UBS AG quarter change: USA Preferred Shares, Added
In preferred shares (listed in the US), from the quarter ended 2014-06-30 to 2014-09-30, UBS AG opened 5 positions, added to 15, reduced 14, sold out of 7 and left 3 unchanged. The largest increase in value was FPE (+$774,000); the largest decrease was PFF (-$14,887,000).
- FPE: Country of operation —; Class PFD SECS INC ETF; Shares 2014-06-30 69,140; Shares 2014-09-30 111,651.
- POWERSHARES ETF TRUST: Country of operation —; Class FINL PFD PTFL; Shares 2014-06-30 828,957; Shares 2014-09-30 853,012.
- ISHARES TR: Country of operation —; Class INTL PFD STK ETF; Shares 2014-06-30 51,282; Shares 2014-09-30 62,641.
- BANK AMER CORP: Country of operation United States; Class 7.25%CNV PFD L; Shares 2014-06-30 1,347; Shares 2014-09-30 1,550.
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 |
|---|
FPE
FIRST TR EXCHANGE-TRADED FD | | PFD SECS INC ETF | 69,140 | 111,651 | +42,511 | $1,332,000 | $2,106,000 | +$774,000 |
|---|
POWERSHARES ETF TRUST
CUSIP 73935X229 | | FINL PFD PTFL | 828,957 | 853,012 | +24,055 | $15,087,000 | $15,363,000 | +$276,000 |
|---|
ISHARES TR
CUSIP 46429B135 | | INTL PFD STK ETF | 51,282 | 62,641 | +11,359 | $1,293,000 | $1,495,000 | +$202,000 |
|---|
BANK AMER CORP
CUSIP 060505682 | United States | 7.25%CNV PFD L | 1,347 | 1,550 | +203 | $1,580,000 | $1,777,000 | +$197,000 |
|---|
HUNTINGTON BANCSHARES INC
CUSIP 446150401 | | PFD CONV SER A | 222 | 316 | +94 | $293,000 | $419,000 | +$126,000 |
|---|
POWERSHARES GLOBAL ETF TRUST
CUSIP 73936T565 | | AGG PFD PORT | 955,298 | 958,853 | +3,555 | $13,976,000 | $13,866,000 | -$110,000 |
|---|
BARCLAYS BANK PLC
CUSIP 06739H511 | | ADS7.75%PFD S4 | 176,937 | 180,540 | +3,603 | $4,560,000 | $4,668,000 | +$108,000 |
|---|
ALERE INC
CUSIP 01449J204 | | PERP PFD CONV SE | 514 | 625 | +111 | $163,000 | $203,000 | +$40,000 |
|---|
WELLS FARGO & CO NEW
CUSIP 949746804 | United States | PERP PFD CNV A | 1,217 | 1,259 | +42 | $1,478,000 | $1,514,000 | +$36,000 |
|---|
OMNICARE CAP TR II
CUSIP 68214Q200 | | PFD B TR 4.00% | 992 | 1,492 | +500 | $81,000 | $114,000 | +$33,000 |
|---|
EL PASO ENERGY CAP TR I
CUSIP 283678209 | United States | PFD CV TR SECS | 10,319 | 10,486 | +167 | $571,000 | $598,000 | +$27,000 |
|---|
KEYCORP NEW
CUSIP 493267405 | | PFD 7.75% SR A | 468 | 589 | +121 | $61,000 | $77,000 | +$16,000 |
|---|
U M H PROPERTIES INC
CUSIP 903002202 | | CV RED PFD-A | 1,170 | 1,626 | +456 | $31,000 | $43,000 | +$12,000 |
|---|
ASHFORD HOSPITALITY TR INC
CUSIP 044103505 | | 9% CUM PFD SER E | 870 | 1,074 | +204 | $24,000 | $30,000 | +$6,000 |
|---|
CHESAPEAKE ENERGY CORP
CUSIP 165167842 | | PFD CONV | 3,954 | 4,004 | +50 | $386,000 | $384,000 | -$2,000 |
|---|
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