UBS’s GDL Fund GDL Stock Holding History

UBS’s Portfolio GDL Stock Details GDL Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$125K	Sell	11,870 -2,663	-18%	-$28.5K	﹤0.01%	5722
2014 Q2	$157K	Sell	14,533 -4,310	-23%	-$47.3K	﹤0.01%	5407
2014 Q1	$208K	Buy	18,843 +9,150	+94%	+$101K	﹤0.01%	5150
2013 Q4	$107K	Sell	9,693 -68,905	-88%	-$774K	﹤0.01%	5995
2013 Q3	$886K	Sell	78,598 -4,382	-5%	-$50.1K	﹤0.01%	3484
2013 Q2	$950K	Buy	+82,980	New	+$970K	﹤0.01%	3400

Other funds holding GDL

Lazard Asset Management New York $60.8B AUM 22.47% 1-Year Est. Return

GAMCO Investors Greenwich, Connecticut $10.2B AUM 30.27% 1-Year Est. Return

GPC

Glacier Peak Capital Bellevue, Washington $96.2M AUM 0.45% 1-Year Est. Return

PAIM

Punch & Associates Investment Management Edina, Minnesota $1.73B AUM 27.65% 1-Year Est. Return

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

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

RCM

Rivernorth Capital Management West Palm Beach, Florida $2B AUM 0.66% 1-Year Est. Return

Ancora Advisors Cleveland, Ohio $4.7B AUM 19.05% 1-Year Est. Return

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

SCM

Summit Capital Management Seattle, Washington $221M AUM 4.14% 1-Year Est. Return

UBS's GDL Position: Q3 2014 in Review

UBS reduced its GDL Fund (GDL) stake by 18% in Q3 2014, selling an estimated $28.5K and leaving 11,870 shares worth $125K. The position accounts for ﹤0.01% of the portfolio, ranked #5722.

UBS first reported a position in GDL in Q2 2013 and has held it in 6 quarters since. The position peaked at $950K in Q2 2013. 43 funds tracked by Wall St. Rank hold GDL as of Q3 2014.

UBS held 11,870 shares of GDL Fund worth $125K as of Q3 2014.
UBS sold 2,663 GDL Fund shares in Q3 2014, an estimated $28.5K.
GDL Fund made up ﹤0.01% of UBS's portfolio in Q3 2014, its #5722 holding.
UBS first reported a position in GDL Fund in Q2 2013 and has held it in 6 quarters since.
UBS's GDL Fund position peaked at $950K in Q2 2013.
43 funds tracked by Wall St. Rank held GDL Fund as of Q3 2014.

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