETF | 2,274,083 | 4,068,701 | +1,794,618 | $84,233,000 | $155,750,000 | +$71,517,000 | |
| HEDJ WISDOMTREE TR | EUROPE HEDGED EQ | 1,797,114 | 2,894,890 | +1,097,776 | $105,005,000 | $167,267,000 | +$62,262,000 | |
| IBB ISHARES TR | NASDQ BIOTEC ETF | 1,113,428 | 1,224,530 | +111,102 | $286,185,000 | $335,068,000 | +$48,883,000 | |
| FLOT ISHARES TR | FLTG RATE BD ETF | 1,924,680 | 2,759,211 | +834,531 | $97,774,000 | $140,251,000 | +$42,477,000 | |
| FV FIRST TR EXCHANGE TRADED FD | DORSEY WRT 5 ETF | 1,804,132 | 3,831,915 | +2,027,783 | $35,776,000 | $78,094,000 | +$42,318,000 | |
| MARKET VECTORS ETF TR CUSIP 57061R544 | JR GOLD MINERS E | 404,983 | 1,740,594 | +1,335,611 | $17,115,000 | $58,519,000 | +$41,404,000 | |
| DXJ WISDOMTREE TR | JAPN HEDGE EQT | 4,531,648 | 4,938,392 | +406,744 | $223,682,000 | $258,377,000 | +$34,695,000 | |
| XLV SELECT SECTOR SPDR TR | SBI HEALTHCARE | 5,481,614 | 5,742,929 | +261,315 | $333,447,000 | $367,030,000 | +$33,583,000 | |
| VO VANGUARD INDEX FDS | MID CAP ETF | 1,603,130 | 1,902,457 | +299,327 | $190,243,000 | $223,177,000 | +$32,934,000 | |
| LQD ISHARES TR | IBOXX INV CP ETF | 1,883,958 | 2,178,389 | +294,431 | $224,681,000 | $257,529,000 | +$32,848,000 | |
| VUG VANGUARD INDEX FDS | GROWTH ETF | 3,357,360 | 3,643,986 | +286,626 | $332,043,000 | $363,196,000 | +$31,153,000 | |
| TLT ISHARES TR | 20+ YR TR BD ETF | 767,525 | 1,014,660 | +247,135 | $87,129,000 | $117,975,000 | +$30,846,000 | |
| EWZ ISHARES | MSCI BRZ CAP ETF | 1,711,856 | 2,572,498 | +860,642 | $81,792,000 | $111,776,000 | +$29,984,000 | |
| VTV VANGUARD INDEX FDS | VALUE ETF | 2,901,133 | 3,217,371 | +316,238 | $234,847,000 | $261,251,000 | +$26,404,000 | |
| IVW ISHARES TR | S&P 500 GRWT ETF | 2,047,807 | 2,258,144 | +210,337 | $215,408,000 | $241,215,000 | +$25,807,000 | |
| VGT VANGUARD WORLD FDS | INF TECH ETF | 1,949,360 | 2,133,780 | +184,420 | $188,679,000 | $213,549,000 | +$24,870,000 | |
| MUB ISHARES | NAT AMT FREE BD | 750,387 | 968,564 | +218,177 | $81,530,000 | $106,222,000 | +$24,692,000 | |
| OEF ISHARES TR | S&P 100 ETF | 442,964 | 710,471 | +267,507 | $38,330,000 | $62,635,000 | +$24,305,000 | |
| EWC ISHARES | MSCI CDA ETF | 848,344 | 1,672,662 | +824,318 | $27,325,000 | $51,335,000 | +$24,010,000 | |
| SHY ISHARES TR | 1-3 YR TR BD ETF | 2,047,631 | 2,324,584 | +276,953 | $173,148,000 | $196,450,000 | +$23,302,000 | |
| ISHARES CUSIP 464286731 | MSCI TAIWAN ETF | 3,169,702 | 4,720,194 | +1,550,492 | $50,081,000 | $72,078,000 | +$21,997,000 | |
| IWF ISHARES TR | RUS 1000 GRW ETF | 4,844,385 | 5,045,208 | +200,823 | $440,500,000 | $462,292,000 | +$21,792,000 | |
| FTA FIRST TR LRG CP VL ALPHADEX | COM SHS | 1,148,207 | 1,669,192 | +520,985 | $49,993,000 | $70,887,000 | +$20,894,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U191 | OIL SVCS ETF | 642,083 | 1,150,832 | +508,749 | $37,086,000 | $57,093,000 | +$20,007,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U100 | GOLD MINER ETF | 4,528,874 | 4,686,086 | +157,212 | $119,790,000 | $100,081,000 | -$19,709,000 | |
| FXH FIRST TR EXCHANGE TRADED FD | HLTH CARE ALPH | 1,166,880 | 1,460,520 | +293,640 | $62,160,000 | $81,482,000 | +$19,322,000 | |
| RYDEX ETF TRUST CUSIP 78355W106 | GUG S&P500 EQ WT | 3,260,496 | 3,549,168 | +288,672 | $250,113,000 | $268,991,000 | +$18,878,000 | |
| VYM VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 713,048 | 991,324 | +278,276 | $47,286,000 | $65,834,000 | +$18,548,000 | |
| SPDR SERIES TRUST CUSIP 78464A417 | BRC HGH YLD BD | 3,740,821 | 4,341,160 | +600,339 | $156,104,000 | $174,427,000 | +$18,323,000 | |
| EWW ISHARES | MSCI MEX CAP ETF | 698,689 | 941,114 | +242,425 | $47,378,000 | $64,683,000 | +$17,305,000 | |
| POWERSHARES ETF TR II CUSIP 73937B829 | S&P500 HGH BET | 1,271,241 | 1,753,546 | +482,305 | $42,294,000 | $58,169,000 | +$15,875,000 | |
| PROSHARES TR CUSIP 74347R826 | PSHS SHTRUSS2000 | 1,210,037 | 2,037,253 | +827,216 | $19,397,000 | $35,000,000 | +$15,603,000 | |
| ISHARES CUSIP 464286145 | MSCI FRNTR100ETF | 325,204 | 712,060 | +386,856 | $11,730,000 | $26,944,000 | +$15,214,000 | |
| SPDR SERIES TRUST CUSIP 78464A680 | BRCLYS 1-3MT ETF | 549,586 | 859,221 | +309,635 | $25,149,000 | $39,318,000 | +$14,169,000 | |
| IWD ISHARES TR | RUS 1000 VAL ETF | 2,671,232 | 2,839,982 | +168,750 | $270,516,000 | $284,254,000 | +$13,738,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T573 | SOVEREIGN DEBT | 2,515,645 | 3,055,152 | +539,507 | $73,356,000 | $86,950,000 | +$13,594,000 | |
| VWO VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 5,693,484 | 6,204,876 | +511,392 | $245,560,000 | $258,805,000 | +$13,245,000 | |
| SPDR SERIES TRUST CUSIP 78464A458 | NUVN BRCLY MUNI | 893,895 | 1,408,811 | +514,916 | $21,167,000 | $33,811,000 | +$12,644,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U233 | SEMICONDUCTOR | 113,938 | 353,303 | +239,365 | $5,639,000 | $18,051,000 | +$12,412,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q207 | DWA EMKT MOM PTF | 1,594,966 | 2,173,108 | +578,142 | $29,698,000 | $40,572,000 | +$10,874,000 | |
| CMBS ISHARES TR | CMBS ETF | 9,156 | 216,982 | +207,826 | $473,000 | $11,138,000 | +$10,665,000 | |
| FEX FIRST TR LRGE CP CORE ALPHA | COM SHS | 1,226,911 | 1,493,034 | +266,123 | $54,377,000 | $64,962,000 | +$10,585,000 | |
| MBB ISHARES | MBS ETF | 481,184 | 579,187 | +98,003 | $52,074,000 | $62,615,000 | +$10,541,000 | |
| IEI ISHARES | 3-7 YR TR BD ETF | 544,613 | 631,649 | +87,036 | $66,334,000 | $76,632,000 | +$10,298,000 | |
| IVV ISHARES TR | CORE S&P500 ETF | 999,375 | 1,044,640 | +45,265 | $196,877,000 | $207,111,000 | +$10,234,000 | |
| TLH ISHARES | 10-20 YR TRS ETF | 65,319 | 143,141 | +77,822 | $8,441,000 | $18,648,000 | +$10,207,000 | |
| IWB ISHARES TR | RUS 1000 ETF | 310,853 | 403,876 | +93,023 | $34,228,000 | $44,374,000 | +$10,146,000 | |
| XLE SELECT SECTOR SPDR TR | SBI INT-ENERGY | 4,197,546 | 4,747,520 | +549,974 | $420,174,000 | $430,220,000 | +$10,046,000 | |
| FBT FIRST TR EXCHANGE TRADED FD | NY ARCA BIOTECH | 687,611 | 725,782 | +38,171 | $56,611,000 | $66,612,000 | +$10,001,000 | |
| EWK ISHARES | BELGIUM CAPD ETF | 34,280 | 636,729 | +602,449 | $589,000 | $10,393,000 | +$9,804,000 | |
| VEU VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 2,279,016 | 2,607,225 | +328,209 | $119,170,000 | $128,380,000 | +$9,210,000 | |
| POWERSHARES ACTIVE MNG ETF T CUSIP 73935B805 | S&P500 DWNHDGE | 375,174 | 682,437 | +307,263 | $10,644,000 | $19,627,000 | +$8,983,000 | |
| FXO FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 1,177,328 | 1,605,498 | +428,170 | $26,207,000 | $35,080,000 | +$8,873,000 | |
| XPH SPDR SERIES TRUST | S&P PHARMAC | 274,360 | 352,319 | +77,959 | $28,479,000 | $37,349,000 | +$8,870,000 | |
| IJR ISHARES TR | CORE S&P SCP ETF | 1,518,398 | 1,546,793 | +28,395 | $170,197,000 | $161,330,000 | -$8,867,000 | |
| DBEU DBX ETF TR | DB XTR MSCI EUR | 171,220 | 496,730 | +325,510 | $4,673,000 | $13,476,000 | +$8,803,000 | |
| VHT VANGUARD WORLD FDS | HEALTH CAR ETF | 634,731 | 679,925 | +45,194 | $70,855,000 | $79,544,000 | +$8,689,000 | |
| FXL FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 583,407 | 850,591 | +267,184 | $18,972,000 | $27,576,000 | +$8,604,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X153 | DWA MOMENTUM PTF | 1,467,483 | 1,674,186 | +206,703 | $57,247,000 | $65,812,000 | +$8,565,000 | |
| VPL VANGUARD INTL EQUITY INDEX F | FTSE PACIFIC ETF | 708,607 | 886,005 | +177,398 | $44,104,000 | $52,540,000 | +$8,436,000 | |
| PROSHARES TR CUSIP 74347R503 | PSHS SHRT S&P500 | 1,511,031 | 1,894,049 | +383,018 | $35,298,000 | $43,582,000 | +$8,284,000 | |
| IVE ISHARES TR | S&P 500 VAL ETF | 1,672,216 | 1,767,230 | +95,014 | $150,968,000 | $159,174,000 | +$8,206,000 | |
| FXD FIRST TR EXCHANGE TRADED FD | CONSUMR DISCRE | 1,531,035 | 1,818,817 | +287,782 | $50,907,000 | $58,948,000 | +$8,041,000 | |
| FTC FIRST TR LRG CP GRWTH ALPHAD | COM SHS | 375,846 | 560,820 | +184,974 | $16,473,000 | $24,407,000 | +$7,934,000 | |
| XLY SELECT SECTOR SPDR TR | SBI CONS DISCR | 3,116,456 | 3,237,643 | +121,187 | $207,992,000 | $215,919,000 | +$7,927,000 | |
| ALPS ETF TR CUSIP 00162Q866 | ALERIAN MLP | 9,313,336 | 9,579,181 | +265,845 | $176,953,000 | $183,633,000 | +$6,680,000 | |
| KYN KAYNE ANDERSON MLP INVT CO | COM | 1,024,291 | 1,148,859 | +124,568 | $40,368,000 | $46,919,000 | +$6,551,000 | |
| PDI PIMCO DYNAMIC INCOME FD | SHS | 324,877 | 556,647 | +231,770 | $11,075,000 | $17,568,000 | +$6,493,000 | |
| SHV ISHARES | SHRT TRS BD ETF | 157,530 | 216,128 | +58,598 | $17,371,000 | $23,828,000 | +$6,457,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U803 | MKTVEC SMUNETF | 425,188 | 768,970 | +343,782 | $7,479,000 | $13,572,000 | +$6,093,000 | |
| XLU SELECT SECTOR SPDR TR | SBI INT-UTILS | 4,961,362 | 5,360,690 | +399,328 | $219,590,000 | $225,631,000 | +$6,041,000 | |
| DSL DOUBLELINE INCOME SOLUTIONS | COM | 2,023,481 | 2,375,094 | +351,613 | $45,448,000 | $51,421,000 | +$5,973,000 | |
| IYH ISHARES TR | US HLTHCARE ETF | 206,371 | 240,450 | +34,079 | $26,459,000 | $32,304,000 | +$5,845,000 | |
| XBI SPDR SERIES TRUST | S&P BIOTECH | 455,172 | 485,239 | +30,067 | $70,092,000 | $75,683,000 | +$5,591,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T474 | INSUR NATL MUN | 626,950 | 837,748 | +210,798 | $15,473,000 | $21,045,000 | +$5,572,000 | |
| EZM WISDOMTREE TR | MDCP EARN FUND | 120,783 | 191,179 | +70,396 | $11,166,000 | $16,734,000 | +$5,568,000 | |
| RYDEX ETF TRUST CUSIP 78355W403 | GUG S&P500 PU GR | 431,880 | 500,494 | +68,614 | $33,389,000 | $38,638,000 | +$5,249,000 | |
| IEFA ISHARES TR | CORE MSCI EAFE | 383,896 | 497,514 | +113,618 | $23,882,000 | $28,975,000 | +$5,093,000 | |
| TDIV FIRST TR EXCHANGE TRADED FD | NASD TECH DIV | 719,154 | 884,262 | +165,108 | $19,043,000 | $23,946,000 | +$4,903,000 | |
| DBEF DBX ETF TR | XTRAK MSCI EAFE | 649,551 | 822,052 | +172,501 | $17,928,000 | $22,796,000 | +$4,868,000 | |
| VIG VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 3,311,406 | 3,417,076 | +105,670 | $258,124,000 | $262,944,000 | +$4,820,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X799 | DYN PHRMA PORT | 428,188 | 483,745 | +55,557 | $26,154,000 | $30,790,000 | +$4,636,000 | |
| AIRR FIRST TR EXCHANGE TRADED FD | RBA INDL ETF | 326 | 249,999 | +249,673 | $6,000 | $4,588,000 | +$4,582,000 | |
| LDP COHEN & STEERS LTD DUR PFD I | COM | 399,219 | 594,515 | +195,296 | $10,164,000 | $14,673,000 | +$4,509,000 | |
| VCSH VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 1,991,372 | 2,059,881 | +68,509 | $160,047,000 | $164,523,000 | +$4,476,000 | |
| IJH ISHARES TR | CORE S&P MCP ETF | 2,027,593 | 2,154,318 | +126,725 | $290,108,000 | $294,581,000 | +$4,473,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U878 | HG YLD MUN ETF | 1,885,344 | 1,989,227 | +103,883 | $56,862,000 | $61,168,000 | +$4,306,000 | |
| VGSH VANGUARD SCOTTSDALE FDS | SHTRM GVT BD ETF | 119,010 | 188,623 | +69,613 | $7,252,000 | $11,492,000 | +$4,240,000 | |
| EEMV ISHARES | EM MK MINVOL ETF | 759,777 | 832,875 | +73,098 | $45,640,000 | $49,806,000 | +$4,166,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U134 | MKT VECTR WIDE | 1,463,869 | 1,565,528 | +101,659 | $44,868,000 | $49,017,000 | +$4,149,000 | |
| DIA SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 892,800 | 905,692 | +12,892 | $149,892,000 | $154,031,000 | +$4,139,000 |
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