UBS AG quarter change: USA Funds, Added
In funds and trusts that are not on this site's ETF list (sponsor series, commodity pools, money market) (listed in the US), from the quarter ended 2014-06-30 to 2014-09-30, UBS AG opened 23 positions, added to 162, reduced 114, sold out of 30 and left 11 unchanged. The largest increase in value was NEWCASTLE INVT CORP NEW (+$75,264,000); the largest decrease was NEWCASTLE INVT CORP (-$85,611,000).
- FS INVT CORP: Country of operation —; Class COM; Shares 2014-06-30 60,508; Shares 2014-09-30 3,563,740.
- TWO HBRS INVT CORP: Country of operation —; Class COM; Shares 2014-06-30 3,592,557; Shares 2014-09-30 6,496,919.
- CLAYMORE EXCHANGE TRD FD TR: Country of operation —; Class GUGG ENH SHT DUR; Shares 2014-06-30 524,128; Shares 2014-09-30 626,162.
- EGA EMERGING GLOBAL SHS TR: Country of operation —; Class EGSHR BYND BRC; Shares 2014-06-30 104,284; Shares 2014-09-30 270,658.
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 |
|---|---|---|---|---|---|---|---|---|
| FS INVT CORP CUSIP 302635107 | COM | 60,508 | 3,563,740 | +3,503,232 | $644,000 | $38,381,000 | +$37,737,000 | |
| TWO HBRS INVT CORP CUSIP 90187B101 | COM | 3,592,557 | 6,496,919 | +2,904,362 | $37,650,000 | $62,825,000 | +$25,175,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M654 | GUGG ENH SHT DUR | 524,128 | 626,162 | +102,034 | $26,374,000 | $31,410,000 | +$5,036,000 | |
| EGA EMERGING GLOBAL SHS TR CUSIP 268461639 | EGSHR BYND BRC | 104,284 | 270,658 | +166,374 | $2,285,000 | $6,019,000 | +$3,734,000 | |
| ARLINGTON ASSET INVT CORP CUSIP 041356205 | CL A NEW | 5,372 | 138,162 | +132,790 | $147,000 | $3,510,000 | +$3,363,000 | |
| ALPINE TOTAL DYNAMIC DIVID F CUSIP 021060207 | COM SH BEN INT N | 1,780,190 | 2,260,586 | +480,396 | $15,879,000 | $19,238,000 | +$3,359,000 | |
| PIMCO DYNAMIC CR INCOME FD CUSIP 72202D106 | COM SHS | 2,495,866 | 2,792,774 | +296,908 | $59,452,000 | $62,754,000 | +$3,302,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M720 | GUG MIDCAP CORE | 16,164 | 69,871 | +53,707 | $785,000 | $3,374,000 | +$2,589,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M530 | GUG BULL2018 E | 438,900 | 563,034 | +124,134 | $9,335,000 | $11,903,000 | +$2,568,000 | |
| NEW RESIDENTIAL INVT CORP CUSIP 64828T102 | COM | 4,768,651 | 4,827,570 | +58,919 | $30,043,000 | $28,145,000 | -$1,898,000 | |
| H & Q HEALTHCARE INVESTORS CUSIP 404052102 | SH BEN INT | 128,920 | 175,409 | +46,489 | $3,398,000 | $4,982,000 | +$1,584,000 | |
| ARES MULTI STRATEGY CR FD IN CUSIP 04014Q108 | COM | 32,218 | 93,403 | +61,185 | $704,000 | $1,942,000 | +$1,238,000 | |
| UNITED STATES OIL FUND LP CUSIP 91232N108 | UNITS | 90,192 | 137,150 | +46,958 | $3,507,000 | $4,720,000 | +$1,213,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M381 | GUG BLT2018 HY | 188,186 | 235,075 | +46,889 | $5,166,000 | $6,274,000 | +$1,108,000 | |
| GUGGENHEIM CR ALLOCATION FD CUSIP 40168G108 | COM | 123,711 | 170,942 | +47,231 | $3,069,000 | $4,063,000 | +$994,000 | |
| PIONEER MUN HIGH INCOME TR CUSIP 723763108 | United States | COM SHS | 67,333 | 133,181 | +65,848 | $1,046,000 | $2,031,000 | +$985,000 |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M415 | GUG BLT2016 HY | 681,086 | 735,348 | +54,262 | $18,682,000 | $19,590,000 | +$908,000 | |
| SALIENT MIDSTREAM & MLP FD CUSIP 79471V105 | SH BEN INT | 35,001 | 66,096 | +31,095 | $1,036,000 | $1,929,000 | +$893,000 | |
| GREENHAVEN CONT CMDTY INDEX CUSIP 395258106 | UNIT BEN INT | 418,993 | 507,106 | +88,113 | $11,703,000 | $12,551,000 | +$848,000 | |
| GOLDMAN SACHS MLP INC OPP FD CUSIP 38147W103 | COM SHS | 255,932 | 281,354 | +25,422 | $5,323,000 | $6,117,000 | +$794,000 | |
| APOLLO SR FLOATING RATE FD I CUSIP 037636107 | United States | COM | 38,168 | 86,348 | +48,180 | $689,000 | $1,477,000 | +$788,000 |
| HOSPITALITY PPTYS TR CUSIP 44106M102 | COM SH BEN INT | 316,850 | 330,736 | +13,886 | $9,632,000 | $8,880,000 | -$752,000 | |
| NEW YORK MTG TR INC CUSIP 649604501 | COM PAR $.02 | 183,077 | 296,851 | +113,774 | $1,430,000 | $2,146,000 | +$716,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M399 | GUG BLT2017 HY | 235,067 | 268,794 | +33,727 | $6,488,000 | $7,190,000 | +$702,000 | |
| CLEARBRIDGE ENERGY MLP TR FD CUSIP 18469Q108 | COM | 86,485 | 120,175 | +33,690 | $2,070,000 | $2,769,000 | +$699,000 | |
| NUVEEN DIVERSIFIED COMMODTY CUSIP 67074P104 | COM UT BEN INT | 286,222 | 287,868 | +1,646 | $4,654,000 | $3,970,000 | -$684,000 | |
| CURRENCYSHS JAPANESE YEN TR CUSIP 23130A102 | JAPANESE YEN | 2,478 | 10,389 | +7,911 | $239,000 | $922,000 | +$683,000 | |
| ALLIANZGI CONV & INCOME FD CUSIP 018828103 | COM | 833,112 | 861,744 | +28,632 | $8,823,000 | $8,229,000 | -$594,000 | |
| NASDAQ PREM INCM & GRW FD IN CUSIP 63110R105 | COM | 438,436 | 457,569 | +19,133 | $8,234,000 | $8,826,000 | +$592,000 | |
| BLACKROCK MUNIYIELD CALIF FD CUSIP 09254M105 | COM | 60,472 | 94,073 | +33,601 | $913,000 | $1,425,000 | +$512,000 | |
| BROOKFIELD HIGH INCOME FD IN CUSIP 11272P102 | COM | 14,872 | 70,536 | +55,664 | $156,000 | $661,000 | +$505,000 | |
| BLACKROCK MUNIHLDGS FD II IN CUSIP 09253P109 | COM | 36,205 | 70,599 | +34,394 | $552,000 | $1,057,000 | +$505,000 | |
| GLIMCHER RLTY TR CUSIP 379302102 | SH BEN INT | 39,826 | 65,465 | +25,639 | $430,000 | $887,000 | +$457,000 | |
| MONMOUTH REAL ESTATE INVT CO CUSIP 609720107 | CL A | 78,329 | 122,779 | +44,450 | $786,000 | $1,243,000 | +$457,000 | |
| SALIENT MLP & ENERGY INFRSTR CUSIP 79471T100 | COM SH BEN INT | 17,171 | 30,833 | +13,662 | $581,000 | $1,032,000 | +$451,000 | |
| BLACKROCK STRATEGIC MUN TR CUSIP 09248T109 | COM | 73,225 | 107,544 | +34,319 | $991,000 | $1,429,000 | +$438,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M522 | GUG BULL2019 E | 257,073 | 279,932 | +22,859 | $5,445,000 | $5,881,000 | +$436,000 | |
| APARTMENT INVT & MGMT CO CUSIP 03748R101 | CL A | 248,965 | 265,415 | +16,450 | $8,034,000 | $8,445,000 | +$411,000 | |
| H & Q LIFE SCIENCES INVS CUSIP 404053100 | SH BEN INT | 36,102 | 52,326 | +16,224 | $750,000 | $1,156,000 | +$406,000 | |
| DREYFUS STRATEGIC MUN BD FD CUSIP 26202F107 | COM | 62,965 | 115,149 | +52,184 | $522,000 | $927,000 | +$405,000 | |
| NUVEEN QUALITY PFD INC FD 3 CUSIP 67072W101 | COM | 318,299 | 377,491 | +59,192 | $2,763,000 | $3,160,000 | +$397,000 | |
| NUVEEN PREM INCOME MUN FD 2 CUSIP 67063W102 | COM | 242,924 | 272,153 | +29,229 | $3,362,000 | $3,742,000 | +$380,000 | |
| NUVEEN CA DIV ADVANTG MUN FD CUSIP 67069X104 | COM | 211,511 | 236,461 | +24,950 | $2,955,000 | $3,275,000 | +$320,000 | |
| NUVEEN ENHANCED MUN VALUE FD CUSIP 67074M101 | COM | 85,070 | 107,710 | +22,640 | $1,269,000 | $1,589,000 | +$320,000 | |
| EATON VANCE MUN BD FD II CUSIP 27827K109 | COM | 11,025 | 36,576 | +25,551 | $141,000 | $460,000 | +$319,000 | |
| NUVEEN SELECT TAX FREE INCM CUSIP 67063X100 | SH BEN INT | 107,199 | 130,792 | +23,593 | $1,509,000 | $1,813,000 | +$304,000 | |
| NUVEEN QUALITY PFD INCOME FD CUSIP 67071S101 | COM | 462,755 | 520,249 | +57,494 | $3,938,000 | $4,240,000 | +$302,000 | |
| ADVENT CLAY CONV SEC INC FD CUSIP 007639107 | COM | 383,455 | 389,611 | +6,156 | $2,937,000 | $2,645,000 | -$292,000 | |
| WESTERN ASSET VAR RT STRG FD CUSIP 957667108 | COM | 175,826 | 196,868 | +21,042 | $3,072,000 | $3,362,000 | +$290,000 | |
| EDUCATION RLTY TR INC CUSIP 28140H104 | COM | 80,297 | 110,393 | +30,096 | $862,000 | $1,134,000 | +$272,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q507 | GUGG S&P GBL WTR | 220,041 | 231,635 | +11,594 | $6,630,000 | $6,379,000 | -$251,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M373 | GUG BUL 2019 HY | 3,797 | 13,588 | +9,791 | $101,000 | $349,000 | +$248,000 | |
| DREYFUS MUN BD INFRSTRCTR FD CUSIP 26203D101 | SHS | 95,847 | 116,857 | +21,010 | $1,135,000 | $1,375,000 | +$240,000 | |
| MACQUARIE FT TR GB INF UT DI CUSIP 55607W100 | United States | COM | 47,932 | 64,454 | +16,522 | $860,000 | $1,083,000 | +$223,000 |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M258 | GUGG BULSH 2022 | 96,320 | 107,660 | +11,340 | $2,010,000 | $2,225,000 | +$215,000 | |
| BLACKROCK MUNICIPAL BOND TR CUSIP 09249H104 | COM | 30,310 | 44,461 | +14,151 | $477,000 | $680,000 | +$203,000 | |
| WINTHROP RLTY TR CUSIP 976391300 | SH BEN INT NEW | 36,135 | 49,899 | +13,764 | $555,000 | $752,000 | +$197,000 | |
| ZWEIG TOTAL RETURN FD INC CUSIP 989837208 | COM NEW | 10,381 | 24,847 | +14,466 | $149,000 | $344,000 | +$195,000 | |
| NUVEEN MUN OPPORTUNITY FD IN CUSIP 670984103 | COM | 770,655 | 776,268 | +5,613 | $10,874,000 | $11,062,000 | +$188,000 | |
| EGA EMERGING GLOBAL SHS TR CUSIP 268461654 | LOW VOL EM DIV | 34,409 | 48,371 | +13,962 | $585,000 | $771,000 | +$186,000 | |
| CUSHING RENAISSANCE FD CUSIP 231647108 | COM | 1,219 | 7,845 | +6,626 | $35,000 | $215,000 | +$180,000 | |
| NUVEEN QUALITY MUN FD INC CUSIP 67062N103 | COM | 41,124 | 55,421 | +14,297 | $539,000 | $717,000 | +$178,000 | |
| EATON VANCE TAX-ADV BD & OPT CUSIP 27829M103 | COM SH BEN INT | 101,244 | 111,655 | +10,411 | $1,405,000 | $1,576,000 | +$171,000 | |
| VOYA RISK MANAGED NAT RES FD CUSIP 92913C106 | COM | 27,720 | 46,921 | +19,201 | $319,000 | $486,000 | +$167,000 | |
| LMP REAL ESTATE INCOME FD IN CUSIP 50208C108 | COM | 34,182 | 49,808 | +15,626 | $393,000 | $559,000 | +$166,000 | |
| CURRENCYSHARES EURO TR CUSIP 23130C108 | EURO SHS | 2,480 | 4,016 | +1,536 | $335,000 | $500,000 | +$165,000 | |
| DOW 30 PREMIUM & DIV INC FD CUSIP 260582101 | COM | 65,023 | 77,121 | +12,098 | $1,042,000 | $1,204,000 | +$162,000 | |
| NUVEEN NJ INVT QUALITY MUN F CUSIP 670971100 | COM | 54,219 | 67,730 | +13,511 | $744,000 | $903,000 | +$159,000 | |
| BLACKROCK MUN 2020 TERM TR CUSIP 09249X109 | COM SHS | 155,887 | 169,233 | +13,346 | $2,539,000 | $2,698,000 | +$159,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M514 | GUG BULL2020 E | 194,261 | 203,426 | +9,165 | $4,130,000 | $4,288,000 | +$158,000 | |
| POWERSHARES DB G10 CURCY HAR CUSIP 73935Y102 | COM UT BEN INT | 21,135 | 27,458 | +6,323 | $551,000 | $706,000 | +$155,000 | |
| BLACKROCK INCOME TR INC CUSIP 09247F100 | COM | 303,370 | 341,020 | +37,650 | $2,014,000 | $2,166,000 | +$152,000 | |
| NUVEEN PREM INCOME MUN FD 4 CUSIP 6706K4105 | COM | 107,311 | 120,043 | +12,732 | $1,377,000 | $1,528,000 | +$151,000 | |
| SANDRIDGE PERMIAN TR CUSIP 80007A102 | COM UNIT BEN INT | 54,650 | 57,551 | +2,901 | $694,000 | $559,000 | -$135,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M266 | GUGG BULSH 2021 | 54,570 | 61,407 | +6,837 | $1,147,000 | $1,274,000 | +$127,000 | |
| GUGGENHEIM EQ WEIGHT ENHANC CUSIP 40167M106 | COM SH BEN INT | 42,596 | 49,110 | +6,514 | $853,000 | $970,000 | +$117,000 | |
| LEGG MASON BW GLB INC OPP FD CUSIP 52469B100 | COM | 100,598 | 115,852 | +15,254 | $1,846,000 | $1,961,000 | +$115,000 | |
| ASHFORD HOSPITALITY TR INC CUSIP 044103109 | COM SHS | 18,832 | 32,146 | +13,314 | $217,000 | $329,000 | +$112,000 | |
| BLACKROCK MUNIENHANCED FD IN CUSIP 09253Y100 | COM | 81,313 | 90,285 | +8,972 | $909,000 | $1,011,000 | +$102,000 | |
| BLACKROCK DIVID INCOME TR CUSIP 09250D109 | SHS | 25,355 | 33,655 | +8,300 | $341,000 | $441,000 | +$100,000 | |
| RMR REAL ESTATE INCOME FUND CUSIP 76970B101 | COM | 147,865 | 149,957 | +2,092 | $2,913,000 | $2,819,000 | -$94,000 | |
| GOVERNMENT PPTYS INCOME TR CUSIP 38376A103 | COM SHS BEN INT | 30,262 | 30,898 | +636 | $769,000 | $677,000 | -$92,000 | |
| NUVEEN SELECT TAX FREE INCM CUSIP 67063C106 | SH BEN INT | 97,582 | 107,751 | +10,169 | $1,335,000 | $1,426,000 | +$91,000 | |
| PIMCO MUNICIPAL INCOME FD CUSIP 72200R107 | United States | COM | 40,474 | 49,031 | +8,557 | $583,000 | $672,000 | +$89,000 |
| ABERDEEN GTR CHINA FD INC CUSIP 003031101 | COM | 11,200 | 19,177 | +7,977 | $117,000 | $198,000 | +$81,000 | |
| BLACKROCK MUNIYIELD N J FD I CUSIP 09254Y109 | COM | 67,558 | 75,224 | +7,666 | $1,011,000 | $1,092,000 | +$81,000 | |
| PIMCO INCOME OPPORTUNITY FD CUSIP 72202B100 | COM | 31,433 | 36,127 | +4,694 | $920,000 | $997,000 | +$77,000 | |
| NUVEEN FLTNG RTE INCM OPP FD CUSIP 6706EN100 | COM SHS | 81,214 | 81,984 | +770 | $1,009,000 | $933,000 | -$76,000 | |
| KOREA EQUITY FD INC CUSIP 50063B104 | COM | 980 | 10,035 | +9,055 | $9,000 | $83,000 | +$74,000 | |
| AMER RLTY CAP HEALTHCAR TR I CUSIP 02917R108 | COM | 1,821,042 | 1,885,198 | +64,156 | $19,831,000 | $19,757,000 | -$74,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q135 | GUGG CHN TECH | 100 | 2,146 | +2,046 | $4,000 | $77,000 | +$73,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M613 | GUG RAYM JAMES S | 3,261 | 5,233 | +1,972 | $115,000 | $177,000 | +$62,000 | |
| THAI FD INC CUSIP 882904105 | COM | 7,459 | 11,812 | +4,353 | $84,000 | $145,000 | +$61,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q853 | GUGG CHN SML CAP | 994 | 3,109 | +2,115 | $25,000 | $81,000 | +$56,000 | |
| NUVEEN CA DIV ADV MUNI FD 3 CUSIP 67070Y109 | COM SH BEN INT | 6,230 | 10,558 | +4,328 | $80,000 | $135,000 | +$55,000 | |
| CLEARBRIDGE ENERGY MLP FD IN CUSIP 184692101 | COM | 273,272 | 290,621 | +17,349 | $8,157,000 | $8,103,000 | -$54,000 | |
| FEDERATED ENHANC TREAS INCM CUSIP 314162108 | COM SH BEN INT | 69,597 | 73,689 | +4,092 | $939,000 | $992,000 | +$53,000 | |
| JAVELIN MTG INVT CORP CUSIP 47200B104 | COM | 987 | 5,491 | +4,504 | $14,000 | $66,000 | +$52,000 | |
| ETFS WHITE METALS BASKET TR CUSIP 26923B104 | PHY WM BSK SHS | 10,340 | 10,825 | +485 | $432,000 | $382,000 | -$50,000 | |
| ABERDEEN AUSTRALIA EQTY FD I CUSIP 003011103 | United States | COM | 41,271 | 41,609 | +338 | $375,000 | $325,000 | -$50,000 |
Similar Firms
| Firm Name | Country | 13F Value | Holdings |
|---|---|---|---|
| Not available yet | |||