UBS’s PhenixFIN PFX Stock Holding History

UBS’s Portfolio PFX Stock Details PFX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q2	–	Sell	-10	Closed	-$3K	–	10710
2014 Q1	$3K	Buy	+10	New	+$2.79K	﹤0.01%	9862

Other funds holding PFX

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

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

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

Varde Management Minneapolis, Minnesota $49.3M AUM 87.64% 1-Year Est. Return

CIM

Confluence Investment Management St. Louis, Missouri $6.4B AUM 9.79% 1-Year Est. Return

YMRC

Yorktown Management & Research Company Forest, Virginia $163M AUM 68.53% 1-Year Est. Return

HCM

Hilton Capital Management Garden City, New York $1.32B AUM 15.59% 1-Year Est. Return

BTS

BB&T Securities Richmond, Virginia $10.9B AUM 5.31% 1-Year Est. Return

SAM

Selway Asset Management $242M AUM 7.7% 1-Year Est. Return

Janney Montgomery Scott Philadelphia, Pennsylvania $40.4B AUM 21.2% 1-Year Est. Return

UBS's PFX Position: Q3 2014 in Review

UBS reduced its PhenixFIN (PFX) stake by 3.3% in Q3 2014, selling an estimated $687K and leaving 78,966 shares worth $18.7M. The position accounts for 0.01% of the portfolio, ranked #1000.

UBS first reported a position in PFX in Q2 2013 and has held it in 6 quarters since. The position peaked at $21.3M in Q2 2014. 110 funds tracked by Wall St. Rank hold PFX as of Q3 2014.

UBS held 78,966 shares of PhenixFIN worth $18.7M as of Q3 2014.
UBS sold 2,683 PhenixFIN shares in Q3 2014, an estimated $687K.
PhenixFIN made up 0.01% of UBS's portfolio in Q3 2014, its #1000 holding.
UBS first reported a position in PhenixFIN in Q2 2013 and has held it in 6 quarters since.
UBS's PhenixFIN position peaked at $21.3M in Q2 2014.
110 funds tracked by Wall St. Rank held PhenixFIN as of Q3 2014.

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