UBS AM’s PhenixFIN PFX Stock Holding History

UBS AM’s Portfolio PFX Stock Details PFX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q2	–	Sell	-545	Closed	-$148K	–	2579
2014 Q1	$148K	Buy	+545	New	+$152K	﹤0.01%	2494
2013 Q4	–	Sell	-593	Closed	-$164K	–	2555
2013 Q3	$164K	Hold	593	–	–	﹤0.01%	2386
2013 Q2	$161K	Buy	+593	New	+$174K	﹤0.01%	2321

Other funds holding PFX

Ameriprise Minneapolis, Minnesota $432B AUM 30.22% 1-Year Est. Return

UBS Zurich, Switzerland $136B AUM 16.36% 1-Year Est. Return

ClearBridge Investments New York $115B AUM 24.78% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

Varde Management Minneapolis, Minnesota $49.3M AUM 87.64% 1-Year Est. Return

CIM

Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return

YMRC

Yorktown Management & Research Company Forest, Virginia $120M AUM 52.72% 1-Year Est. Return

HCM

Hilton Capital Management Garden City, New York $1.32B AUM 15.59% 1-Year Est. Return

BTS

BB&T Securities Richmond, Virginia $10.9B AUM 5.31% 1-Year Est. Return

UBS AM's PFX Position: Q2 2014 in Review

UBS AM sold out of PhenixFIN (PFX) in Q2 2014, closing a stake of 545 shares — an estimated $148K sold.

UBS AM first reported a position in PFX in Q2 2013 and held it in 3 quarters. The position peaked at $164K in Q3 2013. 106 funds tracked by Wall St. Rank hold PFX as of Q2 2014.

UBS AM reported no remaining PhenixFIN position as of Q2 2014 after selling out during the quarter.
UBS AM sold 545 PhenixFIN shares in Q2 2014, an estimated $148K.
UBS AM first reported a position in PhenixFIN in Q2 2013 and held it in 3 quarters.
UBS AM's PhenixFIN position peaked at $164K in Q3 2013.
106 funds tracked by Wall St. Rank held PhenixFIN as of Q2 2014.

Based on UBS AM's 13F filing for Q2 2014, filed 13 Aug 2014.