UBS’s John Hancock Preferred Income Fund III HPS Stock Holding History

UBS’s Portfolio HPS Stock Details HPS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$5.54M	Sell	316,598 -68,650	-18%	-$1.21M	﹤0.01%	1922
2014 Q2	$6.9M	Sell	385,248 -8,413	-2%	-$149K	0.01%	1664
2014 Q1	$6.82M	Buy	393,661 +35,065	+10%	+$583K	0.01%	1563
2013 Q4	$5.59M	Sell	358,596 -50,582	-12%	-$812K	0.01%	1759
2013 Q3	$6.85M	Buy	409,178 +87,554	+27%	+$1.51M	0.01%	1436
2013 Q2	$5.86M	Buy	+321,624	New	+$6.2M	0.01%	1477

Other funds holding HPS

SAMC

Spectrum Asset Management (Connecticut) Stamford, Connecticut $69.6M AUM 1.92% 1-Year Est. Return

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

Guggenheim Capital Chicago, Illinois $15.9B AUM 53.4% 1-Year Est. Return

Invesco Atlanta, Georgia $1.02T AUM 30.18% 1-Year Est. Return

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

NCM

Newgate Capital Management Greenwich, Connecticut $121M AUM 3.73% 1-Year Est. Return

Credit Suisse Zurich, Switzerland $104B AUM 34.76% 1-Year Est. Return

NWAM LLC Mercer Island, Washington $2B AUM 34.81% 1-Year Est. Return

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

CIA

Capital Investment Advisors Atlanta, Georgia $7.59B AUM 23.38% 1-Year Est. Return

UBS's HPS Position: Q3 2014 in Review

UBS reduced its John Hancock Preferred Income Fund III (HPS) stake by 18% in Q3 2014, selling an estimated $1.21M and leaving 316,598 shares worth $5.54M. The position accounts for ﹤0.01% of the portfolio, ranked #1922.

UBS first reported a position in HPS in Q2 2013 and has held it in 6 quarters since. The position peaked at $6.9M in Q2 2014. 41 funds tracked by Wall St. Rank hold HPS as of Q3 2014.

UBS held 316,598 shares of John Hancock Preferred Income Fund III worth $5.54M as of Q3 2014.
UBS sold 68,650 John Hancock Preferred Income Fund III shares in Q3 2014, an estimated $1.21M.
John Hancock Preferred Income Fund III made up ﹤0.01% of UBS's portfolio in Q3 2014, its #1922 holding.
UBS first reported a position in John Hancock Preferred Income Fund III in Q2 2013 and has held it in 6 quarters since.
UBS's John Hancock Preferred Income Fund III position peaked at $6.9M in Q2 2014.
41 funds tracked by Wall St. Rank held John Hancock Preferred Income Fund III as of Q3 2014.

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