UBS’s First Trust South Korea AlphaDEX Fund FKO Stock Holding History

UBS’s Portfolio FKO Stock Details FKO Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	–	Sell	-1,331	Closed	-$37K	–	10944
2014 Q2	$37K	Buy	1,331 +693	+109%	+$18.7K	﹤0.01%	7291
2014 Q1	$17K	Buy	+638	New	+$16.7K	﹤0.01%	8328
2013 Q4	–	Sell	-127	Closed	-$3K	–	10927
2013 Q3	$3K	Sell	127 -273	-68%	-$6.76K	﹤0.01%	9812
2013 Q2	$9K	Buy	+400	New	+$9.61K	﹤0.01%	8768

Other funds holding FKO

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

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

Jane Street New York $777B AUM 61.18% 1-Year Est. Return

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

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

WFG Advisors Dallas, Texas $442M AUM 12.46% 1-Year Est. Return

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

AIG

American International Group New York $609M AUM 23.67% 1-Year Est. Return

TRCT

Tower Research Capital (TRC) New York $3.85B AUM 32.11% 1-Year Est. Return

MFS

MSI Financial Services Springfield, Massachusetts $3.07B AUM 10.22% 1-Year Est. Return

UBS's FKO Position: Q3 2014 in Review

UBS sold out of First Trust South Korea AlphaDEX Fund (FKO) in Q3 2014, closing a stake of 1,331 shares — an estimated $37K sold.

UBS first reported a position in FKO in Q2 2013 and held it in 4 quarters. The position peaked at $37K in Q2 2014. 10 funds tracked by Wall St. Rank hold FKO as of Q3 2014.

UBS reported no remaining First Trust South Korea AlphaDEX Fund position as of Q3 2014 after selling out during the quarter.
UBS sold 1,331 First Trust South Korea AlphaDEX Fund shares in Q3 2014, an estimated $37K.
UBS first reported a position in First Trust South Korea AlphaDEX Fund in Q2 2013 and held it in 4 quarters.
UBS's First Trust South Korea AlphaDEX Fund position peaked at $37K in Q2 2014.
10 funds tracked by Wall St. Rank held First Trust South Korea AlphaDEX Fund as of Q3 2014.

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