UBS AG quarter change: USA Funds, Reduced
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).
- SILVER BAY RLTY TR CORP: Country of operation —; Class COM; Shares 2014-06-30 1,205,473; Shares 2014-09-30 19,363.
- BROOKFIELD MTG OPP INC FD IN: Country of operation —; Class COM; Shares 2014-06-30 2,004,677; Shares 2014-09-30 1,207,956.
- POWERSHARES DB CMDTY IDX TRA: Country of operation —; Class UNIT BEN INT; Shares 2014-06-30 2,022,153; Shares 2014-09-30 1,810,403.
- APOLLO INVT CORP: Country of operation —; Class COM; Shares 2014-06-30 7,861,975; Shares 2014-09-30 6,999,188.
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 |
|---|---|---|---|---|---|---|---|---|
| SILVER BAY RLTY TR CORP CUSIP 82735Q102 | COM | 1,205,473 | 19,363 | -1,186,110 | $19,674,000 | $314,000 | -$19,360,000 | |
| BROOKFIELD MTG OPP INC FD IN CUSIP 112792106 | COM | 2,004,677 | 1,207,956 | -796,721 | $35,282,000 | $20,523,000 | -$14,759,000 | |
| POWERSHARES DB CMDTY IDX TRA CUSIP 73935S105 | UNIT BEN INT | 2,022,153 | 1,810,403 | -211,750 | $53,748,000 | $42,037,000 | -$11,711,000 | |
| APOLLO INVT CORP CUSIP 03761U106 | COM | 7,861,975 | 6,999,188 | -862,787 | $67,692,000 | $57,183,000 | -$10,509,000 | |
| TEXAS PAC LD TR CUSIP 882610108 | SUB CTF PROP I T | 345,123 | 322,650 | -22,473 | $55,258,000 | $62,090,000 | +$6,832,000 | |
| LIBERTY PPTY TR CUSIP 531172104 | SH BEN INT | 165,708 | 57,498 | -108,210 | $6,285,000 | $1,912,000 | -$4,373,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M423 | GUGG BULL 2015 | 575,893 | 427,077 | -148,816 | $15,504,000 | $11,292,000 | -$4,212,000 | |
| ETFS PLATINUM TR CUSIP 26922V101 | SH BEN INT | 120,329 | 105,375 | -14,954 | $17,404,000 | $13,308,000 | -$4,096,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q739 | GUGGENHEIM SOLAR | 150,135 | 75,883 | -74,252 | $6,692,000 | $3,085,000 | -$3,607,000 | |
| SENIOR HSG PPTYS TR CUSIP 81721M109 | SH BEN INT | 851,575 | 830,078 | -21,497 | $20,684,000 | $17,366,000 | -$3,318,000 | |
| CENTRAL FD CDA LTD CUSIP 153501101 | CL A | 632,111 | 494,852 | -137,259 | $9,191,000 | $6,092,000 | -$3,099,000 | |
| CHIMERA INVT CORP CUSIP 16934Q109 | COM | 8,036,797 | 7,478,363 | -558,434 | $25,638,000 | $22,734,000 | -$2,904,000 | |
| UNITED STATES NATL GAS FUND CUSIP 912318201 | UNIT PAR $0.001 | 204,041 | 107,360 | -96,681 | $5,019,000 | $2,374,000 | -$2,645,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M563 | GUGG CRP BD 2015 | 773,930 | 661,560 | -112,370 | $16,949,000 | $14,382,000 | -$2,567,000 | |
| CYS INVTS INC CUSIP 12673A108 | COM | 1,689,136 | 1,560,362 | -128,774 | $15,236,000 | $12,857,000 | -$2,379,000 | |
| POWERSHS DB MULTI SECT COMM CUSIP 73936B408 | PS DB AGRICUL FD | 361,843 | 296,031 | -65,812 | $9,936,000 | $7,564,000 | -$2,372,000 | |
| NUVEEN QUALITY PFD INCOME FD CUSIP 67072C105 | United States | COM | 1,161,078 | 944,181 | -216,897 | $10,485,000 | $8,224,000 | -$2,261,000 |
| VOYA PRIME RATE TR CUSIP 92913A100 | SH BEN INT | 1,063,433 | 730,557 | -332,876 | $6,158,000 | $4,018,000 | -$2,140,000 | |
| CURRENCYSHARES CDN DLR TR CUSIP 23129X105 | CDN DOLLAR SHS | 33,712 | 11,913 | -21,799 | $3,142,000 | $1,058,000 | -$2,084,000 | |
| ETFS SILVER TR CUSIP 26922X107 | SILVER SHS | 360,837 | 347,902 | -12,935 | $7,505,000 | $5,837,000 | -$1,668,000 | |
| NUVEEN SR INCOME FD CUSIP 67067Y104 | COM | 583,929 | 375,192 | -208,737 | $4,117,000 | $2,510,000 | -$1,607,000 | |
| ETFS GOLD TR CUSIP 26922Y105 | SHS | 90,980 | 89,829 | -1,151 | $11,867,000 | $10,643,000 | -$1,224,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M209 | GUGG INSDR SENT | 373,563 | 373,379 | -184 | $18,532,000 | $17,478,000 | -$1,054,000 | |
| TEMPLETON GLOBAL INCOME FD CUSIP 880198106 | United States | COM | 479,673 | 368,236 | -111,437 | $3,963,000 | $2,927,000 | -$1,036,000 |
| TORTOISE MLP FD INC CUSIP 89148B101 | COM | 790,152 | 778,590 | -11,562 | $23,641,000 | $22,610,000 | -$1,031,000 | |
| BLACKROCK MUNIYIELD INVST FD CUSIP 09254R104 | COM | 74,506 | 10,941 | -63,565 | $1,094,000 | $161,000 | -$933,000 | |
| NEXPOINT CR STRATEGIES FD CUSIP 65340G106 | COM | 208,835 | 149,790 | -59,045 | $2,520,000 | $1,591,000 | -$929,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M555 | GUGG CRP BD 2016 | 872,433 | 835,838 | -36,595 | $19,525,000 | $18,656,000 | -$869,000 | |
| INVESCO DYNAMIC CR OPP FD CUSIP 46132R104 | COM | 200,815 | 141,289 | -59,526 | $2,601,000 | $1,745,000 | -$856,000 | |
| AMERICAN CAP MTG INVT CORP CUSIP 02504A104 | COM | 565,251 | 565,187 | -64 | $11,316,000 | $10,636,000 | -$680,000 | |
| COLUMBIA PPTY TR INC CUSIP 198287203 | COM NEW | 65,389 | 43,479 | -21,910 | $1,701,000 | $1,037,000 | -$664,000 | |
| ALTISOURCE PORTFOLIO SOLNS S CUSIP L0175J104 | REG SHS | 11,262 | 6,888 | -4,374 | $1,290,000 | $694,000 | -$596,000 | |
| NUVEEN MUN ADVANTAGE FD INC CUSIP 67062H106 | COM | 122,502 | 79,359 | -43,143 | $1,646,000 | $1,071,000 | -$575,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M548 | GUGG CRP BD 2017 | 996,029 | 978,396 | -17,633 | $22,819,000 | $22,268,000 | -$551,000 | |
| NUVEEN LG/SHT COMMODITY TOTR CUSIP 670731108 | COM UT BEN INT | 95,885 | 68,242 | -27,643 | $1,550,000 | $1,008,000 | -$542,000 | |
| WESTERN ASSET MGD HI INCM FD CUSIP 95766L107 | COM | 782,589 | 726,567 | -56,022 | $4,539,000 | $4,018,000 | -$521,000 | |
| NUVEEN QUALITY INCOME MUN FD CUSIP 670977107 | COM | 233,224 | 197,123 | -36,101 | $3,200,000 | $2,699,000 | -$501,000 | |
| WEINGARTEN RLTY INVS CUSIP 948741103 | SH BEN INT | 67,364 | 54,927 | -12,437 | $2,211,000 | $1,730,000 | -$481,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M431 | GUGG BULL 2014 | 209,045 | 191,411 | -17,634 | $5,530,000 | $5,050,000 | -$480,000 | |
| ETFS PALLADIUM TR CUSIP 26923A106 | SH BEN INT | 25,564 | 21,850 | -3,714 | $2,101,000 | $1,643,000 | -$458,000 | |
| LMP CORPORATE LN FD INC CUSIP 50208B100 | COM | 164,931 | 132,169 | -32,762 | $1,982,000 | $1,526,000 | -$456,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383M571 | GUGG CRP BD 2014 | 124,062 | 103,009 | -21,053 | $2,620,000 | $2,171,000 | -$449,000 | |
| NEW MEDIA INVT GROUP INC CUSIP 64704V106 | COM | 662,771 | 589,085 | -73,686 | $9,351,000 | $9,797,000 | +$446,000 | |
| NUVEEN SHT DUR CR OPP FD CUSIP 67074X107 | COM | 66,138 | 47,273 | -18,865 | $1,217,000 | $810,000 | -$407,000 | |
| WALTER INVT MGMT CORP CUSIP 93317W102 | COM | 12,763 | 2,667 | -10,096 | $380,000 | $58,000 | -$322,000 | |
| QTS RLTY TR INC CUSIP 74736A103 | COM CL A | 108,320 | 93,053 | -15,267 | $3,101,000 | $2,825,000 | -$276,000 | |
| EATON VANCE FLTG RATE INCOM CUSIP 278284104 | COM SHS BEN INT | 96,166 | 86,433 | -9,733 | $1,732,000 | $1,490,000 | -$242,000 | |
| ADVISORSHARES TR CUSIP 00768Y883 | RANGER EQUITY BE | 65,136 | 44,297 | -20,839 | $767,000 | $528,000 | -$239,000 | |
| NUVEEN SELECT QUALITY MUN FD CUSIP 670973106 | COM | 238,262 | 225,804 | -12,458 | $3,302,000 | $3,087,000 | -$215,000 | |
| AMERICAN EQTY INVT LIFE HLD CUSIP 025676206 | United States | COM | 24,618 | 18,033 | -6,585 | $606,000 | $413,000 | -$193,000 |
| HEALTHCARE RLTY TR CUSIP 421946104 | COM | 40,694 | 36,902 | -3,792 | $1,035,000 | $874,000 | -$161,000 | |
| NEW IRELAND FUND INC CUSIP 645673104 | COM | 17,276 | 5,957 | -11,319 | $235,000 | $75,000 | -$160,000 | |
| APOLLO TACTICAL INCOME FD IN CUSIP 037638103 | United States | COM | 67,258 | 62,732 | -4,526 | $1,234,000 | $1,085,000 | -$149,000 |
| CUTWATER SELECT INCOME FD CUSIP 232229104 | COM | 86,709 | 80,935 | -5,774 | $1,747,000 | $1,598,000 | -$149,000 | |
| ALLIANCE NEW YORK MUN INC FD CUSIP 018714105 | COM | 20,550 | 10,050 | -10,500 | $262,000 | $126,000 | -$136,000 | |
| NEW AMER HIGH INCOME FD INC CUSIP 641876800 | United States | COM NEW | 23,588 | 12,533 | -11,055 | $237,000 | $118,000 | -$119,000 |
| INVESTORS REAL ESTATE TR CUSIP 461730103 | SH BEN INT | 46,744 | 41,922 | -4,822 | $431,000 | $323,000 | -$108,000 | |
| CATCHMARK TIMBER TR INC CUSIP 14912Y202 | CL A | 9,861 | 4,063 | -5,798 | $135,000 | $45,000 | -$90,000 | |
| BLACKROCK MUNIC INCM INVST T CUSIP 09248H105 | SH BEN INT | 25,854 | 20,247 | -5,607 | $361,000 | $275,000 | -$86,000 | |
| MORGAN STANLEY EMER MKTS FD CUSIP 61744G107 | COM | 13,114 | 8,315 | -4,799 | $211,000 | $129,000 | -$82,000 | |
| NUVEEN PREM INCOME MUN FD CUSIP 67062T100 | COM | 149,911 | 146,222 | -3,689 | $2,037,000 | $1,959,000 | -$78,000 | |
| FEDERAL REALTY INVT TR CUSIP 313747206 | SH BEN INT NEW | 25,899 | 25,829 | -70 | $3,132,000 | $3,059,000 | -$73,000 | |
| HERSHA HOSPITALITY TR CUSIP 427825104 | SH BEN INT A | 47,011 | 38,413 | -8,598 | $316,000 | $245,000 | -$71,000 | |
| WESTERN ASSET MUN DEF OPP TR CUSIP 95768A109 | COM | 63,867 | 60,644 | -3,223 | $1,432,000 | $1,368,000 | -$64,000 | |
| FIRST POTOMAC RLTY TR CUSIP 33610F109 | COM | 18,971 | 16,264 | -2,707 | $250,000 | $191,000 | -$59,000 | |
| BROOKFIELD TOTAL RETURN FD I CUSIP 11283U108 | COM | 36,654 | 34,726 | -1,928 | $923,000 | $868,000 | -$55,000 | |
| NUVEEN EQUITY PREM ADV FD CUSIP 6706ET107 | COM | 182,729 | 181,962 | -767 | $2,428,000 | $2,376,000 | -$52,000 | |
| CORNERSTONE TOTAL RTRN FD IN CUSIP 21924U201 | COM NEW | 34,925 | 26,765 | -8,160 | $197,000 | $146,000 | -$51,000 | |
| PIMCO MUN INCOME FD III CUSIP 72201A103 | United States | COM | 14,537 | 10,751 | -3,786 | $161,000 | $115,000 | -$46,000 |
| EXCEL TR INC CUSIP 30068C109 | COM | 16,891 | 15,256 | -1,635 | $225,000 | $179,000 | -$46,000 | |
| BABSON CAP PARTN INVS TR CUSIP 05616B100 | SH BEN INT | 238,146 | 236,409 | -1,737 | $3,258,000 | $3,214,000 | -$44,000 | |
| BLACKROCK N J MUN INCOME TR CUSIP 09248J101 | SH BEN INT | 8,996 | 6,352 | -2,644 | $135,000 | $92,000 | -$43,000 | |
| FELCOR LODGING TR INC CUSIP 31430F101 | COM | 30,094 | 29,383 | -711 | $316,000 | $275,000 | -$41,000 | |
| AG MTG INVT TR INC CUSIP 001228105 | COM | 22,895 | 22,288 | -607 | $433,000 | $397,000 | -$36,000 | |
| ZWEIG FD CUSIP 989834205 | COM NEW | 4,732 | 2,560 | -2,172 | $74,000 | $39,000 | -$35,000 | |
| PIMCO CALIF MUN INCOME FD II CUSIP 72201C109 | United States | COM | 73,907 | 71,788 | -2,119 | $782,000 | $747,000 | -$35,000 |
| NUVEEN NJ PREM INCOME MUN FD CUSIP 67101N106 | COM | 30,914 | 29,547 | -1,367 | $437,000 | $403,000 | -$34,000 | |
| BLACKROCK ECOSOLUTIONS INVT CUSIP 092546100 | COM SH | 38,868 | 37,488 | -1,380 | $321,000 | $287,000 | -$34,000 | |
| WHITING USA TR II CUSIP 966388100 | TR UNIT | 4,776 | 2,375 | -2,401 | $60,000 | $29,000 | -$31,000 | |
| MFS CALIF MUN FD CUSIP 59318C106 | COM | 49,986 | 48,500 | -1,486 | $553,000 | $523,000 | -$30,000 | |
| LASALLE HOTEL PPTYS CUSIP 517942108 | COM SH BEN INT | 26,273 | 26,241 | -32 | $928,000 | $899,000 | -$29,000 | |
| BLACKROCK ENHANCED GOVT FD I CUSIP 09255K108 | United States | COM | 11,678 | 9,839 | -1,839 | $167,000 | $138,000 | -$29,000 |
| NUVEEN INVT QUALITY MUN FD I CUSIP 67062E103 | COM | 35,927 | 33,785 | -2,142 | $527,000 | $502,000 | -$25,000 | |
| BOULDER TOTAL RETURN FD INC CUSIP 101541100 | COM | 1,670 | 690 | -980 | $43,000 | $18,000 | -$25,000 | |
| FST TR NEW OPPORT MLP & ENE CUSIP 33739M100 | COM | 2,475 | 1,295 | -1,180 | $48,000 | $24,000 | -$24,000 | |
| DOMINION RES BLACK WARRIOR T CUSIP 25746Q108 | UNITS BEN INT | 6,073 | 2,013 | -4,060 | $37,000 | $15,000 | -$22,000 | |
| BLACKROCK N Y MUN INCOME TR CUSIP 09248L106 | United States | SH BEN INT | 27,591 | 26,186 | -1,405 | $388,000 | $366,000 | -$22,000 |
| EATON VANCE MICH MUN BD FD CUSIP 27828M104 | COM | 2,496 | 853 | -1,643 | $33,000 | $11,000 | -$22,000 | |
| ETFS ASIAN GOLD TR CUSIP 26923C102 | PHYS ASAIN GLD | 494 | 348 | -146 | $64,000 | $42,000 | -$22,000 | |
| NUVEEN MD PREM INCOME MUN FD CUSIP 67061Q107 | COM | 32,490 | 31,794 | -696 | $419,000 | $398,000 | -$21,000 | |
| CUSHING MLP TOTAL RETURN FD CUSIP 231631102 | COM SHS | 48,996 | 47,791 | -1,205 | $433,000 | $412,000 | -$21,000 | |
| HIGHLAND FDS I CUSIP 430101774 | HI LD IBOXX SRLN | 5,544 | 4,691 | -853 | $110,000 | $91,000 | -$19,000 | |
| EATON VANCE CALIF MUN BD FD CUSIP 27828C106 | COM | 2,015 | 500 | -1,515 | $24,000 | $6,000 | -$18,000 | |
| TEUCRIUM COMMODITY TR CUSIP 88166A201 | NATURAL GAS FD | 3,246 | 2,206 | -1,040 | $43,000 | $26,000 | -$17,000 | |
| CLAYMORE EXCHANGE TRD FD TR CUSIP 18383Q804 | GUG INTL MLT ASS | 1,888 | 1,185 | -703 | $38,000 | $22,000 | -$16,000 | |
| NUVEEN GA DIV ADV MUN FD 2 CUSIP 67072B107 | COM | 13,845 | 13,079 | -766 | $178,000 | $166,000 | -$12,000 | |
| EATON VANCE NJ MUNI INCOME T CUSIP 27826V106 | SH BEN INT | 6,081 | 5,290 | -791 | $77,000 | $65,000 | -$12,000 | |
| THL CR SR LN FD CUSIP 87244R103 | COM | 956 | 382 | -574 | $17,000 | $7,000 | -$10,000 | |
| DREYFUS HIGH YIELD STRATEGIE CUSIP 26200S101 | SH BEN INT | 13,776 | 13,435 | -341 | $60,000 | $50,000 | -$10,000 | |
| RETAIL OPPORTUNITY INVTS COR CUSIP 76131N119 | *W EXP 10/23/201 | 3,611 | 1,961 | -1,650 | $14,000 | $5,000 | -$9,000 |
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