UBS AG
CIK 1114446 · last filed 2014-11-13
UBS AG is a corporate insider who has filed 187 SEC Form 4 insider transactions across 78 companies since 2007. The most recent filing, for BKK, was dated Nov 13, 2014. Across all open-market trades the lifetime net is −$231.2K, making them a net seller over the disclosed history. Current disclosed insider exposure totals $217.1K across reported positions.
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$217.1K
Companies
78
Total Filings
187
Lifetime Open-Market Net
-$231.2K
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | 10%+ Owner | 1,078 | — | — | $0 | 25 | 2014-11-13 |
| BLACKROCK FLORIDA MUNICIPAL 2020 TERM TRUST (BFO) Delisted | 10%+ Owner | 0 | — | — | $0 | 8 | 2014-11-13 |
| NCZ | 10%+ Owner | 1,409 | $15.00 | $21.1K | $0 | 2 | 2014-10-27 |
| PIONEER HIGH INCOME TRUST (PHT) Delisted | 10%+ Owner | 0 | $8.32 | $0 | $0 | 3 | 2014-03-19 |
| FTF | 10%+ Owner | 593 | $5.76 | $3.4K | $0 | 1 | 2014-03-17 |
| PFN | 10%+ Owner | 1,422 | $7.02 | $10.0K | $0 | 4 | 2014-02-26 |
| PTY | 10%+ Owner | 3,242 | $11.73 | $38.0K | $0 | 2 | 2014-02-26 |
| EVF | 10%+ Owner | 1,893 | $4.95 | $9.4K | $0 | 1 | 2014-02-26 |
| LEO | 10%+ Owner | 2,324 | $6.19 | $14.4K | $0 | 8 | 2014-01-08 |
| BNY MELLON MUNICIPAL INCOME, INC. (DMF) Delisted | 10%+ Owner | 825 | $6.93 | $5.7K | $0 | 3 | 2014-01-07 |
| DSM | 10%+ Owner | 1,487 | $5.89 | $8.8K | $0 | 5 | 2014-01-07 |
| Pioneer Floating Rate Trust (PHD) Delisted | 10%+ Owner | 0 | $9.95 | $0 | $0 | 2 | 2013-12-09 |
| EFR | 10%+ Owner | 2,831 | $10.56 | $29.9K | $0 | 1 | 2013-11-13 |
| ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND (AKP) Delisted | 10%+ Owner | 351 | — | — | $0 | 1 | 2013-11-12 |
| NCV | 10%+ Owner | 2,014 | $16.60 | $33.4K | $0 | 5 | 2013-10-22 |
| EVV | 10%+ Owner | 5,148 | $9.08 | $46.7K | $0 | 2 | 2013-06-21 |
| DNP | 10%+ Owner | 0 | $10.98 | $0 | $0 | 3 | 2012-12-27 |
| EFT | 0 | $10.67 | $0 | $0 | 1 | 2012-12-20 | |
| AMERICAN MUNICIPAL INCOME PORTFOLIO INC (XAA) Delisted | 10%+ Owner | 289 | — | — | $0 | 1 | 2012-11-06 |
| MFM | 0 | $5.37 | $0 | $0 | 1 | 2012-09-19 | |
| PIONEER MUNICIPAL HIGH INCOME ADVANTAGE FUND, INC. (MAV) Delisted | 10%+ Owner | 2,286 | $8.08 | $18.5K | $0 | 1 | 2012-07-16 |
| BLACKROCK NEW JERSEY MUNICIPAL BOND TRUST (BLJ) Delisted | 0 | — | — | $0 | 1 | 2012-07-16 | |
| BLACKROCK PENNSYLVANIA STRATEGIC MUNICIPAL TRUST (BPS) Delisted | 0 | — | — | $0 | 1 | 2012-07-16 | |
| BLACKROCK MASSACHUSETTS TAX-EXEMPT TRUST (MHE) Delisted | 0 | $13.64 | $0 | $0 | 1 | 2012-07-09 | |
| Invesco Van Kampen Trust for Value Municipals (VIM) Delisted | 10%+ Owner | 0 | — | — | $0 | 2 | 2012-07-09 |
| Invesco New York Quality Municipal Securities (IQN) Delisted | 10%+ Owner | 0 | — | — | $0 | 2 | 2012-07-09 |
| Invesco Van Kampen Ohio Quality Municipal Trust (VOQ) Delisted | 10%+ Owner | 0 | — | — | $0 | 2 | 2012-07-09 |
| Invesco California Municipal Income Trust (IIC) Delisted | 10%+ Owner | 0 | — | — | $0 | 2 | 2012-07-09 |
| Invesco Value Municipal Bond Trust (IMC) Delisted | 10%+ Owner | 0 | — | — | $0 | 2 | 2012-07-09 |
| Invesco Van Kampen Select Sector Municipal Trust (VKL) Delisted | 10%+ Owner | 6 | — | — | $0 | 2 | 2012-06-08 |
| VTN | 10%+ Owner | 76 | $11.01 | $837 | $0 | 2 | 2012-06-08 |
| VPV | 10%+ Owner | 83 | $10.82 | $898 | $0 | 2 | 2012-06-08 |
| VMO | 10%+ Owner | 0 | $9.68 | $0 | $0 | 2 | 2012-06-08 |
| VCV | 10%+ Owner | 24 | $10.59 | $254 | $0 | 2 | 2012-06-08 |
| Invesco Van Kampen Massachusetts Value Municipal Income Trust (VMV) Delisted | 10%+ Owner | 0 | — | — | $0 | 2 | 2012-06-08 |
| BNJ | 0 | $15.42 | $0 | $0 | 1 | 2012-05-09 | |
| BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST (BFZ) Delisted | 0 | $11.11 | $0 | $0 | 1 | 2012-05-09 | |
| BLACKROCK INVESTMENT QUALITY MUNICIPAL TRUST, INC. (BKN) Delisted | 0 | $11.54 | $0 | $0 | 1 | 2012-02-09 | |
| BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND (MFT) Delisted | 0 | $14.54 | $0 | $0 | 1 | 2012-02-09 | |
| BLACKROCK MUNIVEST FUND, INC. (MVF) Delisted | 0 | $7.07 | $0 | $0 | 1 | 2012-02-09 | |
| BLACKROCK MUNICIPAL INCOME QUALITY TRUST (BYM) Delisted | 0 | $11.05 | $0 | $0 | 1 | 2012-02-09 | |
| BLACKROCK MUNICIPAL INCOME INVESTMENT TRUST (BBF) Delisted | 0 | $14.42 | $0 | $0 | 2 | 2012-02-09 | |
| Saba Capital Income & Opportunities Fund (PPR) Delisted | 0 | $4.67 | $0 | $0 | 1 | 2012-01-10 | |
| FMN | 0 | $11.11 | $0 | $0 | 1 | 2012-01-05 | |
| BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST (BSE) Delisted | 0 | $14.79 | $0 | $0 | 1 | 2011-11-10 | |
| NZF | 0 | $12.33 | $0 | $0 | 1 | 2011-11-10 | |
| NMP | 0 | $10.30 | $0 | $0 | 1 | 2011-11-10 | |
| NUVEEN OHIO QUALITY MUNICIPAL INCOME FUND (NUO) Delisted | 0 | $12.66 | $0 | $0 | 1 | 2011-11-10 | |
| NUVEEN MICHIGAN QUALITY MUNICIPAL INCOME FUND (NUM) Delisted | 0 | — | — | $0 | 1 | 2011-11-10 | |
| BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND (MFL) Delisted | 0 | $11.84 | $0 | $0 | 1 | 2011-09-09 | |
| BLACKROCK MUNIYIELD FUND, INC. (MYD) Delisted | 0 | $10.77 | $0 | $0 | 1 | 2011-09-09 | |
| BLACKROCK MUNIYIELD INVESTMENT FUND (MYF) Delisted | 0 | $14.32 | $0 | $0 | 1 | 2011-07-08 | |
| BLACKROCK MUNIYIELD CALIFORNIA FUND, INC. (MYC) Delisted | 148 | $12.50 | $1.9K | $0 | 1 | 2011-07-08 | |
| BLACKROCK MUNIYIELD ARIZONA FUND, INC. (MZA) Delisted | 0 | $14.63 | $0 | $0 | 1 | 2011-07-08 | |
| BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND II, INC. (MYM) Delisted | 152 | — | — | $0 | 1 | 2011-06-10 | |
| NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND 3 (NVJ) Delisted | 0 | — | — | $0 | 1 | 2011-06-10 | |
| MIY | 0 | $12.11 | $0 | $0 | 1 | 2011-06-10 | |
| BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC. (MCA) Delisted | 199 | $12.51 | $2.5K | $0 | 1 | 2011-06-10 | |
| NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND (NXI) Delisted | 0 | — | — | $0 | 1 | 2011-05-10 | |
| NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NBJ) Delisted | 0 | — | — | $0 | 1 | 2011-05-10 | |
| NXE | 0 | $9.18 | $0 | $0 | 1 | 2011-04-11 | |
| NMT | 0 | $12.74 | $0 | $0 | 1 | 2011-03-10 | |
| BLACKROCK CREDIT ALLOCATION INCOME TRUST II, INC. (PSY) Delisted | 0 | $5.90 | $0 | $0 | 1 | 2011-02-09 | |
| NCL | 0 | $0.16 | $0 | $0 | 1 | 2011-02-09 | |
| BLACKROCK CREDIT ALLOCATION INCOME TRUST I, INC. (PSW) Delisted | 0 | — | — | $0 | 1 | 2011-01-10 | |
| BGT | 0 | $10.80 | $0 | $0 | 1 | 2011-01-10 | |
| Invesco Municipal Premium Income Trust (PIA) Delisted | 57 | — | — | $0 | 1 | 2010-07-12 | |
| BLACKROCK MUNIHOLDINGS NEW YORK QUALITY FUND, INC. (MHN) Delisted | 872 | $10.30 | $9.0K | $0 | 1 | 2010-07-12 | |
| ERC | 0 | $9.03 | $0 | $0 | 1 | 2010-07-12 | |
| Invesco Van Kampen Trust for Investment Grade New Jersey Municipals (VTJ) Delisted | 103 | — | — | $0 | 1 | 2010-07-12 | |
| DWS RREEF REAL ESTATE FUND, INC. (SRQ) Delisted | 0 | — | — | $0 | 1 | 2010-06-10 | |
| DWS RREEF REAL ESTATE FUND II, INC. (SRO) Delisted | 0 | — | — | $0 | 1 | 2010-06-10 | |
| DUNE ENERGY INC (DNE) Delisted | 10%+ Owner | 20,164,362 | — | — | -$249.2K | 16 | 2010-05-12 |
| NMB | 0 | $24.59 | $0 | $0 | 1 | 2010-05-10 | |
| NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NGK) Delisted | 0 | — | — | $0 | 1 | 2010-05-10 | |
| VLT | 0 | $10.02 | $0 | $0 | 1 | 2010-03-10 | |
| IGC Pharma, Inc. (IGC.WS) Delisted | 10%+ Owner | 30,332 | — | — | $17.2K | 11 | 2008-09-18 |
| O2DIESEL CORP (OTD) Delisted | 10%+ Owner | 8,263,922 | — | — | $810 | 1 | 2007-01-26 |
Recent Filings
187 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2014-11-13 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −37 | $0 | EDGAR |
| 2014-11-13 | BLACKROCK FLORIDA MUNICIPAL 2020 TERM TRUST (BFO) Delisted | Other (J) | −14 | $0 | EDGAR |
| 2014-11-12 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −35 | $0 | EDGAR |
| 2014-11-10 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −47 | $0 | EDGAR |
| 2014-10-27 | NCZ | Other (J) | +2 | $0 | EDGAR |
| 2014-03-19 | PIONEER HIGH INCOME TRUST (PHT) Delisted | Other (J) | −256 | $0 | EDGAR |
| 2014-03-17 | FTF | Sell (S) | −1 | $0 | EDGAR |
| 2014-03-17 | PIONEER HIGH INCOME TRUST (PHT) Delisted | Other (J) | −512 | $0 | EDGAR |
| 2014-03-04 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −183 | $0 | EDGAR |
| 2014-02-28 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −126 | $0 | EDGAR |
Showing 1–10 of 187
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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.