UBS’s Rand Capital RAND Stock Holding History

UBS’s Portfolio RAND Stock Details RAND Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$9K	Sell	333 -379	-53%	-$10.6K	﹤0.01%	8937
2014 Q2	$20K	Buy	+712	New	+$21.4K	﹤0.01%	8084
2014 Q1	–	Sell	-184	Closed	-$5K	–	10714
2013 Q4	$5K	Buy	184 +140	+318%	+$3.74K	﹤0.01%	9574
2013 Q3	$1K	Sell	44 -125	-74%	-$3.33K	﹤0.01%	10161
2013 Q2	$4K	Buy	+169	New	+$4.51K	﹤0.01%	9426

Other funds holding RAND

CIBC Private Wealth Group Atlanta, Georgia $59.2B AUM 20.62% 1-Year Est. Return

NSB Advisors Fishkill, New York $80.2M AUM 3.16% 1-Year Est. Return

SRC

Shufro Rose & Co New York $1.47B AUM 19.38% 1-Year Est. Return

Brown Advisory Baltimore, Maryland $60.9B AUM 15.24% 1-Year Est. Return

Courier Capital Buffalo, New York $2B AUM 24.36% 1-Year Est. Return

Creative Planning Overland Park, Kansas $147B AUM 18.73% 1-Year Est. Return

TJHA

Thomas J. Herzfeld Advisors Miami Beach, Florida $294M AUM 2.62% 1-Year Est. Return

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

UBS's RAND Position: Q3 2014 in Review

UBS reduced its Rand Capital (RAND) stake by 53% in Q3 2014, selling an estimated $10.6K and leaving 333 shares worth $9K. The position accounts for ﹤0.01% of the portfolio, ranked #8937.

UBS first reported a position in RAND in Q2 2013 and has held it in 5 quarters since. The position peaked at $20K in Q2 2014. 10 funds tracked by Wall St. Rank hold RAND as of Q3 2014.

UBS held 333 shares of Rand Capital worth $9K as of Q3 2014.
UBS sold 379 Rand Capital shares in Q3 2014, an estimated $10.6K.
Rand Capital made up ﹤0.01% of UBS's portfolio in Q3 2014, its #8937 holding.
UBS first reported a position in Rand Capital in Q2 2013 and has held it in 5 quarters since.
UBS's Rand Capital position peaked at $20K in Q2 2014.
10 funds tracked by Wall St. Rank held Rand Capital as of Q3 2014.

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