UBS AG quarter change: USA ETF, Reduced
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).
- SPY: Country of operation —; Class TR UNIT; Shares 2014-06-30 34,770,969; Shares 2014-09-30 26,567,296.
- EFA: Country of operation —; Class MSCI EAFE ETF; Shares 2014-06-30 11,933,061; Shares 2014-09-30 9,037,911.
- VGK: Country of operation —; Class FTSE EUROPE ETF; Shares 2014-06-30 5,697,409; Shares 2014-09-30 2,736,587.
- BWX: Country of operation —; Class BRCLYS INTL ETF; Shares 2014-06-30 3,788,892; Shares 2014-09-30 2,080,819.
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 |
|---|---|---|---|---|---|---|---|---|
| SPY SPDR S&P 500 ETF TR | TR UNIT | 34,770,969 | 26,567,296 | -8,203,673 | $6,805,374,000 | $5,234,289,000 | -$1,571,085,000 | |
| EFA ISHARES TR | MSCI EAFE ETF | 11,933,061 | 9,037,911 | -2,895,150 | $815,864,000 | $579,511,000 | -$236,353,000 | |
| VGK VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 5,697,409 | 2,736,587 | -2,960,822 | $341,560,000 | $151,114,000 | -$190,446,000 | |
| BWX SPDR SERIES TRUST | BRCLYS INTL ETF | 3,788,892 | 2,080,819 | -1,708,073 | $230,402,000 | $119,377,000 | -$111,025,000 | |
| XRT SPDR SERIES TRUST | S&P RETAIL ETF | 3,893,939 | 2,729,907 | -1,164,032 | $337,994,000 | $233,626,000 | -$104,368,000 | |
| HYG ISHARES | IBOXX HI YD ETF | 2,860,108 | 1,883,522 | -976,586 | $272,282,000 | $173,190,000 | -$99,092,000 | |
| IYR ISHARES TR | U.S. REAL ES ETF | 7,187,738 | 6,158,406 | -1,029,332 | $516,008,000 | $426,162,000 | -$89,846,000 | |
| MDY SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 1,298,359 | 1,124,871 | -173,488 | $338,301,000 | $280,453,000 | -$57,848,000 | |
| DFE WISDOMTREE TR | EUROPE SMCP DV | 1,782,352 | 1,114,730 | -667,622 | $107,690,000 | $58,445,000 | -$49,245,000 | |
| TBF PROSHARES TR | SHRT 20+YR TRE | 2,674,578 | 1,128,943 | -1,545,635 | $77,028,000 | $31,317,000 | -$45,711,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q769 | SENIOR LN PORT | 9,045,840 | 7,558,560 | -1,487,280 | $224,970,000 | $183,521,000 | -$41,449,000 | |
| EWH ISHARES | MSCI HONG KG ETF | 2,471,952 | 560,513 | -1,911,439 | $51,613,000 | $11,395,000 | -$40,218,000 | |
| XLI SELECT SECTOR SPDR TR | SBI INT-INDS | 7,766,832 | 7,217,473 | -549,359 | $419,875,000 | $383,609,000 | -$36,266,000 | |
| XLP SELECT SECTOR SPDR TR | SBI CONS STPLS | 4,127,738 | 3,330,861 | -796,877 | $184,179,000 | $150,255,000 | -$33,924,000 | |
| VTI VANGUARD INDEX FDS | TOTAL STK MKT | 6,829,992 | 6,531,004 | -298,988 | $695,088,000 | $661,199,000 | -$33,889,000 | |
| IWR ISHARES TR | RUS MID-CAP ETF | 1,506,024 | 1,340,491 | -165,533 | $244,819,000 | $212,253,000 | -$32,566,000 | |
| XLB SELECT SECTOR SPDR TR | SBI MATERIALS | 3,948,368 | 3,390,819 | -557,549 | $195,997,000 | $168,150,000 | -$27,847,000 | |
| SPDR SERIES TRUST CUSIP 78464A730 | S&P OILGAS EXP | 1,713,821 | 1,667,989 | -45,832 | $141,013,000 | $114,808,000 | -$26,205,000 | |
| EZU ISHARES | EMU ETF | 3,032,499 | 2,706,896 | -325,603 | $128,335,000 | $104,215,000 | -$24,120,000 | |
| SCZ ISHARES | EAFE SML CP ETF | 817,743 | 431,584 | -386,159 | $43,275,000 | $20,932,000 | -$22,343,000 | |
| FEZ SPDR INDEX SHS FDS | EURO STOXX 50 | 1,764,539 | 1,364,467 | -400,072 | $76,352,000 | $54,169,000 | -$22,183,000 | |
| XHB SPDR SERIES TRUST | S&P HOMEBUILD | 3,627,758 | 3,369,309 | -258,449 | $118,809,000 | $99,698,000 | -$19,111,000 | |
| VEA VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 5,806,577 | 5,741,997 | -64,580 | $247,302,000 | $228,244,000 | -$19,058,000 | |
| VNQ VANGUARD INDEX FDS | REIT ETF | 2,564,154 | 2,412,058 | -152,096 | $191,902,000 | $173,306,000 | -$18,596,000 | |
| FEP FIRST TR EXCH TRD ALPHA FD I | EUROPE ALPHA | 1,750,039 | 1,383,129 | -366,910 | $60,709,000 | $42,545,000 | -$18,164,000 | |
| BOND PIMCO ETF TR | TOTL RETN ETF | 708,636 | 554,623 | -154,013 | $77,241,000 | $60,221,000 | -$17,020,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q108 | DWA DEVMKTMOM PT | 1,988,675 | 1,454,868 | -533,807 | $52,421,000 | $35,484,000 | -$16,937,000 | |
| CWB SPDR SERIES TRUST | BRC CNV SECS ETF | 1,214,203 | 920,645 | -293,558 | $61,317,000 | $45,710,000 | -$15,607,000 | |
| XLK SELECT SECTOR SPDR TR | TECHNOLOGY | 5,429,246 | 4,847,900 | -581,346 | $208,211,000 | $193,431,000 | -$14,780,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X286 | DYNA BUYBK ACH | 1,944,991 | 1,653,171 | -291,820 | $87,233,000 | $73,963,000 | -$13,270,000 | |
| EWD ISHARES | MSCI SWEDEN ETF | 437,972 | 78,777 | -359,195 | $15,452,000 | $2,607,000 | -$12,845,000 | |
| FIRST TR ISE REVERE NAT GAS CUSIP 33734J102 | COM | 958,052 | 555,292 | -402,760 | $22,610,000 | $9,934,000 | -$12,676,000 | |
| VB VANGUARD INDEX FDS | SMALL CP ETF | 1,763,137 | 1,752,849 | -10,288 | $206,498,000 | $193,918,000 | -$12,580,000 | |
| VBK VANGUARD INDEX FDS | SML CP GRW ETF | 563,575 | 502,014 | -61,561 | $71,794,000 | $60,417,000 | -$11,377,000 | |
| IDV ISHARES | INTL SEL DIV ETF | 1,869,941 | 1,785,370 | -84,571 | $74,592,000 | $63,898,000 | -$10,694,000 | |
| EMB ISHARES | JP MOR EM MK ETF | 881,353 | 813,319 | -68,034 | $101,594,000 | $91,783,000 | -$9,811,000 | |
| IWO ISHARES TR | RUS 2000 GRW ETF | 568,783 | 532,643 | -36,140 | $78,731,000 | $69,078,000 | -$9,653,000 | |
| EWY ISHARES | MSCI STH KOR ETF | 635,428 | 529,007 | -106,421 | $41,315,000 | $32,011,000 | -$9,304,000 | |
| FXG FIRST TR EXCHANGE TRADED FD | CONSUMR STAPLE | 1,504,207 | 1,302,664 | -201,543 | $59,882,000 | $50,895,000 | -$8,987,000 | |
| HYLS FIRST TR EXCHANGE TRADED FD | FIRST TR TA HIYL | 303,333 | 149,631 | -153,702 | $15,977,000 | $7,584,000 | -$8,393,000 | |
| FYX FIRST TR SML CP CORE ALPHA F | COM SHS | 920,585 | 824,348 | -96,237 | $45,228,000 | $36,997,000 | -$8,231,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X195 | GBL LSTD PVT EQT | 1,152,564 | 545,144 | -607,420 | $14,211,000 | $6,051,000 | -$8,160,000 | |
| IJJ ISHARES TR | S&P MC 400VL ETF | 544,320 | 508,423 | -35,897 | $69,085,000 | $61,168,000 | -$7,917,000 | |
| PROSHARES TR II CUSIP 74347W346 | ULT VIX SHRT TRM | 329,101 | 30,952 | -298,149 | $8,761,000 | $917,000 | -$7,844,000 | |
| IEV ISHARES TR | EUROPE ETF | 617,648 | 498,479 | -119,169 | $29,999,000 | $22,471,000 | -$7,528,000 | |
| FXN FIRST TR EXCHANGE TRADED FD | ENERGY ALPHADX | 690,184 | 492,749 | -197,435 | $20,220,000 | $12,738,000 | -$7,482,000 | |
| VXF VANGUARD INDEX FDS | EXTEND MKT ETF | 1,183,489 | 1,156,047 | -27,442 | $103,839,000 | $96,622,000 | -$7,217,000 | |
| POWERSHARES ETF TR II CUSIP 73937B779 | S&P500 LOW VOL | 2,122,236 | 1,960,428 | -161,808 | $75,530,000 | $68,556,000 | -$6,974,000 | |
| IWN ISHARES TR | RUS 2000 VAL ETF | 658,621 | 653,632 | -4,989 | $68,009,000 | $61,154,000 | -$6,855,000 | |
| SPEU SPDR INDEX SHS FDS | STOXX EUR 50 ETF | 382,809 | 224,686 | -158,123 | $15,071,000 | $8,257,000 | -$6,814,000 | |
| DWX SPDR INDEX SHS FDS | S&P INTL ETF | 987,568 | 949,183 | -38,385 | $50,662,000 | $43,928,000 | -$6,734,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X658 | DYN EN EX PROD | 281,239 | 128,130 | -153,109 | $10,890,000 | $4,274,000 | -$6,616,000 | |
| TBT PROSHARES TR | PSHS ULTSH 20YRS | 127,579 | 25,387 | -102,192 | $7,747,000 | $1,430,000 | -$6,317,000 | |
| HYS PIMCO ETF TR | 0-5 HIGH YIELD | 508,620 | 468,405 | -40,215 | $54,356,000 | $48,550,000 | -$5,806,000 | |
| IJS ISHARES TR | SP SMCP600VL ETF | 293,199 | 261,454 | -31,745 | $33,844,000 | $28,051,000 | -$5,793,000 | |
| ACWI ISHARES | MSCI ACWI ETF | 202,963 | 109,968 | -92,995 | $12,230,000 | $6,477,000 | -$5,753,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U605 | AGRIBUS ETF | 259,518 | 161,538 | -97,980 | $14,276,000 | $8,543,000 | -$5,733,000 | |
| BGX BLACKSTONE GSO LNG SHRT CR I | COM SHS BN INT | 761,288 | 473,460 | -287,828 | $13,498,000 | $7,907,000 | -$5,591,000 | |
| IGF ISHARES | GLB INFRASTR ETF | 307,436 | 193,338 | -114,098 | $13,628,000 | $8,203,000 | -$5,425,000 | |
| KIO KKR INCOME OPPORTUNITIES FD | COM | 627,632 | 365,430 | -262,202 | $11,705,000 | $6,318,000 | -$5,387,000 | |
| XME SPDR SERIES TRUST | S&P METALS MNG | 315,774 | 219,750 | -96,024 | $13,341,000 | $8,085,000 | -$5,256,000 | |
| ASHR DBX ETF TR | DBXTR HAR CS 300 | 310,321 | 74,346 | -235,975 | $6,973,000 | $1,916,000 | -$5,057,000 | |
| FNX FIRST TR MID CAP CORE ALPHAD | COM SHS | 1,234,046 | 1,213,790 | -20,256 | $65,960,000 | $60,944,000 | -$5,016,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X666 | DYN BLDG CNSTR | 486,420 | 285,606 | -200,814 | $10,847,000 | $5,932,000 | -$4,915,000 | |
| VAW VANGUARD WORLD FDS | MATERIALS ETF | 109,723 | 68,683 | -41,040 | $12,263,000 | $7,567,000 | -$4,696,000 | |
| VT VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 318,518 | 252,440 | -66,078 | $19,821,000 | $15,242,000 | -$4,579,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X369 | INDL SECT PORT | 233,320 | 145,659 | -87,661 | $11,215,000 | $6,670,000 | -$4,545,000 | |
| SRLN SSGA ACTIVE ETF TR | BLKSTN GSOSRLN | 489,979 | 411,619 | -78,360 | $24,499,000 | $20,227,000 | -$4,272,000 | |
| VBR VANGUARD INDEX FDS | SM CP VAL ETF | 667,679 | 665,876 | -1,803 | $70,440,000 | $66,414,000 | -$4,026,000 | |
| QAI INDEXIQ ETF TR | HEDGE MLTI ETF | 382,034 | 251,199 | -130,835 | $11,457,000 | $7,453,000 | -$4,004,000 | |
| DES WISDOMTREE TR | SMALLCAP DIVID | 485,868 | 462,431 | -23,437 | $34,025,000 | $30,030,000 | -$3,995,000 | |
| STIP ISHARES TR | 0-5 YR TIPS ETF | 170,094 | 133,907 | -36,187 | $17,433,000 | $13,456,000 | -$3,977,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q744 | DWA SC MOMNT PTF | 506,507 | 447,732 | -58,775 | $19,850,000 | $16,065,000 | -$3,785,000 | |
| IJT ISHARES TR | SP SMCP600GR ETF | 273,142 | 259,742 | -13,400 | $32,993,000 | $29,237,000 | -$3,756,000 | |
| IGSB ISHARES | 1-3 YR CR BD ETF | 2,467,395 | 2,441,354 | -26,041 | $260,754,000 | $257,026,000 | -$3,728,000 | |
| EDIV SPDR INDEX SHS FDS | S&P EM MKT DIV | 522,712 | 471,191 | -51,521 | $20,956,000 | $17,241,000 | -$3,715,000 | |
| BTT BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 2,017,452 | 1,875,935 | -141,517 | $40,975,000 | $37,275,000 | -$3,700,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q793 | KBW HG YLD FIN | 385,444 | 260,347 | -125,097 | $10,076,000 | $6,462,000 | -$3,614,000 | |
| SCHX SCHWAB STRATEGIC TR | US LRG CAP ETF | 107,996 | 35,867 | -72,129 | $5,057,000 | $1,685,000 | -$3,372,000 | |
| RYDEX ETF TRUST CUSIP 78355W601 | GUG S&P MC400 PG | 119,813 | 95,316 | -24,497 | $15,020,000 | $11,660,000 | -$3,360,000 | |
| FDT FIRST TR EXCH TRD ALPHA FD I | DEV MRK EX US | 199,694 | 148,110 | -51,584 | $10,598,000 | $7,380,000 | -$3,218,000 | |
| POWERSHARES ETF TR II CUSIP 73937B704 | S&P SMCP ENE P | 60,484 | 3,154 | -57,330 | $3,296,000 | $137,000 | -$3,159,000 | |
| IHE ISHARES | U.S. PHARMA ETF | 58,779 | 34,328 | -24,451 | $7,941,000 | $4,818,000 | -$3,123,000 | |
| ACWV ISHARES | CNTRY MIN VL ETF | 128,920 | 82,270 | -46,650 | $8,611,000 | $5,489,000 | -$3,122,000 | |
| IGE ISHARES TR | NA NAT RES | 355,878 | 329,154 | -26,724 | $17,776,000 | $14,730,000 | -$3,046,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M605 | GUGG SPINOFF ETF | 211,870 | 151,221 | -60,649 | $9,805,000 | $6,823,000 | -$2,982,000 | |
| ITB ISHARES | US HOME CONS ETF | 1,178,832 | 1,173,231 | -5,601 | $29,235,000 | $26,386,000 | -$2,849,000 | |
| DGS WISDOMTREE TR | EMG MKTS SMCAP | 841,904 | 815,374 | -26,530 | $40,394,000 | $37,687,000 | -$2,707,000 | |
| RWX SPDR INDEX SHS FDS | DJ INTL RL ETF | 331,477 | 288,859 | -42,618 | $14,665,000 | $11,962,000 | -$2,703,000 | |
| IWC ISHARES | MICRO-CAP ETF | 263,061 | 253,268 | -9,793 | $20,024,000 | $17,607,000 | -$2,417,000 | |
| IWP ISHARES TR | RUS MD CP GR ETF | 1,275,687 | 1,265,912 | -9,775 | $114,251,000 | $111,843,000 | -$2,408,000 | |
| IGR CBRE CLARION GLOBAL REAL EST | COM | 3,139,133 | 3,126,290 | -12,843 | $28,598,000 | $26,198,000 | -$2,400,000 | |
| EPI WISDOMTREE TR | INDIA ERNGS FD | 2,177,044 | 2,124,083 | -52,961 | $48,919,000 | $46,538,000 | -$2,381,000 | |
| IDE VOYA INFRASTRUCTURE INDLS & | COM | 664,374 | 584,741 | -79,633 | $12,344,000 | $10,022,000 | -$2,322,000 | |
| CEW WISDOMTREE TR | EMERG CUR STR FD | 160,883 | 51,211 | -109,672 | $3,309,000 | $1,008,000 | -$2,301,000 | |
| REVENUESHARES ETF TR CUSIP 761396100 | LARGECAP FD | 249,316 | 189,927 | -59,389 | $9,626,000 | $7,348,000 | -$2,278,000 | |
| ILF ISHARES TR | LATN AMER 40 ETF | 306,474 | 256,139 | -50,335 | $11,723,000 | $9,446,000 | -$2,277,000 | |
| IFGL ISHARES | INTL DEV RE ETF | 326,456 | 274,544 | -51,912 | $10,489,000 | $8,247,000 | -$2,242,000 | |
| IGOV ISHARES | INTL TREA BD ETF | 98,096 | 81,537 | -16,559 | $10,326,000 | $8,093,000 | -$2,233,000 | |
| SPDR SERIES TRUST CUSIP 78464A748 | OILGAS EQUIP | 144,916 | 127,360 | -17,556 | $7,141,000 | $5,116,000 | -$2,025,000 |
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