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).
- ADVISORSHARES TR: Country of operation —; Class QAM EQTY HEDGE; Shares 2014-06-30 513; Shares 2014-09-30 2,313.
- PENNSYLVANIA RL ESTATE INVT: Country of operation —; Class SH BEN INT; Shares 2014-06-30 20,178; Shares 2014-09-30 21,464.
- PUTMAN HIGH INCOME SEC FUND: Country of operation —; Class SHS BEN INT; Shares 2014-06-30 23,990; Shares 2014-09-30 30,970.
- CLAYMORE EXCHANGE TRD FD TR: Country of operation —; Class GUGG CA ENRG INC; Shares 2014-06-30 12,990; Shares 2014-09-30 17,759.
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 |
|---|---|---|---|---|---|---|---|---|
| ADVISORSHARES TR CUSIP 00768Y750 | QAM EQTY HEDGE | 513 | 2,313 | +1,800 | $15,000 | $65,000 | +$50,000 | |
| PENNSYLVANIA RL ESTATE INVT CUSIP 709102107 | SH BEN INT | 20,178 | 21,464 | +1,286 | $380,000 | $428,000 | +$48,000 | |
| PUTMAN HIGH INCOME SEC FUND CUSIP 746779107 | SHS BEN INT | 23,990 | 30,970 | +6,980 | $209,000 | $257,000 | +$48,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q606 | GUGG CA ENRG INC | 12,990 | 17,759 | +4,769 | $227,000 | $271,000 | +$44,000 | |
| EATON VANCE OH MUNI INCOME T CUSIP 27826G109 | SH BEN INT | 11,106 | 14,191 | +3,085 | $152,000 | $191,000 | +$39,000 | |
| ABERDEEN INDONESIA FD INC CUSIP 00305P106 | COM | 1,046 | 4,920 | +3,874 | $10,000 | $47,000 | +$37,000 | |
| GRAMERCY PPTY TR INC CUSIP 38489R100 | COM | 20,800 | 27,974 | +7,174 | $126,000 | $162,000 | +$36,000 | |
| DELAWARE INV MN MUN INC FD I CUSIP 24610V103 | COM | 53,684 | 53,690 | +6 | $760,000 | $725,000 | -$35,000 | |
| MORGAN STANLEY EASTN EUR FD CUSIP 616988101 | COM | 1,133 | 3,370 | +2,237 | $21,000 | $53,000 | +$32,000 | |
| HEALTHCARE TR AMER INC CUSIP 42225P105 | CL A | 97,999 | 99,165 | +1,166 | $1,180,000 | $1,150,000 | -$30,000 | |
| EATON VANCE OHIO MUN BD FD CUSIP 27828L106 | COM | 9,049 | 11,754 | +2,705 | $117,000 | $147,000 | +$30,000 | |
| SELECT INCOME REIT CUSIP 81618T100 | COM SH BEN INT | 22,675 | 26,706 | +4,031 | $671,000 | $642,000 | -$29,000 | |
| VIRTUS TOTAL RETURN FD CUSIP 92829A103 | COM | 58,856 | 67,159 | +8,303 | $283,000 | $312,000 | +$29,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q838 | GUGG FRNTR MKT | 45,416 | 48,658 | +3,242 | $780,000 | $809,000 | +$29,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q861 | GUGG CHN RL EST | 10,081 | 11,164 | +1,083 | $204,000 | $230,000 | +$26,000 | |
| BLACKROCK DEBT STRAT FD INC CUSIP 09255R103 | COM | 282,631 | 296,668 | +14,037 | $1,159,000 | $1,133,000 | -$26,000 | |
| NUVEEN NEW YORK MUN VALUE FD CUSIP 670706100 | COM | 6,668 | 8,514 | +1,846 | $98,000 | $123,000 | +$25,000 | |
| FIVE OAKS INVT CORP CUSIP 33830W106 | COM | 3,195 | 5,692 | +2,497 | $36,000 | $60,000 | +$24,000 | |
| ENDURO RTY TR CUSIP 29269K100 | TR UNIT | 40,649 | 47,580 | +6,931 | $562,000 | $538,000 | -$24,000 | |
| PORTFOLIO RECOVERY ASSOCS IN CUSIP 73640Q105 | COM | 25,852 | 29,903 | +4,051 | $1,539,000 | $1,562,000 | +$23,000 | |
| ETFS PRECIOUS METALS BASKET CUSIP 26922W109 | PHYS PM BSKT | 38,287 | 43,531 | +5,244 | $2,774,000 | $2,751,000 | -$23,000 | |
| JPMORGAN CHINA REGION FD INC CUSIP 48126T104 | COM | 2,687 | 4,172 | +1,485 | $41,000 | $63,000 | +$22,000 | |
| DELAWARE INV CO MUN INC FD I CUSIP 246101109 | COM | 12,897 | 13,390 | +493 | $175,000 | $196,000 | +$21,000 | |
| SANDRIDGE MISSISSIPPIAN TR I CUSIP 80007T101 | UNIT BEN INT | 14,212 | 17,936 | +3,724 | $93,000 | $74,000 | -$19,000 | |
| MANAGED DURATION INVT GRD FU CUSIP 56165R103 | COM | 1,324 | 2,772 | +1,448 | $18,000 | $37,000 | +$19,000 | |
| FLEXSHARES TR CUSIP 33939L811 | INTL QLTDV DEF | 1,108 | 1,904 | +796 | $31,000 | $49,000 | +$18,000 | |
| PIMCO NY MUNICIPAL INCOME FD CUSIP 72200T103 | United States | COM | 56,850 | 58,136 | +1,286 | $665,000 | $683,000 | +$18,000 |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M506 | GUG MULTI ASSET | 519,865 | 557,790 | +37,925 | $13,589,000 | $13,571,000 | -$18,000 | |
| MORGAN STANLEY ASIA PAC FD I CUSIP 61744U106 | COM | 10,078 | 11,351 | +1,273 | $169,000 | $186,000 | +$17,000 | |
| PIMCO NEW YORK MUN INCM FD 1 CUSIP 72201E105 | United States | COM | 11,055 | 12,872 | +1,817 | $107,000 | $123,000 | +$16,000 |
| BLACKROCK MUNIC BD INVST TR CUSIP 09249K107 | COM | 4,833 | 5,939 | +1,106 | $70,000 | $85,000 | +$15,000 | |
| NUVEEN DIV ADVANTAGE MUN FD CUSIP 67070F100 | COM | 12,187 | 13,117 | +930 | $169,000 | $183,000 | +$14,000 | |
| CIM COML TR CORP CUSIP 125525105 | COM | 4,134 | 4,604 | +470 | $90,000 | $101,000 | +$11,000 | |
| ABERDEEN ISRAEL FUND INC CUSIP 00301L109 | COM | 7,429 | 8,240 | +811 | $133,000 | $143,000 | +$10,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M860 | GUG S&PG DIV OPP | 31,284 | 34,001 | +2,717 | $441,000 | $431,000 | -$10,000 | |
| UNITED STS SHORT OIL FD LP CUSIP 912613205 | UNITS | 2,252 | 2,291 | +39 | $69,000 | $78,000 | +$9,000 | |
| MADISON STRTG SECTOR PREM FD CUSIP 558268108 | COM | 23,507 | 23,584 | +77 | $301,000 | $292,000 | -$9,000 | |
| LATIN AMERN DISCOVERY FD INC CUSIP 51828C106 | COM | 2,109 | 2,917 | +808 | $29,000 | $38,000 | +$9,000 | |
| PIMCO CALIF MUN INCOME FD II CUSIP 72200M108 | United States | COM | 3,781 | 4,847 | +1,066 | $36,000 | $45,000 | +$9,000 |
| CAROLINA TR BK LINCOLNTON NC CUSIP 144200102 | COM | 9,239 | 10,855 | +1,616 | $46,000 | $54,000 | +$8,000 | |
| PACHOLDER HIGH YIELD FD INC CUSIP 693742108 | COM | 11,197 | 12,035 | +838 | $101,000 | $94,000 | -$7,000 | |
| ROYCE FOCUS TR CUSIP 78080N108 | COM | 19,405 | 21,889 | +2,484 | $166,000 | $173,000 | +$7,000 | |
| GREAT NORTHN IRON ORE PPTYS CUSIP 391064102 | CTFS BEN INT | 385 | 697 | +312 | $8,000 | $15,000 | +$7,000 | |
| RETAIL OPPORTUNITY INVTS COR CUSIP 76131N101 | United States | COM | 39,944 | 42,415 | +2,471 | $628,000 | $623,000 | -$5,000 |
| BLACKROCK MUNI INTER DR FD I CUSIP 09253X102 | United States | COM | 115,590 | 116,230 | +640 | $1,687,000 | $1,682,000 | -$5,000 |
| SANDRIDGE MISSISSIPPIAN TR I CUSIP 80007V106 | SH BEN INT | 5,507 | 6,291 | +784 | $44,000 | $40,000 | -$4,000 | |
| BLACKROCK MUNI 2018 TERM TR CUSIP 09248C106 | COM | 92,664 | 93,873 | +1,209 | $1,490,000 | $1,494,000 | +$4,000 | |
| NUVEEN NY DIV ADVANTG MUN FD CUSIP 67070A101 | COM | 9,419 | 9,893 | +474 | $127,000 | $130,000 | +$3,000 | |
| WESTERN ASST MN PRT FD INC CUSIP 95766P108 | United States | COM | 11,212 | 11,339 | +127 | $165,000 | $168,000 | +$3,000 |
| MFS SPL VALUE TR CUSIP 55274E102 | United States | SH BEN INT | 3,377 | 3,764 | +387 | $26,000 | $29,000 | +$3,000 |
| DB-X EXCHANGE-TRADED FDS INC CUSIP 233052406 | XTRAK 2040TGT DT | 861 | 991 | +130 | $26,000 | $29,000 | +$3,000 | |
| HERZFELD CARIBBEAN BASIN FD CUSIP 42804T106 | United States | COM | 2,092 | 2,582 | +490 | $17,000 | $20,000 | +$3,000 |
| DB-X EXCHANGE-TRADED FDS INC CUSIP 233052208 | XTRAK 2020TGT DT | 1,329 | 1,401 | +72 | $37,000 | $39,000 | +$2,000 | |
| ADVISORSHARES TR CUSIP 00768Y503 | PERITUS HG YLD | 1,403 | 1,522 | +119 | $74,000 | $76,000 | +$2,000 | |
| TEUCRIUM COMMODITY TR CUSIP 88166A300 | WTI CRUDE OIL | 823 | 923 | +100 | $36,000 | $37,000 | +$1,000 | |
| ALLIANZGI CONV & INCOME FD I CUSIP 018825109 | COM | 339,657 | 371,976 | +32,319 | $3,397,000 | $3,396,000 | -$1,000 | |
| DELAWARE INVTS DIV & INCOME CUSIP 245915103 | COM | 80,564 | 85,273 | +4,709 | $841,000 | $840,000 | -$1,000 | |
| TURKISH INVT FD INC CUSIP 900145103 | COM | 1,242 | 1,535 | +293 | $15,000 | $16,000 | +$1,000 | |
| EATON VANCE NY MUNI INCOME T CUSIP 27826W104 | SH BEN INT | 25,071 | 25,937 | +866 | $361,000 | $360,000 | -$1,000 | |
| NUVEEN MTG OPPTY TERM FD 2 CUSIP 67074R100 | COM | 6,695 | 6,819 | +124 | $159,000 | $159,000 | $0 | |
| MFS INTERMARKET INCOME TRUST CUSIP 59318R103 | SH BEN INT | 84,715 | 86,375 | +1,660 | $722,000 | $722,000 | $0 | |
| ABERDEEN SINGAPORE FD INC CUSIP 003244100 | COM | 107 | 108 | +1 | $1,000 | $1,000 | $0 |
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