UBS’s DeFi Capital Markets, Inc. DCM Stock Holding History

UBS’s Portfolio DCM Stock Details DCM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$13K	Buy	+2,779	New	+$11.2K	﹤0.01%	8553
2013 Q3	–	Sell	-427	Closed	-$2K	–	10738
2013 Q2	$2K	Buy	+427	New	+$2.08K	﹤0.01%	9844

Other funds holding DCM

Fidelity Investments Boston, Massachusetts $2.3T AUM 54.33% 1-Year Est. Return

North Star Investment Management Chicago, Illinois $1.84B AUM 28.81% 1-Year Est. Return

Raymond James & Associates St Petersburg, Florida $164B AUM 33.91% 1-Year Est. Return

Dimensional Fund Advisors Austin, Texas $552B AUM 44.19% 1-Year Est. Return

WIM

Wilen Investment Management Bonita Springs, Florida $98.1M AUM 2.08% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Manulife (Manufacturers Life Insurance) Canada, Ontario, Canada $128B AUM 35.83% 1-Year Est. Return

UBS's DCM Position: Q3 2014 in Review

UBS opened a new position in DeFi Capital Markets, Inc. (DCM) in Q3 2014: 2,779 shares worth $13K. The stake represents ﹤0.01% of the portfolio and ranks #8553 among its holdings. This is a return to the name: UBS previously reported a position in DCM as recently as Q2 2013.

UBS first reported a position in DCM in Q2 2013 and has held it in 2 quarters since. 9 funds tracked by Wall St. Rank hold DCM as of Q3 2014.

UBS held 2,779 shares of DeFi Capital Markets, Inc. worth $13K as of Q3 2014.
DeFi Capital Markets, Inc. was a new UBS position in Q3 2014.
DeFi Capital Markets, Inc. made up ﹤0.01% of UBS's portfolio in Q3 2014, its #8553 holding.
UBS first reported a position in DeFi Capital Markets, Inc. in Q2 2013 and has held it in 2 quarters since.
9 funds tracked by Wall St. Rank held DeFi Capital Markets, Inc. as of Q3 2014.

Based on UBS's 13F filing for Q3 2014, filed 12 Nov 2014.