UBS’s First Trust Mid Cap Growth AlphaDEX Fund FNY Stock Holding History

UBS’s Portfolio FNY Stock Details FNY Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$1.57M	Buy	56,588 +741	+1%	+$21.1K	﹤0.01%	3140
2014 Q2	$1.62M	Buy	55,847 +4,430	+9%	+$123K	﹤0.01%	3088
2014 Q1	$1.45M	Buy	51,417 +9,149	+22%	+$255K	﹤0.01%	3094
2013 Q4	$1.19M	Buy	42,268 +32,711	+342%	+$869K	﹤0.01%	3347
2013 Q3	$243K	Buy	9,557 +1,842	+24%	+$45.3K	﹤0.01%	4940
2013 Q2	$180K	Buy	+7,715	New	+$181K	﹤0.01%	5207

Other funds holding FNY

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

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

LPL Financial San Diego, California $377B AUM 19.32% 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

ONB

Old National Bancorp Evansville, Indiana $5.02B AUM 25.65% 1-Year Est. Return

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

M&T Bank Buffalo, New York $29.2B AUM 22.81% 1-Year Est. Return

Cambridge Investment Research Advisors Fairfield, Iowa $44.6B AUM 28.94% 1-Year Est. Return

KIA

KCM Investment Advisors Greenbrae, California $3.01B AUM 21.97% 1-Year Est. Return

UBS's FNY Position: Q3 2014 in Review

UBS increased its First Trust Mid Cap Growth AlphaDEX Fund (FNY) stake by 1.3% in Q3 2014, buying an estimated $21.1K and bringing the position to 56,588 shares worth $1.57M. The position accounts for ﹤0.01% of the portfolio, ranked #3140.

UBS first reported a position in FNY in Q2 2013 and has held it in 6 quarters since. The position peaked at $1.62M in Q2 2014. 18 funds tracked by Wall St. Rank hold FNY as of Q3 2014.

UBS held 56,588 shares of First Trust Mid Cap Growth AlphaDEX Fund worth $1.57M as of Q3 2014.
UBS bought 741 First Trust Mid Cap Growth AlphaDEX Fund shares in Q3 2014, an estimated $21.1K.
First Trust Mid Cap Growth AlphaDEX Fund made up ﹤0.01% of UBS's portfolio in Q3 2014, its #3140 holding.
UBS first reported a position in First Trust Mid Cap Growth AlphaDEX Fund in Q2 2013 and has held it in 6 quarters since.
UBS's First Trust Mid Cap Growth AlphaDEX Fund position peaked at $1.62M in Q2 2014.
18 funds tracked by Wall St. Rank held First Trust Mid Cap Growth AlphaDEX Fund as of Q3 2014.

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