UBS’s Castle Brands, Inc. ROX Stock Holding History

UBS’s Portfolio ROX Stock Details ROX Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2014 Q3	$13K	Buy	+9,631	New	+$9.86K	﹤0.01%	8566
2014 Q2	–	Sell	-2,000	Closed	-$2K	–	11025
2014 Q1	$2K	Sell	2,000 -34,442	-95%	-$32K	﹤0.01%	10095
2013 Q4	$28K	Buy	+36,442	New	+$29.3K	﹤0.01%	7737
2013 Q3	–	Sell	-32,141	Closed	-$12K	–	10869
2013 Q2	$12K	Buy	+32,141	New	+$11K	﹤0.01%	8472

Other funds holding ROX

EAM Investors Solana Beach, California $866M AUM 377.14% 1-Year Est. Return

Vanguard Group Malvern, Pennsylvania $6.9T AUM 27.45% 1-Year Est. Return

CCM

Coe Capital Management Highland Park, Illinois $106M AUM 53.24% 1-Year Est. Return

Geode Capital Management Boston, Massachusetts $1.61T AUM 30.72% 1-Year Est. Return

Horizon Kinetics New York $3.06B AUM 5.37% 1-Year Est. Return

EEG

E.E. Geduld $178M AUM 29.34% 1-Year Est. Return

BCM

Bridgeway Capital Management Houston, Texas $4.97B AUM 44.96% 1-Year Est. Return

Northern Trust Chicago, Illinois $757B AUM 28.64% 1-Year Est. Return

Stifel Financial St. Louis, Missouri $109B AUM 21.36% 1-Year Est. Return

TFS Capital West Chester, Pennsylvania $255M AUM 32.31% 1-Year Est. Return

UBS's ROX Position: Q3 2014 in Review

UBS opened a new position in Castle Brands, Inc. (ROX) in Q3 2014: 9,631 shares worth $13K. The stake represents ﹤0.01% of the portfolio and ranks #8566 among its holdings. This is a return to the name: UBS previously reported a position in ROX as recently as Q1 2014.

UBS first reported a position in ROX in Q2 2013 and has held it in 4 quarters since. The position peaked at $28K in Q4 2013. 26 funds tracked by Wall St. Rank hold ROX as of Q3 2014.

UBS held 9,631 shares of Castle Brands, Inc. worth $13K as of Q3 2014.
Castle Brands, Inc. was a new UBS position in Q3 2014.
Castle Brands, Inc. made up ﹤0.01% of UBS's portfolio in Q3 2014, its #8566 holding.
UBS first reported a position in Castle Brands, Inc. in Q2 2013 and has held it in 4 quarters since.
UBS's Castle Brands, Inc. position peaked at $28K in Q4 2013.
26 funds tracked by Wall St. Rank held Castle Brands, Inc. as of Q3 2014.

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