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).
- EVV: Country of operation —; Class COM; Shares 2014-06-30 2,470,697; Shares 2014-09-30 2,920,321.
- IEZ: Country of operation —; Class US OIL EQ&SV ETF; Shares 2014-06-30 449,268; Shares 2014-09-30 465,318.
- NAC: Country of operation —; Class COM; Shares 2014-06-30 525,775; Shares 2014-09-30 782,989.
- SUB: Country of operation —; Class SHT NTLAMTFR ETF; Shares 2014-06-30 285,250; Shares 2014-09-30 320,960.
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 |
|---|---|---|---|---|---|---|---|---|
| EVV EATON VANCE LTD DUR INCOME F | COM | 2,470,697 | 2,920,321 | +449,624 | $38,493,000 | $42,579,000 | +$4,086,000 | |
| IEZ ISHARES | US OIL EQ&SV ETF | 449,268 | 465,318 | +16,050 | $34,827,000 | $30,869,000 | -$3,958,000 | |
| NAC NUVEEN CA DIVIDEND ADV MUN F | COM | 525,775 | 782,989 | +257,214 | $7,345,000 | $11,158,000 | +$3,813,000 | |
| SUB ISHARES | SHT NTLAMTFR ETF | 285,250 | 320,960 | +35,710 | $30,308,000 | $34,080,000 | +$3,772,000 | |
| EFV ISHARES | EAFE VALUE ETF | 307,501 | 396,456 | +88,955 | $18,010,000 | $21,674,000 | +$3,664,000 | |
| PROSHARES TR CUSIP 74347R370 | United States | PSHS SH MSCI EAF | 89,864 | 194,456 | +104,592 | $2,822,000 | $6,483,000 | +$3,661,000 |
| SPIB SPDR SERIES TRUST | INTR TRM CORP BD | 2,706,125 | 2,837,900 | +131,775 | $93,253,000 | $96,858,000 | +$3,605,000 | |
| DBJP DBX ETF TR | XTRAK MSCI JAPN | 172,403 | 253,364 | +80,961 | $6,332,000 | $9,800,000 | +$3,468,000 | |
| ETV EATON VANCE TX MNG BY WRT OP | COM | 958,010 | 1,181,488 | +223,478 | $14,130,000 | $17,521,000 | +$3,391,000 | |
| HYMB SPDR SERIES TRUST | NUV HGHYLD MUN | 60,274 | 119,369 | +59,095 | $3,394,000 | $6,781,000 | +$3,387,000 | |
| IWY ISHARES | RUS TP200 GR ETF | 1,065,299 | 1,117,043 | +51,744 | $50,857,000 | $54,244,000 | +$3,387,000 | |
| DVY ISHARES TR | SELECT DIVID ETF | 1,885,146 | 2,009,530 | +124,384 | $145,119,000 | $148,424,000 | +$3,305,000 | |
| IEO ISHARES | US OIL&GS EX ETF | 40,552 | 81,314 | +40,762 | $3,936,000 | $7,070,000 | +$3,134,000 | |
| DLS WISDOMTREE TR | INTL SMCAP DIV | 91,722 | 152,615 | +60,893 | $5,942,000 | $9,032,000 | +$3,090,000 | |
| IXP ISHARES TR | GLOB TELECOM ETF | 96,702 | 145,369 | +48,667 | $6,098,000 | $9,142,000 | +$3,044,000 | |
| SPYG SPDR SERIES TRUST | S&P 500 GROWTH | 33,981 | 66,268 | +32,287 | $3,089,000 | $6,130,000 | +$3,041,000 | |
| EWL ISHARES | MSCI SZ CAP ETF | 1,490,095 | 1,666,040 | +175,945 | $51,140,000 | $54,163,000 | +$3,023,000 | |
| IJK ISHARES TR | S&P MC 400GR ETF | 578,880 | 580,514 | +1,634 | $90,930,000 | $87,919,000 | -$3,011,000 | |
| GAL SSGA ACTIVE ETF TR | GLOBL ALLO ETF | 127,252 | 217,837 | +90,585 | $4,518,000 | $7,514,000 | +$2,996,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U183 | BIOTECH ETF | 167,700 | 179,332 | +11,632 | $15,995,000 | $18,980,000 | +$2,985,000 | |
| ISHARES GOLD TRUST CUSIP 464285105 | ISHARES | 3,613,848 | 4,231,132 | +617,284 | $46,546,000 | $49,504,000 | +$2,958,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U506 | RUSSIA ETF | 612,180 | 851,140 | +238,960 | $16,118,000 | $19,040,000 | +$2,922,000 | |
| SDOG ALPS ETF TR | SECTR DIV DOGS | 707,379 | 787,350 | +79,971 | $26,470,000 | $29,325,000 | +$2,855,000 | |
| IGD VOYA GLBL EQTY DIV & PREM OP | COM | 1,392,476 | 1,743,829 | +351,353 | $13,507,000 | $16,340,000 | +$2,833,000 | |
| MYI BLACKROCK MUNIYIELD QLTY FD | COM | 1,213,624 | 1,427,234 | +213,610 | $16,760,000 | $19,567,000 | +$2,807,000 | |
| SDY SPDR SERIES TRUST | S&P DIVID ETF | 2,664,205 | 2,758,863 | +94,658 | $204,051,000 | $206,749,000 | +$2,698,000 | |
| FGD FIRST TR EXCHANGE TRADED FD | DJ GLBL DIVID | 664,311 | 827,332 | +163,021 | $19,378,000 | $22,015,000 | +$2,637,000 | |
| ETY EATON VANCE TX MGD DIV EQ IN | COM | 2,889,383 | 3,192,877 | +303,494 | $33,806,000 | $36,431,000 | +$2,625,000 | |
| THD ISHARES | MSCI THI CAP ETF | 29,386 | 58,305 | +28,919 | $2,269,000 | $4,887,000 | +$2,618,000 | |
| VFH VANGUARD WORLD FDS | FINANCIALS ETF | 894,185 | 949,125 | +54,940 | $41,472,000 | $44,068,000 | +$2,596,000 | |
| ETJ EATON VANCE RISK MNGD DIV EQ | COM | 2,874,397 | 3,057,368 | +182,971 | $33,170,000 | $35,740,000 | +$2,570,000 | |
| SCHZ SCHWAB STRATEGIC TR | US AGGREGATE B | 18,959 | 67,819 | +48,860 | $984,000 | $3,511,000 | +$2,527,000 | |
| SCHF SCHWAB STRATEGIC TR | INTL EQTY ETF | 205,513 | 299,139 | +93,626 | $6,778,000 | $9,279,000 | +$2,501,000 | |
| ISHARES TR CUSIP 46429B770 | INTL INFL-LKD BD | 5,104 | 57,154 | +52,050 | $252,000 | $2,646,000 | +$2,394,000 | |
| ETG EATON VANCE TX ADV GLBL DIV | COM | 1,096,660 | 1,272,771 | +176,111 | $19,279,000 | $21,663,000 | +$2,384,000 | |
| IWX ISHARES | RUS TP200 VL ETF | 1,145,333 | 1,203,864 | +58,531 | $49,078,000 | $51,453,000 | +$2,375,000 | |
| IWV ISHARES TR | RUSSELL 3000 ETF | 566,193 | 591,028 | +24,835 | $66,664,000 | $69,026,000 | +$2,362,000 | |
| FFC FLAHERTY&CRMN PFD SEC INCOM | COM | 565,721 | 695,090 | +129,369 | $11,088,000 | $13,422,000 | +$2,334,000 | |
| SPYV SPDR SERIES TRUST | S&P 500 VALUE | 7,254 | 31,010 | +23,756 | $710,000 | $3,033,000 | +$2,323,000 | |
| VOOV VANGUARD ADMIRAL FDS INC | 500 VAL IDX FD | 67,294 | 93,202 | +25,908 | $5,842,000 | $8,069,000 | +$2,227,000 | |
| POWERSHARES INDIA ETF TR CUSIP 73935L100 | INDIA PORT | 34,435 | 133,781 | +99,346 | $744,000 | $2,899,000 | +$2,155,000 | |
| SPAB SPDR SERIES TRUST | BRCLYS AGG ETF | 54,399 | 91,663 | +37,264 | $3,153,000 | $5,289,000 | +$2,136,000 | |
| IMCB ISHARES | MRGSTR MD CP ETF | 97,290 | 113,871 | +16,581 | $13,722,000 | $15,846,000 | +$2,124,000 | |
| ACWX ISHARES | MSCI ACWI US ETF | 141,126 | 195,650 | +54,524 | $6,777,000 | $8,898,000 | +$2,121,000 | |
| TIP ISHARES TR | TIPS BD ETF | 593,026 | 629,283 | +36,257 | $68,411,000 | $70,524,000 | +$2,113,000 | |
| VSS VANGUARD INTL EQUITY INDEX F | FTSE SMCAP ETF | 206,883 | 245,801 | +38,918 | $22,997,000 | $25,104,000 | +$2,107,000 | |
| CII BLACKROCK ENH CAP & INC FD I | COM | 625,187 | 760,553 | +135,366 | $9,209,000 | $11,295,000 | +$2,086,000 | |
| MGK VANGUARD WORLD FD | MEGA GRWTH IND | 539,082 | 558,551 | +19,469 | $41,391,000 | $43,444,000 | +$2,053,000 | |
| BTZ BLACKROCK CR ALLCTN INC TR | COM | 1,124,220 | 1,315,222 | +191,002 | $15,458,000 | $17,506,000 | +$2,048,000 | |
| BOE BLACKROCK GLOBAL OPP EQTY TR | COM | 1,815,494 | 2,080,929 | +265,435 | $27,323,000 | $29,362,000 | +$2,039,000 | |
| QTEC FIRST TR NASDAQ100 TECH INDE | SHS | 436,641 | 473,235 | +36,594 | $17,444,000 | $19,461,000 | +$2,017,000 | |
| BSV VANGUARD BD INDEX FD INC | SHORT TRM BOND | 1,606,228 | 1,636,584 | +30,356 | $129,044,000 | $131,041,000 | +$1,997,000 | |
| FDN FIRST TR EXCHANGE TRADED FD | DJ INTERNT IDX | 1,021,067 | 1,031,649 | +10,582 | $60,836,000 | $62,828,000 | +$1,992,000 | |
| BIT BLACKROCK MULTI-SECTOR INC T | COM | 1,736,099 | 1,922,782 | +186,683 | $32,118,000 | $34,110,000 | +$1,992,000 | |
| MGC VANGUARD WORLD FD | MEGA CAP INDEX | 245,446 | 272,685 | +27,239 | $16,430,000 | $18,420,000 | +$1,990,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q835 | INTL CORP BOND | 531,094 | 628,299 | +97,205 | $16,289,000 | $18,258,000 | +$1,969,000 | |
| PSF COHEN & STEERS SLT PFD INCM | COM | 37,939 | 114,293 | +76,354 | $1,002,000 | $2,924,000 | +$1,922,000 | |
| BGY BLACKROCK INTL GRWTH & INC T | COM BENE INTER | 1,518,230 | 1,909,924 | +391,694 | $12,510,000 | $14,381,000 | +$1,871,000 | |
| ISHARES CUSIP 464286673 | MSCI SINGAP ETF | 1,898,779 | 2,060,852 | +162,073 | $25,671,000 | $27,492,000 | +$1,821,000 | |
| MGV VANGUARD WORLD FD | MEGA CAP VAL ETF | 671,818 | 698,090 | +26,272 | $39,154,000 | $40,957,000 | +$1,803,000 | |
| MARKET VECTORS ETF TR CUSIP 57061R486 | SHT HG MUN ETF | 2,000 | 71,399 | +69,399 | $51,000 | $1,809,000 | +$1,758,000 | |
| EWP ISHARES | MSCI SPAN CP ETF | 935,246 | 984,787 | +49,541 | $40,048,000 | $38,308,000 | -$1,740,000 | |
| IGIB ISHARES | INTERM CR BD ETF | 857,400 | 879,882 | +22,482 | $94,477,000 | $96,180,000 | +$1,703,000 | |
| MIN MFS INTER INCOME TR | SH BEN INT | 3,328,436 | 3,842,968 | +514,532 | $17,575,000 | $19,253,000 | +$1,678,000 | |
| KRE SPDR SERIES TRUST | S&P REGL BKG | 1,364,635 | 1,497,235 | +132,600 | $55,022,000 | $56,685,000 | +$1,663,000 | |
| VOOG VANGUARD ADMIRAL FDS INC | 500 GRTH IDX F | 98,188 | 113,855 | +15,667 | $9,241,000 | $10,900,000 | +$1,659,000 | |
| MDIV FIRST TR EXCHANGE TRADED FD | MULTI ASSET DI | 891,334 | 1,003,041 | +111,707 | $19,948,000 | $21,575,000 | +$1,627,000 | |
| RYDEX ETF TRUST CUSIP 78355W304 | GUG S&P500 PU VA | 400,171 | 441,803 | +41,632 | $21,745,000 | $23,358,000 | +$1,613,000 | |
| NKX NUVEEN CAL AMT-FREE MUN INC | COM | 295,636 | 403,221 | +107,585 | $4,035,000 | $5,617,000 | +$1,582,000 | |
| VV VANGUARD INDEX FDS | LARGE CAP ETF | 569,315 | 583,657 | +14,342 | $51,244,000 | $52,797,000 | +$1,553,000 | |
| IXN ISHARES TR | GLOBAL TECH ETF | 152,327 | 164,934 | +12,607 | $13,553,000 | $15,093,000 | +$1,540,000 | |
| EVT EATON VANCE TAX ADVT DIV INC | COM | 1,118,653 | 1,222,596 | +103,943 | $23,156,000 | $24,684,000 | +$1,528,000 | |
| EES WISDOMTREE TR | SMLCAP EARN FD | 265,547 | 268,442 | +2,895 | $21,942,000 | $20,420,000 | -$1,522,000 | |
| PHK PIMCO HIGH INCOME FD | COM SHS | 1,171,736 | 1,499,937 | +328,201 | $15,970,000 | $17,489,000 | +$1,519,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q819 | KBW YIELD REIT | 45,982 | 98,707 | +52,725 | $1,522,000 | $3,040,000 | +$1,518,000 | |
| ILTB ISHARES | CORE LT USDB ETF | 878 | 25,359 | +24,481 | $54,000 | $1,552,000 | +$1,498,000 | |
| IGLB ISHARES | 10+ YR CR BD ETF | 268,866 | 296,128 | +27,262 | $16,280,000 | $17,750,000 | +$1,470,000 | |
| SJNK SPDR SER TR | SHT TRM HGH YLD | 3,160,645 | 3,220,358 | +59,713 | $97,854,000 | $96,385,000 | -$1,469,000 | |
| VTWO VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 17,720 | 35,569 | +17,849 | $1,684,000 | $3,131,000 | +$1,447,000 | |
| VOT VANGUARD INDEX FDS | MCAP GR IDXVIP | 1,311,149 | 1,327,362 | +16,213 | $126,355,000 | $127,798,000 | +$1,443,000 | |
| IFN INDIA FD INC | COM | 108,673 | 154,815 | +46,142 | $2,758,000 | $4,201,000 | +$1,443,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X690 | AERSPC DEF PTF | 174,545 | 218,507 | +43,962 | $5,631,000 | $7,071,000 | +$1,440,000 | |
| FVD FIRST TR VALUE LINE DIVID IN | SHS | 1,027,765 | 1,111,094 | +83,329 | $23,515,000 | $24,955,000 | +$1,440,000 | |
| IGI WESTERN ASSET INVT GRADE DEF | COM | 567,381 | 666,041 | +98,660 | $12,068,000 | $13,507,000 | +$1,439,000 | |
| FDL FIRST TR MORNINGSTAR DIV LEA | SHS | 657,818 | 729,167 | +71,349 | $15,643,000 | $17,063,000 | +$1,420,000 | |
| REVENUESHARES ETF TR CUSIP 761396209 | MID CAP FD | 153,392 | 191,200 | +37,808 | $7,324,000 | $8,723,000 | +$1,399,000 | |
| PROSHARES TR CUSIP 74347R701 | PSHS SHORT DOW30 | 105,790 | 164,865 | +59,075 | $2,668,000 | $4,065,000 | +$1,397,000 | |
| BFK BLACKROCK MUN INCOME TR | United States | BRIC ETF | 580,391 | 684,741 | +104,350 | $7,963,000 | $9,360,000 | +$1,397,000 |
| ARDC ARES DYNAMIC CR ALLOCATION F | COM | 603,098 | 726,020 | +122,922 | $10,982,000 | $12,372,000 | +$1,390,000 | |
| PML PIMCO MUN INCOME FD II | COM | 118,105 | 240,156 | +122,051 | $1,411,000 | $2,798,000 | +$1,387,000 | |
| EXG EATON VANCE TAX MNGD GBL DV | COM | 2,386,937 | 2,604,939 | +218,002 | $24,753,000 | $26,127,000 | +$1,374,000 | |
| EMD WESTERN ASSET EMRG MKT DEBT | COM | 615,121 | 741,005 | +125,884 | $11,306,000 | $12,679,000 | +$1,373,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X757 | DYN LSR & ENT | 214,373 | 258,602 | +44,229 | $7,299,000 | $8,647,000 | +$1,348,000 | |
| NBH NEUBERGER BERMAN INTER MUNI | COM | 611,858 | 723,101 | +111,243 | $9,422,000 | $10,760,000 | +$1,338,000 | |
| QUAL ISHARES TR | MSCI USA QLT FAC | 650,403 | 656,778 | +6,375 | $37,847,000 | $39,151,000 | +$1,304,000 | |
| RYDEX ETF TRUST CUSIP 78355W577 | GUG RUSS MCP EQL | 23,700 | 50,933 | +27,233 | $1,212,000 | $2,512,000 | +$1,300,000 | |
| HTD HANCOCK JOHN TAX-ADV DIV INC | COM | 609,132 | 681,494 | +72,362 | $12,749,000 | $14,046,000 | +$1,297,000 | |
| WISDOMTREE TR CUSIP 97717W448 | GERMANY HEDEQ FD | 32,830 | 83,516 | +50,686 | $915,000 | $2,190,000 | +$1,275,000 | |
| EWO ISHARES | AUSTRIA CAPD ETF | 77,965 | 171,332 | +93,367 | $1,527,000 | $2,762,000 | +$1,235,000 | |
| POWERSHARES ETF TR II CUSIP 73937B860 | S&P SMCP IT PO | 116,076 | 148,598 | +32,522 | $5,444,000 | $6,663,000 | +$1,219,000 |
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