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).
- VLT: Country of operation —; Class COM; Shares 2014-06-30 6,948; Shares 2014-09-30 8,804.
- ISHARES: Country of operation —; Class TRGT DT 2010 ETF; Shares 2014-06-30 863; Shares 2014-09-30 1,372.
- LDUR: Country of operation —; Class LOW DURTN ETF; Shares 2014-06-30 18,570; Shares 2014-09-30 18,772.
- PROSHARES TR: Country of operation —; Class PSHS ULDOW30 NEW; Shares 2014-06-30 5,191; Shares 2014-09-30 6,037.
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 |
|---|
VLT
INVESCO HIGH INCOME TR II | | COM | 6,948 | 8,804 | +1,856 | $119,000 | $137,000 | +$18,000 |
|---|
ISHARES
CUSIP 464289206 | | TRGT DT 2010 ETF | 863 | 1,372 | +509 | $32,000 | $50,000 | +$18,000 |
|---|
LDUR
PIMCO ETF TR | | LOW DURTN ETF | 18,570 | 18,772 | +202 | $1,882,000 | $1,900,000 | +$18,000 |
|---|
PROSHARES TR
CUSIP 74348A590 | | PSHS ULDOW30 NEW | 5,191 | 6,037 | +846 | $133,000 | $148,000 | +$15,000 |
|---|
BXSY
DIVIDEND & INCOME FUND | | COM NEW | 5,357 | 6,063 | +706 | $86,000 | $101,000 | +$15,000 |
|---|
FIRST TR ABERDEEN GLBL OPP F
CUSIP 337319107 | United States | COM SHS | 32,184 | 35,846 | +3,662 | $472,000 | $487,000 | +$15,000 |
|---|
MARKET VECTORS ETF TR
CUSIP 57060U324 | | MTG REIT ETF | 2,875 | 3,700 | +825 | $73,000 | $88,000 | +$15,000 |
|---|
WISDOMTREE TR
CUSIP 97717W810 | | AUSTRALIA DIV FD | 3,977 | 4,117 | +140 | $245,000 | $230,000 | -$15,000 |
|---|
MPA
BLACKROCK MUNIYIELD PA QLTY | | COM | 3,168 | 4,243 | +1,075 | $45,000 | $60,000 | +$15,000 |
|---|
POWERSHARES ETF TRUST
CUSIP 73935X591 | | DYN UTIL PORTF | 12,493 | 12,631 | +138 | $291,000 | $277,000 | -$14,000 |
|---|
SBI
WESTERN ASSET INTM MUNI FD I | | COM | 45,783 | 47,483 | +1,700 | $447,000 | $461,000 | +$14,000 |
|---|
GLOBAL X FDS
CUSIP 37950E606 | | CHINA FINL ETF | 1,663 | 2,696 | +1,033 | $20,000 | $34,000 | +$14,000 |
|---|
TLTE
FLEXSHARES TR | | MSTAR EMKT FAC | 727 | 1,009 | +282 | $40,000 | $53,000 | +$13,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y314 | | DLY SEMICONDUCT | 1,268 | 2,049 | +781 | $25,000 | $38,000 | +$13,000 |
|---|
VTWG
VANGUARD SCOTTSDALE FDS | | VNG RUS2000GRW | 3,174 | 3,243 | +69 | $319,000 | $307,000 | -$12,000 |
|---|
SPDR SERIES TRUST
CUSIP 78464A433 | | NUVN BR NY MUNI | 22,598 | 22,725 | +127 | $516,000 | $528,000 | +$12,000 |
|---|
NAZ
NUVEEN ARIZ PREM INCOME MUN | | COM | 73,016 | 73,642 | +626 | $992,000 | $1,004,000 | +$12,000 |
|---|
AAXJ
ISHARES | | MSCI AC ASIA ETF | 168,426 | 172,382 | +3,956 | $10,559,000 | $10,571,000 | +$12,000 |
|---|
POWERSHARES ETF TRUST
CUSIP 73935X435 | | FND PUR SMLCR PT | 2,776 | 3,215 | +439 | $95,000 | $105,000 | +$10,000 |
|---|
EPU
ISHARES | | ALL PERU CAP ETF | 8,593 | 8,629 | +36 | $306,000 | $296,000 | -$10,000 |
|---|
ETO
EATON VANCE TX ADV GLB DIV O | | COM | 194,785 | 203,861 | +9,076 | $5,047,000 | $5,037,000 | -$10,000 |
|---|
DHY
CREDIT SUISSE HIGH YLD BND F | | SH BEN INT | 54,684 | 54,707 | +23 | $178,000 | $169,000 | -$9,000 |
|---|
VBF
INVESCO BD FD | | COM | 670 | 1,174 | +504 | $13,000 | $22,000 | +$9,000 |
|---|
WISDOMTREE TR
CUSIP 97717W711 | | GLB NAT RES FD | 901 | 1,454 | +553 | $20,000 | $29,000 | +$9,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y330 | | INDIA BULL 3X SH | 131 | 230 | +99 | $12,000 | $21,000 | +$9,000 |
|---|
VEGI
ISHARES | | GLB AGRIC PR ETF | 21,115 | 22,515 | +1,400 | $591,000 | $600,000 | +$9,000 |
|---|
MARKET VECTORS ETF TR
CUSIP 57061R205 | | INTL HI YLD BD | 9,577 | 10,511 | +934 | $269,000 | $278,000 | +$9,000 |
|---|
FIRST TR NASDAQ SMART PHONE
CUSIP 33737K106 | | COM SHS | 3,590 | 3,980 | +390 | $137,000 | $146,000 | +$9,000 |
|---|
POWERSHARES ETF TR II
CUSIP 73937B639 | | S&P600 LOVL PT | 22,421 | 24,104 | +1,683 | $717,000 | $725,000 | +$8,000 |
|---|
TILT
FLEXSHARES TR | | MORNSTAR USMKT | 783 | 904 | +121 | $67,000 | $75,000 | +$8,000 |
|---|
FIRST TR DIVIDEND INCOME FD
CUSIP 33731L100 | | COM | 5,228 | 6,301 | +1,073 | $49,000 | $57,000 | +$8,000 |
|---|
POWERSHARES ETF TR II
CUSIP 73937B738 | | KBW CP MKT PRT | 1,299 | 1,403 | +104 | $64,000 | $72,000 | +$8,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y652 | | LATN AM BULL3X | 613 | 1,123 | +510 | $14,000 | $22,000 | +$8,000 |
|---|
EOI
EATON VANCE ENHANCED EQ INC | | COM | 90,190 | 90,951 | +761 | $1,240,000 | $1,248,000 | +$8,000 |
|---|
POWERSHARES ETF TRUST
CUSIP 73935X104 | | DYNAMIC MKT PT | 11,452 | 11,508 | +56 | $835,000 | $828,000 | -$7,000 |
|---|
ADX
ADAMS EXPRESS CO | | COM | 34,510 | 34,563 | +53 | $475,000 | $482,000 | +$7,000 |
|---|
GLOBAL X FDS
CUSIP 37950E499 | | GLB X FERTIL | 1,343 | 2,123 | +780 | $16,000 | $23,000 | +$7,000 |
|---|
EIS
ISHARES | | MSCI ISR CAP ETF | 11,161 | 11,300 | +139 | $583,000 | $576,000 | -$7,000 |
|---|
ISHARES
CUSIP 464288463 | | ASIA DEV RE ETF | 11,666 | 12,637 | +971 | $385,000 | $392,000 | +$7,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459W771 | United States | DL FTSE BLL 3X | 796 | 1,006 | +210 | $21,000 | $28,000 | +$7,000 |
|---|
VONE
VANGUARD SCOTTSDALE FDS | | VNG RUS1000IDX | 6,304 | 6,336 | +32 | $570,000 | $576,000 | +$6,000 |
|---|
PROSHARES TR
CUSIP 74347X252 | | PSHS ULSHRT TELE | 330 | 730 | +400 | $5,000 | $11,000 | +$6,000 |
|---|
JHS
HANCOCK JOHN INCOME SECS TR | | COM | 15,209 | 16,261 | +1,052 | $223,000 | $229,000 | +$6,000 |
|---|
INDEXIQ ETF TR
CUSIP 45409B867 | | CAN SML CP ETF | 2,147 | 2,775 | +628 | $56,000 | $62,000 | +$6,000 |
|---|
MARKET VECTORS ETF TR
CUSIP 57060U738 | | PRE-RF MUN ETF | 51,261 | 51,758 | +497 | $1,263,000 | $1,269,000 | +$6,000 |
|---|
NRO
NEUBERGER BERMAN RE ES SEC F | | COM | 112,479 | 117,942 | +5,463 | $562,000 | $568,000 | +$6,000 |
|---|
DTD
WISDOMTREE TR | | TOTAL DIVID FD | 46,847 | 46,855 | +8 | $3,351,000 | $3,345,000 | -$6,000 |
|---|
GF
NEW GERMANY FD INC | | COM | 961 | 1,432 | +471 | $18,000 | $24,000 | +$6,000 |
|---|
WISDOMTREE TR
CUSIP 97717W752 | | COMM COUNTRY EQ | 1,856 | 1,865 | +9 | $60,000 | $54,000 | -$6,000 |
|---|
EXCHANGE TRADED CONCEPTS TR
CUSIP 301505400 | | FORENSIC ACCTG | 1,009 | 1,202 | +193 | $32,000 | $38,000 | +$6,000 |
|---|
WEA
WESTERN ASSET PREMIER BD FD | | SHS BEN INT | 9,128 | 9,150 | +22 | $136,000 | $131,000 | -$5,000 |
|---|
AFB
ALLIANCEBERNSTEIN NATL MUNI | | COM | 58,641 | 60,632 | +1,991 | $817,000 | $822,000 | +$5,000 |
|---|
LEMB
ISHARES | | EM MKTS CURR ETF | 10,219 | 10,969 | +750 | $527,000 | $532,000 | +$5,000 |
|---|
RINF
PROSHARES TR | | 30YR TIPS/TSY | 59 | 173 | +114 | $2,000 | $6,000 | +$4,000 |
|---|
POWERSHARES ETF TRUST
CUSIP 73935X682 | | S&P 500 HGH QLTY | 9,767 | 9,917 | +150 | $210,000 | $214,000 | +$4,000 |
|---|
NXP
NUVEEN SELECT TAX FREE INCM | | SH BEN INT | 96,806 | 98,556 | +1,750 | $1,363,000 | $1,359,000 | -$4,000 |
|---|
GLOBAL X FDS
CUSIP 37950E192 | | GLB X FTSE PT 20 | 335 | 687 | +352 | $6,000 | $10,000 | +$4,000 |
|---|
MARKET VECTORS ETF TR
CUSIP 57060U415 | | COLUMBIA ETF | 430 | 700 | +270 | $9,000 | $13,000 | +$4,000 |
|---|
FIRST TR ISE GLBL PLAT INDX
CUSIP 33737C104 | | COM | 500 | 906 | +406 | $7,000 | $11,000 | +$4,000 |
|---|
PROSHARES TR
CUSIP 74348A624 | | PSHS UL1000NEW | 679 | 831 | +152 | $16,000 | $19,000 | +$3,000 |
|---|
JRI
NUVEEN REAL ASSET INC & GROW | | COM | 22,784 | 23,989 | +1,205 | $463,000 | $466,000 | +$3,000 |
|---|
SCHP
SCHWAB STRATEGIC TR | | US TIPS ETF | 5,227 | 5,436 | +209 | $291,000 | $294,000 | +$3,000 |
|---|
CFNB
CALIFORNIA FIRST NTNL BANCOR | | COM | 2,353 | 2,538 | +185 | $34,000 | $37,000 | +$3,000 |
|---|
FUTY
FIDELITY | | MSCI UTILS INDEX | 10,801 | 11,353 | +552 | $312,000 | $309,000 | -$3,000 |
|---|
GLOBAL X FDS
CUSIP 37950E242 | | GBLX CHIMATL NEW | 643 | 821 | +178 | $9,000 | $12,000 | +$3,000 |
|---|
GLOBAL X FDS
CUSIP 37950E762 | | GLB X LITHIUM | 6,915 | 7,790 | +875 | $94,000 | $97,000 | +$3,000 |
|---|
BYLD
ISHARES TR | | YLD OPTIM BD | 41 | 141 | +100 | $1,000 | $4,000 | +$3,000 |
|---|
EVN
EATON VANCE MUNI INCOME TRUS | | SH BEN INT | 10,343 | 10,647 | +304 | $132,000 | $135,000 | +$3,000 |
|---|
PROSHARES TR
CUSIP 74348A749 | | USD COVERED BD | 742 | 767 | +25 | $75,000 | $77,000 | +$2,000 |
|---|
PROSHARES TR II
CUSIP 74347W866 | | PSHS ULTRA YEN | 1,505 | 1,657 | +152 | $30,000 | $28,000 | -$2,000 |
|---|
INDEXIQ ETF TR
CUSIP 45409B834 | | GLB AGRI SM CP | 1,523 | 1,726 | +203 | $42,000 | $44,000 | +$2,000 |
|---|
ISHARES TR
CUSIP 46429B457 | | HK SM CP ETF | 1,363 | 1,500 | +137 | $40,000 | $42,000 | +$2,000 |
|---|
BHV
BLACKROCK VA MUNICIPAL BOND | | COM | 9,761 | 9,764 | +3 | $156,000 | $154,000 | -$2,000 |
|---|
POWERSHARES ETF TR II
CUSIP 73937B670 | | S&P EMRGHIBETA | 978 | 1,115 | +137 | $22,000 | $23,000 | +$1,000 |
|---|
POWERSHARES ETF TRUST
CUSIP 73935X872 | | FND PUR SMGRT PT | 36,410 | 38,555 | +2,145 | $908,000 | $909,000 | +$1,000 |
|---|
PROSHARES TR
CUSIP 74348A483 | | UL RUS1000VA NEW | 515 | 567 | +52 | $18,000 | $19,000 | +$1,000 |
|---|
SCHE
SCHWAB STRATEGIC TR | | EMRG MKTEQ ETF | 2,372 | 2,421 | +49 | $62,000 | $61,000 | -$1,000 |
|---|
DXR
DAXOR CORP | | COM | 776 | 905 | +129 | $5,000 | $6,000 | +$1,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y413 | | DLY JPN BULL 3X | 873 | 988 | +115 | $44,000 | $45,000 | +$1,000 |
|---|
CEV
EATON VANCE CA MUNI INCOME T | | SH BEN INT | 30,747 | 30,922 | +175 | $383,000 | $382,000 | -$1,000 |
|---|
SPDR INDEX SHS FDS
CUSIP 78463X467 | | MSCI EM50 ETF | 651 | 682 | +31 | $33,000 | $33,000 | $0 |
|---|
POWERSHARES ETF TR II
CUSIP 73937B837 | | S&P SMCP UTI P | 836 | 924 | +88 | $31,000 | $31,000 | $0 |
|---|
MDYV
SPDR SERIES TRUST | | S&P 400 MDCP VAL | 6,457 | 6,779 | +322 | $557,000 | $557,000 | $0 |
|---|
EEA
EUROPEAN EQUITY FUND | | COM | 1,205 | 1,324 | +119 | $11,000 | $11,000 | $0 |
|---|
GLOBAL X FDS
CUSIP 37950E358 | | GLB X PERMETF | 1,146 | 1,176 | +30 | $28,000 | $28,000 | $0 |
|---|
ISHARES
CUSIP 464289214 | | MSCI FAREAST ETF | 889 | 912 | +23 | $26,000 | $26,000 | $0 |
|---|
FIRST TR ISE CHINDIA INDEX F
CUSIP 33733A102 | | COM | 25,310 | 25,595 | +285 | $755,000 | $755,000 | $0 |
|---|
FIRST TR MLP & ENERGY INCOME
CUSIP 33739B104 | | COM | 40,955 | 41,330 | +375 | $883,000 | $883,000 | $0 |
|---|
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