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UBS Portfolio holdings

AUM $136B
1-Year Est. Return 16.36%
This Fund
S&P 500
This Quarter Est. Return
+8.25%
1 Year Est. Return
+16.36%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$107B
AUM Growth
+$9.22B
Cap. Flow
+$1.49B
Cap. Flow %
1.39%
Top 10 Hldgs %
13.06%
Holding
11,531
New
1,148
Increased
4,823
Reduced
3,924
Closed
1,123

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.56B
2
EFA icon
iShares MSCI EAFE ETF
EFA
+$585M
3
HRI icon
Herc Holdings
HRI
+$370M
4
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$216M
5
IYR icon
iShares US Real Estate ETF
IYR
+$210M

Top Sells

Rank Stock Value
1
TLM
TALISMAN ENERGY INC
TLM
+$615M
2
BIL icon
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
+$468M
3
MA icon
Mastercard
MA
+$212M
4
AGU
Agrium
AGU
+$193M
5
AZN icon
AstraZeneca
AZN
+$143M

Sector Composition

Rank Sector Weight
1 Energy 8.45%
2 Healthcare 6.45%
3 Technology 6.41%
4 Financials 6.11%
5 Industrials 5.93%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NYMX
10751
CALL
DELISTED
Nymox Pharmaceutical Corp
NYMX
– –
-500
Closed -$3K
QDYN
10752
DELISTED
FlexShares Quality Dividend Dynamic Index Fund
QDYN
– –
-308
Closed -$9K
OIL
10753
DELISTED
iPath Pure Beta Crude Oil ETN
OIL
– –
-1,925
Closed -$82K
ABB
10754
CALL
DELISTED
ABB Ltd
ABB
– –
-15,200
Closed -$359K
IBA
10755
DELISTED
Industrias Bachoco SAB De C.V.
IBA
$0 ﹤0.01%
11
-1,136
-99% -$45.8K
APEN
10756
DELISTED
Apollo Endosurgery, Inc.
APEN
– –
-51
Closed -$18.7K
FCRD
10757
PUT
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
– –
-4,500
Closed -$70K
ALBO
10758
CALL
DELISTED
Albireo Pharma Inc
ALBO
– –
-33
Closed -$3K
UMPQ
10759
CALL
DELISTED
Umpqua Holdings Corp
UMPQ
– –
-200
Closed -$3K
RBCN
10760
CALL
DELISTED
Rubicon Technology, Inc.
RBCN
– –
-270
Closed -$33K
RBCN
10761
PUT
DELISTED
Rubicon Technology, Inc.
RBCN
– –
-200
Closed -$24K
ABMD
10762
PUT
DELISTED
Abiomed Inc
ABMD
– –
-35,000
Closed -$667K
CCXI
10763
CALL
DELISTED
ChemoCentryx, Inc.
CCXI
– –
-5,000
Closed -$28K
CCXI
10764
PUT
DELISTED
ChemoCentryx, Inc.
CCXI
– –
-2,500
Closed -$14K
TGA
10765
CALL
DELISTED
Transglobe Energy Corp
TGA
– –
-3,300
Closed -$26K
DRE
10766
PUT
DELISTED
Duke Realty Corp.
DRE
– –
-1,000
Closed -$15K
HMTV
10767
DELISTED
Hemisphere Media Group, Inc.
HMTV
– –
-2,418
Closed -$28K
SNP
10768
PUT
DELISTED
CHINA PETROLEUM & CHEMICAL CORPORATION ADS (REP 100 ORDINARY H SHARES)
SNP
– –
-260
Closed -$20K
PTR
10769
PUT
DELISTED
PETROCHINA COMPANY LIMITED ADS (REP 100 H SHARES)
PTR
– –
-200
Closed -$22K
ACH
10770
PUT
DELISTED
Alum Corp of China Ltd
ACH
– –
-1,600
Closed -$15K
ENDP
10771
PUT
DELISTED
Endo International plc
ENDP
– –
-14,200
Closed -$645K
CNR
10772
PUT
DELISTED
Cornerstone Building Brands, Inc.
CNR
– –
-500
Closed -$6K
MIC
10773
PUT
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
– –
-500
Closed -$27K
SREV
10774
CALL
DELISTED
ServiceSource International, Inc.
SREV
– –
-10,000
Closed -$121K
NP
10775
PUT
DELISTED
Neenah, Inc. Common Stock
NP
– –
-100
Closed -$4K
429 430
431
432 433

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STC
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1IC
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QBFM
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BCMU
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MWR
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MGC
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BP
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UBS's Q4 2013 Portfolio in Review

As of Q4 2013, UBS held 11,531 positions worth $107B, up 9.4% from $97.7B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

UBS's Q4 2013 filing shows 1,148 new, 4,823 increased, 3,924 reduced and 1,123 closed positions. Its largest new stake was American Airlines Group: 670,542 shares worth $16.9M. The largest sale was TALISMAN ENERGY INC, an estimated $615M.

By sector, the portfolio is most concentrated in Energy at 8.5% of assets, down from 9.1% a quarter earlier, followed by Healthcare and Technology.

  • UBS's largest Q4 2013 buy was American Airlines Group: 670,542 shares worth $16.9M.
  • UBS added most to State Street SPDR S&P 500 ETF Trust in Q4 2013, an estimated $1.56B increase.
  • UBS's biggest Q4 2013 reduction was TALISMAN ENERGY INC, cutting an estimated $615M.
  • UBS fully exited NYSE EURONEXT INC in Q4 2013, selling an estimated $110M.
  • UBS's ten largest holdings make up 13% of its $107B portfolio in Q4 2013.
  • UBS opened 1,148 new positions and closed 1,123 in Q4 2013.
  • UBS's portfolio value rose 9.4% quarter-over-quarter to $107B.

Based on UBS's 13F filing for Q4 2013, filed 14 Feb 2014.