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).
- NMZ: Country of operation —; Class COM; Shares 2014-06-30 748,701; Shares 2014-09-30 853,108.
- SPDR SERIES TRUST: Country of operation —; Class BRC BLD AMER BD; Shares 2014-06-30 29,134; Shares 2014-09-30 48,530.
- DON: Country of operation —; Class MIDCAP DIVI FD; Shares 2014-06-30 493,053; Shares 2014-09-30 499,616.
- SCHH: Country of operation —; Class US REIT ETF; Shares 2014-06-30 18,116; Shares 2014-09-30 52,513.
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 |
|---|---|---|---|---|---|---|---|---|
| NMZ NUVEEN MUN HIGH INCOME OPP F | COM | 748,701 | 853,108 | +104,407 | $9,920,000 | $11,125,000 | +$1,205,000 | |
| SPDR SERIES TRUST CUSIP 78464A276 | BRC BLD AMER BD | 29,134 | 48,530 | +19,396 | $1,773,000 | $2,967,000 | +$1,194,000 | |
| DON WISDOMTREE TR | MIDCAP DIVI FD | 493,053 | 499,616 | +6,563 | $40,263,000 | $39,107,000 | -$1,156,000 | |
| SCHH SCHWAB STRATEGIC TR | US REIT ETF | 18,116 | 52,513 | +34,397 | $641,000 | $1,789,000 | +$1,148,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X583 | FTSE RAFI 1000 | 554,842 | 571,148 | +16,306 | $49,070,000 | $50,215,000 | +$1,145,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U522 | EM LC CURR DBT | 573,127 | 661,025 | +87,898 | $13,927,000 | $15,071,000 | +$1,144,000 | |
| PTY PIMCO CORPORATE & INCOME OPP | COM | 779,986 | 928,246 | +148,260 | $14,703,000 | $15,836,000 | +$1,133,000 | |
| UTF COHEN & STEERS INFRASTRUCTUR | COM | 1,450,206 | 1,485,437 | +35,231 | $35,515,000 | $34,388,000 | -$1,127,000 | |
| GURU GLOBAL X FDS | GLB X GURU INDEX | 65,296 | 108,393 | +43,097 | $1,727,000 | $2,852,000 | +$1,125,000 | |
| INDY ISHARES | INDIA 50 ETF | 71,969 | 107,738 | +35,769 | $2,085,000 | $3,194,000 | +$1,109,000 | |
| DHS WISDOMTREE TR | EQTY INC FD | 208,448 | 227,502 | +19,054 | $12,382,000 | $13,491,000 | +$1,109,000 | |
| EMCB WISDOMTREE TR | WSDM EMKTBD FD | 83,013 | 99,367 | +16,354 | $6,489,000 | $7,572,000 | +$1,083,000 | |
| NOBL PROSHARES TR | S&P 500 ARISTO | 443,366 | 464,007 | +20,641 | $20,439,000 | $21,511,000 | +$1,072,000 | |
| BLV VANGUARD BD INDEX FD INC | LONG TERM BOND | 10,605 | 22,415 | +11,810 | $953,000 | $2,022,000 | +$1,069,000 | |
| RVT ROYCE VALUE TR INC | COM | 805,274 | 817,226 | +11,952 | $12,884,000 | $11,850,000 | -$1,034,000 | |
| FPX FIRST TR US IPO INDEX FD | SHS | 205,551 | 226,979 | +21,428 | $9,891,000 | $10,915,000 | +$1,024,000 | |
| QQXT FIRST TR EXCHANGE TRADED FD | NASDAQ 100 EX | 217,896 | 240,004 | +22,108 | $7,857,000 | $8,876,000 | +$1,019,000 | |
| EDD MORGAN STANLEY EM MKTS DM DE | COM | 972,243 | 1,010,605 | +38,362 | $12,951,000 | $11,935,000 | -$1,016,000 | |
| EIDO ISHARES TR | MSCI INDONIA ETF | 112,795 | 146,323 | +33,528 | $2,975,000 | $3,983,000 | +$1,008,000 | |
| RYDEX ETF TRUST CUSIP 78355W700 | GUG S&P SC600 PV | 14,231 | 32,482 | +18,251 | $909,000 | $1,905,000 | +$996,000 | |
| RLY SSGA ACTIVE ETF TR | MULT ASS RLRTN | 107,848 | 152,277 | +44,429 | $3,335,000 | $4,323,000 | +$988,000 | |
| VCIT VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 224,496 | 237,940 | +13,444 | $19,432,000 | $20,408,000 | +$976,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X823 | DYN MEDIA PORT | 509,497 | 561,376 | +51,879 | $12,906,000 | $13,877,000 | +$971,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U217 | PHARMACEUTICAL | 24,345 | 38,993 | +14,648 | $1,510,000 | $2,478,000 | +$968,000 | |
| IXC ISHARES TR | GLOBAL ENERG ETF | 252,066 | 256,938 | +4,872 | $12,230,000 | $11,264,000 | -$966,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X856 | DYN BIOT & GEN | 346,145 | 348,011 | +1,866 | $15,130,000 | $16,085,000 | +$955,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X385 | ENERGY SEC POR | 45,394 | 67,247 | +21,853 | $2,960,000 | $3,895,000 | +$935,000 | |
| IYT ISHARES TR | TRANS AVG ETF | 138,326 | 140,830 | +2,504 | $20,335,000 | $21,251,000 | +$916,000 | |
| AGZ ISHARES | AGENCY BOND ETF | 29,230 | 37,443 | +8,213 | $3,293,000 | $4,204,000 | +$911,000 | |
| DBL DOUBLELINE OPPORTUNISTIC CR | COM | 303,525 | 342,645 | +39,120 | $7,178,000 | $8,086,000 | +$908,000 | |
| PROSHARES TR CUSIP 74347R396 | United States | PSHS SH MSCI EMR | 67,624 | 100,999 | +33,375 | $1,673,000 | $2,574,000 | +$901,000 |
| IHI ISHARES | U.S. MED DVC ETF | 67,990 | 78,840 | +10,850 | $6,936,000 | $7,837,000 | +$901,000 | |
| SPDR SER TR CUSIP 78468R507 | SPDR BOFA ML | 2,299 | 32,187 | +29,888 | $71,000 | $966,000 | +$895,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U837 | COAL ETF | 149,772 | 215,391 | +65,619 | $2,803,000 | $3,686,000 | +$883,000 | |
| FXZ FIRST TR EXCHANGE TRADED FD | MATERIALS ALPH | 348,100 | 397,536 | +49,436 | $11,888,000 | $12,769,000 | +$881,000 | |
| DFP FLAHERTY & CRUMRINE DYN PFD | SHS | 51,626 | 92,689 | +41,063 | $1,216,000 | $2,094,000 | +$878,000 | |
| RWO SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 257,205 | 290,434 | +33,229 | $11,999,000 | $12,875,000 | +$876,000 | |
| IYG ISHARES TR | U.S. FIN SVC ETF | 97,702 | 105,825 | +8,123 | $8,249,000 | $9,113,000 | +$864,000 | |
| IDOG ALPS ETF TR | INTL SEC DV DOG | 112,881 | 155,586 | +42,705 | $3,554,000 | $4,410,000 | +$856,000 | |
| ISHARES CUSIP 464286368 | GL MET&MINPR ETF | 1,340 | 48,259 | +46,919 | $27,000 | $880,000 | +$853,000 | |
| SPEM SPDR INDEX SHS FDS | EMERG MKTS ETF | 75,424 | 89,556 | +14,132 | $5,102,000 | $5,954,000 | +$852,000 | |
| BDJ BLACKROCK ENHANCED EQT DIV T | COM | 970,848 | 1,097,159 | +126,311 | $8,145,000 | $8,997,000 | +$852,000 | |
| USMV ISHARES TR | USA MIN VOL ETF | 531,004 | 546,965 | +15,961 | $19,764,000 | $20,610,000 | +$846,000 | |
| GNR SPDR INDEX SHS FDS | GLB NAT RESRCE | 60,041 | 82,209 | +22,168 | $3,173,000 | $4,004,000 | +$831,000 | |
| REVENUESHARES ETF TR CUSIP 761396308 | SMALL CAP FD | 125,830 | 152,402 | +26,572 | $7,084,000 | $7,905,000 | +$821,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X203 | DYNAMIC OTC PT | 460 | 12,646 | +12,186 | $32,000 | $845,000 | +$813,000 | |
| AWF ALLIANCEBERNSTEIN GBL HGH IN | COM | 280,312 | 355,632 | +75,320 | $4,028,000 | $4,837,000 | +$809,000 | |
| GWX SPDR INDEX SHS FDS | S&P INTL SMLCP | 72,550 | 102,625 | +30,075 | $2,559,000 | $3,355,000 | +$796,000 | |
| VOO VANGUARD INDEX FDS | S&P 500 ETF SHS | 513,788 | 514,896 | +1,108 | $92,189,000 | $92,985,000 | +$796,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T789 | DEV MKTS EX-US | 460,169 | 477,889 | +17,720 | $20,961,000 | $20,167,000 | -$794,000 | |
| LTPZ PIMCO ETF TR | 15+ YR US TIPS | 3,434 | 16,010 | +12,576 | $224,000 | $1,015,000 | +$791,000 | |
| PFN PIMCO INCOME STRATEGY FUND I | COM | 467,241 | 565,798 | +98,557 | $5,168,000 | $5,958,000 | +$790,000 | |
| DGRW WISDOMTREE TR | US DIVD GRT FD | 199,373 | 224,728 | +25,355 | $5,788,000 | $6,576,000 | +$788,000 | |
| GLOBAL X FDS CUSIP 37950E549 | GLB X SUPERDIV | 646,959 | 670,679 | +23,720 | $16,860,000 | $16,077,000 | -$783,000 | |
| IAT ISHARES | US REGNL BKS ETF | 260,785 | 296,336 | +35,551 | $9,038,000 | $9,821,000 | +$783,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T763 | EMER MRKT PORT | 215,408 | 265,332 | +49,924 | $4,593,000 | $5,370,000 | +$777,000 | |
| BGT BLACKROCK FLOATING RATE INCO | COM | 384,326 | 451,865 | +67,539 | $5,461,000 | $6,236,000 | +$775,000 | |
| SPSB SPDR SERIES TRUST | BARC SHT TR CP | 498,430 | 524,549 | +26,119 | $15,357,000 | $16,098,000 | +$741,000 | |
| IWS ISHARES TR | RUS MDCP VAL ETF | 1,317,058 | 1,376,754 | +59,696 | $95,632,000 | $96,373,000 | +$741,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U845 | MKTVEC INTMUETF | 579,649 | 605,729 | +26,080 | $13,477,000 | $14,210,000 | +$733,000 | |
| MMD MAINSTAY DEFINEDTERM MN OPP | COM | 102,169 | 142,248 | +40,079 | $1,823,000 | $2,539,000 | +$716,000 | |
| CSQ CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 2,007,961 | 2,122,261 | +114,300 | $24,116,000 | $24,830,000 | +$714,000 | |
| QABA FIRST TR NASDAQ ABA CMNTY BK | UT COM SHS ETF | 213,225 | 246,564 | +33,339 | $7,649,000 | $8,355,000 | +$706,000 | |
| VDE VANGUARD WORLD FDS | ENERGY ETF | 269,687 | 290,788 | +21,101 | $38,824,000 | $38,128,000 | -$696,000 | |
| ICF ISHARES TR | COHEN&STEER REIT | 425,622 | 448,185 | +22,563 | $37,170,000 | $37,858,000 | +$688,000 | |
| SPTL SPDR SERIES TRUST | BRCLYS LG TRS ET | 16,332 | 25,942 | +9,610 | $1,083,000 | $1,755,000 | +$672,000 | |
| WTRE WISDOMTREE TR | GLB EX US RL EST | 23,015 | 48,162 | +25,147 | $692,000 | $1,364,000 | +$672,000 | |
| EFAV ISHARES TR | EAFE MIN VOL ETF | 356,660 | 382,637 | +25,977 | $23,318,000 | $23,965,000 | +$647,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X427 | BASIC MAT SECT | 35,057 | 46,660 | +11,603 | $1,938,000 | $2,579,000 | +$641,000 | |
| VOX VANGUARD WORLD FDS | TELCOMM ETF | 67,639 | 75,462 | +7,823 | $5,950,000 | $6,588,000 | +$638,000 | |
| GOF GUGGENHEIM STRATEGIC OPP FD | COM SBI | 147,554 | 176,102 | +28,548 | $3,243,000 | $3,860,000 | +$617,000 | |
| ISHARES CUSIP 464286848 | MSCI JAPAN ETF | 5,419,281 | 5,594,452 | +175,171 | $65,248,000 | $65,847,000 | +$599,000 | |
| FAS DIREXION SHS ETF TR | DLY FIN BULL NEW | 6,979 | 12,561 | +5,582 | $698,000 | $1,293,000 | +$595,000 | |
| EXCHANGE TRADED CONCEPTS TR CUSIP 30151E103 | HRZN S&P500 CV C | 14,499 | 27,220 | +12,721 | $670,000 | $1,259,000 | +$589,000 | |
| SPDR INDEX SHS FDS CUSIP 78463X640 | INTL TELEC ETF | 20,364 | 44,314 | +23,950 | $555,000 | $1,137,000 | +$582,000 | |
| MUNI PIMCO ETF TR | INTER MUN BD ST | 156,667 | 166,533 | +9,866 | $8,336,000 | $8,892,000 | +$556,000 | |
| BHK BLACKROCK CORE BD TR | SHS BEN INT | 615,118 | 681,995 | +66,877 | $8,587,000 | $9,118,000 | +$531,000 | |
| BCX BLACKROCK RES & COMM STRAT T | SHS | 1,399,905 | 1,593,868 | +193,963 | $17,373,000 | $17,899,000 | +$526,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U159 | UNCVTL OIL GAS | 8,742 | 27,609 | +18,867 | $302,000 | $826,000 | +$524,000 | |
| GBF ISHARES | GOV/CRED BD ETF | 29,377 | 34,024 | +4,647 | $3,309,000 | $3,832,000 | +$523,000 | |
| FIRST TR EXCH TRD ALPHA FD I CUSIP 33737J208 | CANADA ALPHA | 27,780 | 44,654 | +16,874 | $1,077,000 | $1,600,000 | +$523,000 | |
| CMF ISHARES | CALI AMT-FRE ETF | 58,348 | 62,297 | +3,949 | $6,763,000 | $7,271,000 | +$508,000 | |
| FAN FIRST TR ISE GLB WIND ENRG E | COM SHS | 470,741 | 591,181 | +120,440 | $6,279,000 | $6,787,000 | +$508,000 | |
| VONV VANGUARD SCOTTSDALE FDS | VNG RUS1000VAL | 59,177 | 65,232 | +6,055 | $5,213,000 | $5,711,000 | +$498,000 | |
| MUC BLACKROCK MUNIHLDNGS CALI QL | COM | 112,043 | 147,294 | +35,251 | $1,604,000 | $2,096,000 | +$492,000 | |
| VCV INVESCO CALIF VALUE MUN INC | COM | 196,828 | 239,160 | +42,332 | $2,437,000 | $2,920,000 | +$483,000 | |
| IYM ISHARES TR | U.S. BAS MTL ETF | 79,067 | 85,970 | +6,903 | $6,921,000 | $7,399,000 | +$478,000 | |
| DLN WISDOMTREE TR | LARGECAP DIVID | 684,402 | 687,515 | +3,113 | $48,460,000 | $48,930,000 | +$470,000 | |
| EWQ ISHARES | MSCI FRANCE ETF | 175,200 | 209,207 | +34,007 | $5,107,000 | $5,554,000 | +$447,000 | |
| MQY BLACKROCK MUNIYIELD QUALITY | COM | 631,502 | 667,886 | +36,384 | $9,517,000 | $9,964,000 | +$447,000 | |
| GLO CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 55,837 | 98,112 | +42,275 | $725,000 | $1,170,000 | +$445,000 | |
| DWM WISDOMTREE TR | DEFA FD | 121,940 | 122,159 | +219 | $6,827,000 | $6,384,000 | -$443,000 | |
| EGA EMERGING GLOBAL SHS TR CUSIP 268461779 | EGS EMKTCONS ETF | 1,300,644 | 1,391,862 | +91,218 | $36,067,000 | $36,509,000 | +$442,000 | |
| SCHD SCHWAB STRATEGIC TR | US DIVIDEND EQ | 30,921 | 42,024 | +11,103 | $1,183,000 | $1,620,000 | +$437,000 | |
| ETB EATON VANCE TAX MNGED BUY WR | COM | 157,980 | 189,349 | +31,369 | $2,523,000 | $2,959,000 | +$436,000 | |
| IGM ISHARES TR | N AMER TECH ETF | 77,191 | 79,453 | +2,262 | $7,348,000 | $7,778,000 | +$430,000 | |
| GLOBAL X FDS CUSIP 37950E275 | GBLX URANIUM NEW | 36,769 | 73,831 | +37,062 | $532,000 | $957,000 | +$425,000 | |
| EVF EATON VANCE SR INCOME TR | SH BEN INT | 778,313 | 879,542 | +101,229 | $5,301,000 | $5,726,000 | +$425,000 | |
| JLS NUVEEN MTG OPPORTUNITY TERM | COM | 20,981 | 39,572 | +18,591 | $516,000 | $940,000 | +$424,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T557 | FDM HG YLD RAFI | 982,957 | 989,343 | +6,386 | $19,266,000 | $18,847,000 | -$419,000 |
Similar Firms
| Firm Name | Country | 13F Value | Holdings |
|---|---|---|---|
| Not available yet | |||