UBS’s RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) ROICW Stock Holding History

UBS’s Portfolio ROICW Stock Details ROICW Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$5K	Sell	1,961 -1,650	-46%	-$4.21K	﹤0.01%	9565
2014 Q2	$14K	Buy	3,611 +2,161	+149%	+$8.38K	﹤0.01%	8576
2014 Q1	$4K	Buy	+1,450	New	+$4K	﹤0.01%	9786
2013 Q4	–	Sell	-2,216	Closed	-$5K	–	11413
2013 Q3	$5K	Buy	2,216 +1,030	+87%	+$2.32K	﹤0.01%	9512
2013 Q2	$2K	Buy	+1,186	New	+$2K	﹤0.01%	9961

Other funds holding ROICW

Goldman Sachs New York $871B AUM 31.28% 1-Year Est. Return

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

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

TRCT

Tower Research Capital (TRC) New York $3.85B AUM 32.11% 1-Year Est. Return

UBS's ROICW Position: Q3 2014 in Review

UBS reduced its RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) (ROICW) stake by 46% in Q3 2014, selling an estimated $4.21K and leaving 1,961 shares worth $5K. The position accounts for ﹤0.01% of the portfolio, ranked #9565.

UBS first reported a position in ROICW in Q2 2013 and has held it in 5 quarters since. The position peaked at $14K in Q2 2014. 5 funds tracked by Wall St. Rank hold ROICW as of Q3 2014.

UBS held 1,961 shares of RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) worth $5K as of Q3 2014.
UBS sold 1,650 RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) shares in Q3 2014, an estimated $4.21K.
RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) made up ﹤0.01% of UBS's portfolio in Q3 2014, its #9565 holding.
UBS first reported a position in RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) in Q2 2013 and has held it in 5 quarters since.
UBS's RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) position peaked at $14K in Q2 2014.
5 funds tracked by Wall St. Rank held RETAIL OPPORTUNITY INVESTMENTS CORP WTS EXP 10/17/2011 (MD) as of Q3 2014.

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