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).
- NYF: Country of operation —; Class NY AMTFRE MU ETF; Shares 2014-06-30 9,447; Shares 2014-09-30 9,847.
- MHF: Country of operation —; Class COM; Shares 2014-06-30 196,383; Shares 2014-09-30 206,893.
- GUNR: Country of operation —; Class MORNSTAR UPSTR; Shares 2014-06-30 4,380; Shares 2014-09-30 6,293.
- EOS: Country of operation —; Class COM; Shares 2014-06-30 98,247; Shares 2014-09-30 100,909.
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 |
|---|---|---|---|---|---|---|---|---|
| NYF ISHARES | NY AMTFRE MU ETF | 9,447 | 9,847 | +400 | $1,039,000 | $1,093,000 | +$54,000 | |
| MHF WESTERN ASSET MUN HI INCM FD | COM | 196,383 | 206,893 | +10,510 | $1,449,000 | $1,502,000 | +$53,000 | |
| GUNR FLEXSHARES TR | MORNSTAR UPSTR | 4,380 | 6,293 | +1,913 | $164,000 | $217,000 | +$53,000 | |
| EOS EATON VANCE ENH EQTY INC FD | COM | 98,247 | 100,909 | +2,662 | $1,322,000 | $1,374,000 | +$52,000 | |
| PROSHARES TR CUSIP 74348A673 | ULT MSCIBZL CAPP | 167 | 871 | +704 | $10,000 | $61,000 | +$51,000 | |
| NORW GLOBAL X FDS | FTSE NORDIC REG | 4,752 | 7,061 | +2,309 | $124,000 | $175,000 | +$51,000 | |
| FNY FIRST TR EXCNGE TRD ALPHADEX | MID CP GR ALPH | 55,847 | 56,588 | +741 | $1,619,000 | $1,568,000 | -$51,000 | |
| GGZ GABELLI GLB SML & MD CP VAL | COM | 27,800 | 34,111 | +6,311 | $299,000 | $349,000 | +$50,000 | |
| ISHARES CUSIP 464289107 | TRGT DT RET ETF | 84 | 1,580 | +1,496 | $3,000 | $53,000 | +$50,000 | |
| AIVL WISDOMTREE TR | DIV EX-FINL FD | 495,405 | 498,099 | +2,694 | $36,610,000 | $36,560,000 | -$50,000 | |
| MYN BLACKROCK MUNIYIELD NY QLTY | COM | 57,800 | 63,346 | +5,546 | $762,000 | $812,000 | +$50,000 | |
| USD PROSHARES TR | PSHS ULT SEMICDT | 84 | 658 | +574 | $6,000 | $55,000 | +$49,000 | |
| FIRST TRUST SPECIALTY FINANC CUSIP 33733G109 | United States | COM BEN INTR | 6,835 | 12,440 | +5,605 | $55,000 | $104,000 | +$49,000 |
| PNI PIMCO NEW YORK MUN FD II | COM | 2,855 | 7,221 | +4,366 | $33,000 | $82,000 | +$49,000 | |
| PROSHARES TR CUSIP 74347R487 | PSHS ULT 2000 GR | 533 | 1,134 | +601 | $54,000 | $102,000 | +$48,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T458 | NY MUNI BD ETF | 39,943 | 41,661 | +1,718 | $959,000 | $1,007,000 | +$48,000 | |
| FOF COHEN & STEERS CLOSED END OP | COM | 51,532 | 57,157 | +5,625 | $697,000 | $745,000 | +$48,000 | |
| VGM INVESCO TR INVT GRADE MUNS | COM | 61,133 | 64,352 | +3,219 | $797,000 | $844,000 | +$47,000 | |
| ISHARES TR CUSIP 46429B259 | FINCLS BOND ETF | 58 | 949 | +891 | $3,000 | $50,000 | +$47,000 | |
| IOO ISHARES TR | GLOBAL 100 ETF | 181,689 | 185,276 | +3,587 | $14,306,000 | $14,353,000 | +$47,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X377 | FINL SECT PORT | 9,185 | 11,025 | +1,840 | $268,000 | $314,000 | +$46,000 | |
| OIA INVESCO MUNI INCOME OPP TRST | COM | 81,054 | 89,901 | +8,847 | $564,000 | $610,000 | +$46,000 | |
| QCLN FIRST TR EXCHANGE TRADED FD | NAS CLNEDG GREEN | 235,133 | 250,665 | +15,532 | $4,832,000 | $4,786,000 | -$46,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q879 | GUGG TIMBER ETF | 32,880 | 33,292 | +412 | $829,000 | $783,000 | -$46,000 | |
| PROSHARES TR CUSIP 74348A525 | ULSHOIL&GASNEW13 | 409 | 1,382 | +973 | $15,000 | $60,000 | +$45,000 | |
| PROSHARES TR CUSIP 74348A293 | ULTSHT RUSS GWTH | 772 | 1,777 | +1,005 | $29,000 | $74,000 | +$45,000 | |
| JOF JAPAN SMALLER CAPTLZTN FD IN | COM | 19,853 | 23,942 | +4,089 | $187,000 | $232,000 | +$45,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U209 | MV ENVIR SVCS | 1,038 | 1,794 | +756 | $71,000 | $116,000 | +$45,000 | |
| ISHARES TR CUSIP 46432FAN7 | 2023 CORP EX ETF | 583 | 1,043 | +460 | $56,000 | $100,000 | +$44,000 | |
| PIMCO ETF TR CUSIP 72201R700 | 7-15 YR US TRS | 941 | 1,463 | +522 | $78,000 | $122,000 | +$44,000 | |
| POWERSHARES ETF TR II CUSIP 73937B654 | PWRSH S&P500HI | 26,122 | 28,126 | +2,004 | $822,000 | $865,000 | +$43,000 | |
| GRID FIRST TR EXCH TRADED FD II | NASDQ CLN EDGE | 19,831 | 19,868 | +37 | $748,000 | $705,000 | -$43,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U787 | AFRICA ETF | 4,008 | 5,591 | +1,583 | $132,000 | $175,000 | +$43,000 | |
| FIRST TR VAL LINE EQ ALLO IN CUSIP 336919105 | SHS | 380 | 1,981 | +1,601 | $10,000 | $52,000 | +$42,000 | |
| GLOBAL X FDS CUSIP 37950E366 | FTSE GREECE 20 | 7,941 | 11,910 | +3,969 | $179,000 | $221,000 | +$42,000 | |
| MIDU DIREXION SHS ETF TR | DLY MIDCAP ETF3X | 868 | 1,503 | +635 | $83,000 | $125,000 | +$42,000 | |
| MVV PROSHARES TR | PSHS ULT MCAP400 | 2,470 | 3,329 | +859 | $178,000 | $219,000 | +$41,000 | |
| PROSHARES TR CUSIP 74347X534 | ULT MSCI PAC | 298 | 1,427 | +1,129 | $13,000 | $54,000 | +$41,000 | |
| SPDR INDEX SHS FDS CUSIP 78463X699 | INTL FINL ETF | 11,975 | 14,431 | +2,456 | $277,000 | $317,000 | +$40,000 | |
| PROSHARES TR CUSIP 74348A368 | ULTRASHORT INDL | 10 | 801 | +791 | $0 | $39,000 | +$39,000 | |
| NMT NUVEEN MASS PREM INCOME MUN | COM | 9,707 | 12,705 | +2,998 | $130,000 | $168,000 | +$38,000 | |
| SPSM SPDR SER TR | SPDR RUSSEL 2000 | 1,072 | 1,707 | +635 | $76,000 | $113,000 | +$37,000 | |
| DIREXION SHS ETF TR CUSIP 25459Y686 | DLY EMRGMKT BULL | 1,704 | 3,329 | +1,625 | $52,000 | $89,000 | +$37,000 | |
| PFL PIMCO INCOME STRATEGY FUND | COM | 58,146 | 63,263 | +5,117 | $718,000 | $755,000 | +$37,000 | |
| POWERSHARES ETF TR II CUSIP 73937B803 | S&P SMCP FIN P | 17,809 | 17,903 | +94 | $706,000 | $670,000 | -$36,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U779 | GULF STS ETF | 1,470 | 2,349 | +879 | $43,000 | $79,000 | +$36,000 | |
| POWERSHARES ETF TR II CUSIP 73937B746 | KBW BK PORT | 64,515 | 65,181 | +666 | $2,361,000 | $2,397,000 | +$36,000 | |
| CWI SPDR INDEX SHS FDS | MSCI ACWI EXUS | 21,436 | 23,649 | +2,213 | $795,000 | $830,000 | +$35,000 | |
| SPLB SPDR SERIES TRUST | LNG TRM CORP BD | 52,520 | 53,533 | +1,013 | $2,133,000 | $2,168,000 | +$35,000 | |
| FMY FIRST TRUST MORTGAGE INCM FD | COM SHS | 5,282 | 7,872 | +2,590 | $84,000 | $119,000 | +$35,000 | |
| IIM INVESCO VALUE MUN INCOME TR | COM | 77,713 | 79,040 | +1,327 | $1,165,000 | $1,200,000 | +$35,000 | |
| XAR SPDR SERIES TRUST | AEROSPACE DEF | 5,977 | 6,291 | +314 | $595,000 | $629,000 | +$34,000 | |
| DIREXION SHS ETF TR CUSIP 25459W417 | RETAIL BULL 3X | 470 | 863 | +393 | $30,000 | $64,000 | +$34,000 | |
| GII SPDR INDEX SHS FDS | S&P GBLINF ETF | 20,561 | 20,843 | +282 | $1,046,000 | $1,013,000 | -$33,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X740 | ZACKS MC PRTFL | 79,013 | 83,848 | +4,835 | $1,334,000 | $1,301,000 | -$33,000 | |
| HPI HANCOCK JOHN PFD INCOME FD | SH BEN INT | 199,405 | 206,417 | +7,012 | $4,106,000 | $4,139,000 | +$33,000 | |
| EVG EATON VANCE SH TM DR DIVR IN | COM | 181,742 | 187,820 | +6,078 | $2,788,000 | $2,755,000 | -$33,000 | |
| PROSHARES TR II CUSIP 74347W494 | PROSHS ULT AUS | 455 | 1,525 | +1,070 | $16,000 | $48,000 | +$32,000 | |
| UYG PROSHARES TR | ULTRA FNCLS NEW | 562 | 782 | +220 | $71,000 | $101,000 | +$30,000 | |
| PFD FLAHERTY & CRUMRINE PFD INC | COM | 53,714 | 55,060 | +1,346 | $785,000 | $755,000 | -$30,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q876 | GLOB GLD&P ETF | 15,477 | 17,621 | +2,144 | $349,000 | $320,000 | -$29,000 | |
| PROSHARES TR CUSIP 74347R230 | PSHS SHTFINL ETF | 3,872 | 5,412 | +1,540 | $75,000 | $103,000 | +$28,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X278 | CLEANTECH PORT | 31,943 | 34,838 | +2,895 | $1,050,000 | $1,022,000 | -$28,000 | |
| GLOBAL X FDS CUSIP 37950E226 | GLB X MLP ENRG I | 283 | 1,723 | +1,440 | $6,000 | $34,000 | +$28,000 | |
| WISDOMTREE TR CUSIP 97717X842 | ASIA LC DBT FD | 3,097 | 3,772 | +675 | $153,000 | $181,000 | +$28,000 | |
| SPDR INDEX SHS FDS CUSIP 78463X806 | MIDEAST AFRICA | 28,683 | 29,808 | +1,125 | $2,100,000 | $2,073,000 | -$27,000 | |
| XHE SPDR SERIES TRUST | HLTH CR EQUIP | 4,631 | 5,240 | +609 | $365,000 | $392,000 | +$27,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X393 | CON STAPLE SEC | 10,681 | 11,012 | +331 | $492,000 | $519,000 | +$27,000 | |
| PROSHARES TR CUSIP 74347R719 | PSHS ULTRA O&G | 2,852 | 3,089 | +237 | $252,000 | $225,000 | -$27,000 | |
| QLTA ISHARES TR | A RATE CP BD ETF | 4,205 | 4,728 | +523 | $216,000 | $242,000 | +$26,000 | |
| ISHARES CUSIP 464286335 | GLB GLD MINR ETF | 21,515 | 23,226 | +1,711 | $238,000 | $212,000 | -$26,000 | |
| GLOBAL X FDS CUSIP 37950E846 | GLB X BRAZ CON | 4,266 | 6,200 | +1,934 | $75,000 | $100,000 | +$25,000 | |
| JHI HANCOCK JOHN INVS TR | COM | 11,595 | 14,261 | +2,666 | $239,000 | $263,000 | +$24,000 | |
| DIREXION SHS ETF TR CUSIP 25459Y611 | DLY JR GL MNR 3X | 2,179 | 3,071 | +892 | $60,000 | $36,000 | -$24,000 | |
| FIRST TR EXCNGE TRD ALPHADEX CUSIP 33737M508 | MEGA CAP ALPHA | 200 | 1,102 | +902 | $5,000 | $29,000 | +$24,000 | |
| ISHARES TR CUSIP 46429B705 | MSCI RUSSIA CAP | 2,114 | 3,896 | +1,782 | $43,000 | $67,000 | +$24,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U597 | CHINAAMC A S ETF | 131 | 856 | +725 | $4,000 | $28,000 | +$24,000 | |
| NHS NEUBERGER BERMAN HGH YLD FD | COM | 26,657 | 26,740 | +83 | $369,000 | $345,000 | -$24,000 | |
| PROSHARES TR CUSIP 74348A418 | ULTRAPRO SH NW14 | 11,060 | 13,935 | +2,875 | $477,000 | $500,000 | +$23,000 | |
| WISDOMTREE TR CUSIP 97717W463 | JAPAN HDG FINL | 4,200 | 5,034 | +834 | $109,000 | $132,000 | +$23,000 | |
| DIREXION SHS ETF TR CUSIP 25459Y256 | DLY S&P500 2XS | 335 | 865 | +530 | $14,000 | $37,000 | +$23,000 | |
| ISHARES TR CUSIP 46429B812 | GLBL INFL-LKD BD | 30,656 | 32,473 | +1,817 | $1,617,000 | $1,640,000 | +$23,000 | |
| MARKET VECTORS ETF TR CUSIP 57061R676 | ISRAEL ETF | 550 | 1,286 | +736 | $17,000 | $40,000 | +$23,000 | |
| AVK ADVENT CLAYMORE CV SECS & IN | COM | 31,748 | 35,874 | +4,126 | $599,000 | $622,000 | +$23,000 | |
| PROSHARES TR CUSIP 74347R602 | PSHS SHORT QQQ | 621,248 | 660,119 | +38,871 | $10,375,000 | $10,397,000 | +$22,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X443 | FND PUR MIDCR PT | 957 | 1,590 | +633 | $36,000 | $58,000 | +$22,000 | |
| TIPZ PIMCO ETF TR | BROAD US TIPS | 1,816 | 2,242 | +426 | $105,000 | $127,000 | +$22,000 | |
| WISDOMTREE TR CUSIP 97717W240 | BRAZILN RL FD | 641 | 1,857 | +1,216 | $12,000 | $33,000 | +$21,000 | |
| FIRST TR ISE GLOBL COPPR IND CUSIP 33733J103 | COM | 11,681 | 12,238 | +557 | $281,000 | $260,000 | -$21,000 | |
| WIP SPDR SERIES TRUST | DB INT GVT ETF | 113,414 | 120,080 | +6,666 | $7,033,000 | $7,053,000 | +$20,000 | |
| NPV NUVEEN VA PREM INCOME MUN FD | COM | 14,121 | 15,806 | +1,685 | $188,000 | $208,000 | +$20,000 | |
| DNP DNP SELECT INCOME FD | COM | 855,226 | 891,028 | +35,802 | $8,988,000 | $9,008,000 | +$20,000 | |
| POWERSHARES ETF TR II CUSIP 73937B209 | EMRG MKTS INFR | 9,281 | 10,144 | +863 | $348,000 | $368,000 | +$20,000 | |
| ISHARES CUSIP 464288190 | FTSE CHINA ETF | 1,650 | 2,009 | +359 | $77,000 | $97,000 | +$20,000 | |
| ICLN ISHARES | GL CLEAN ENE ETF | 34,921 | 36,228 | +1,307 | $414,000 | $394,000 | -$20,000 | |
| SPDR INDEX SHS FDS CUSIP 78463X830 | RUSS NOMURA PR | 7,738 | 8,328 | +590 | $359,000 | $378,000 | +$19,000 | |
| GCV GABELLI CONV&INCOM SECS FD I | COM | 36,911 | 41,788 | +4,877 | $232,000 | $251,000 | +$19,000 | |
| GLOBAL X FDS CUSIP 37950E317 | GLBLX CEN ASIA | 164 | 1,557 | +1,393 | $2,000 | $21,000 | +$19,000 | |
| ISHARES CUSIP 464288232 | GL NUCLE ENE ETF | 179 | 717 | +538 | $7,000 | $26,000 | +$19,000 | |
| PROSHARES TR CUSIP 74347X112 | ULTRA SH DOW30 | 2,390 | 3,288 | +898 | $63,000 | $81,000 | +$18,000 |
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