UBS O'Connor’s Invesco Golden Dragon China ETF PGJ Stock Holding History

UBS O'Connor’s Portfolio PGJ Stock Details PGJ Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q4	–	Sell	-49,742	Closed	-$1.65M	–	456
2016 Q3	$1.65M	Sell	49,742 -258	-0.5%	-$8.02K	0.02%	323
2016 Q2	$1.41M	Hold	50,000	–	–	0.03%	271
2016 Q1	$1.5M	Sell	50,000 -65,000	-57%	-$1.87M	0.03%	294
2015 Q4	$3.78M	Buy	+115,000	New	+$3.56M	0.06%	211

Other funds holding PGJ

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Susquehanna International Group Bala Cynwyd, Pennsylvania $893B AUM 36.07% 1-Year Est. Return

Citadel Advisors Miami, Florida $618B AUM 30.34% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

TAM

Tocqueville Asset Management New York $6.74B AUM 32.29% 1-Year Est. Return

LFAS

Level Four Advisory Services Dallas, Texas $3.05B AUM 23.96% 1-Year Est. Return

Goldman Sachs New York $871B AUM 31.28% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

VKH

Virtu KCG Holdings New York $3.6B AUM 17.11% 1-Year Est. Return

UBS O'Connor's PGJ Position: Q4 2016 in Review

UBS O'Connor sold out of Invesco Golden Dragon China ETF (PGJ) in Q4 2016, closing a stake of 49,742 shares — an estimated $1.65M sold.

UBS O'Connor first reported a position in PGJ in Q4 2015 and held it in 4 quarters. The position peaked at $3.78M in Q4 2015. 37 funds tracked by Wall St. Rank hold PGJ as of Q4 2016.

UBS O'Connor reported no remaining Invesco Golden Dragon China ETF position as of Q4 2016 after selling out during the quarter.
UBS O'Connor sold 49,742 Invesco Golden Dragon China ETF shares in Q4 2016, an estimated $1.65M.
UBS O'Connor first reported a position in Invesco Golden Dragon China ETF in Q4 2015 and held it in 4 quarters.
UBS O'Connor's Invesco Golden Dragon China ETF position peaked at $3.78M in Q4 2015.
37 funds tracked by Wall St. Rank held Invesco Golden Dragon China ETF as of Q4 2016.

Based on UBS O'Connor's 13F filing for Q4 2016, filed 14 Feb 2017.