UBS AG
CIK 1114446 · last filed 2014-11-13
"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
$390.7K
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 | 5,636 | $15.63 | $88.1K | $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 | $5.79 | $3.4K | $0 | 1 | 2014-03-17 |
| PFN | 10%+ Owner | 1,422 | $6.81 | $9.7K | $0 | 4 | 2014-02-26 |
| PTY | 10%+ Owner | 3,242 | $11.73 | $38.0K | $0 | 2 | 2014-02-26 |
| EVF | 10%+ Owner | 1,893 | $4.96 | $9.4K | $0 | 1 | 2014-02-26 |
| LEO | 10%+ Owner | 2,324 | $6.38 | $14.8K | $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 | $6.11 | $9.1K | $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 | $10.57 | $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 | 8,056 | $17.20 | $138.6K | $0 | 5 | 2013-10-22 |
| EVV | 10%+ Owner | 5,148 | $9.24 | $47.6K | $0 | 2 | 2013-06-21 |
| DNP | 10%+ Owner | 0 | $10.77 | $0 | $0 | 3 | 2012-12-27 |
| EFT | 0 | $10.78 | $0 | $0 | 1 | 2012-12-20 | |
| AMERICAN MUNICIPAL INCOME PORTFOLIO INC (XAA) Delisted | 10%+ Owner | 289 | — | — | $0 | 1 | 2012-11-06 |
| MFM | 0 | $5.50 | $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 | $11.30 | $859 | $0 | 2 | 2012-06-08 |
| VPV | 10%+ Owner | 83 | $11.37 | $944 | $0 | 2 | 2012-06-08 |
| VMO | 10%+ Owner | 0 | $9.75 | $0 | $0 | 2 | 2012-06-08 |
| VCV | 10%+ Owner | 24 | $10.66 | $256 | $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 | $15.21 | $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 | $11.26 | $0 | $0 | 1 | 2012-01-05 | |
| BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST (BSE) Delisted | 0 | $14.79 | $0 | $0 | 1 | 2011-11-10 | |
| Nuveen Municipal Credit Income Fund (NZFpC) Delisted | 0 | — | — | $0 | 1 | 2011-11-10 | |
| NMP | 0 | $10.24 | $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 (NVJpA) Delisted | 0 | — | — | $0 | 1 | 2011-06-10 | |
| MIY | 0 | $12.27 | $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 (NXIpD) Delisted | 0 | — | — | $0 | 1 | 2011-05-10 | |
| NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NBJpA) Delisted | 0 | — | — | $0 | 1 | 2011-05-10 | |
| NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND 3 (NXEpC) Delisted | 0 | — | — | $0 | 1 | 2011-04-11 | |
| NUVEEN MASSACHUSETTS QUALITY MUNICIPAL INCOME FUND (NMTpD) Delisted | 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 | $10.75 | $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 | $8.94 | $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 |
| NUVEEN MASSACHUSETTS DIVIDEND ADVANTAGE MUNICIPAL FUND (NMBpC) Delisted | 0 | — | — | $0 | 1 | 2010-05-10 | |
| NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NGKpC) Delisted | 0 | — | — | $0 | 1 | 2010-05-10 | |
| VLT | 0 | $10.46 | $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 · Page 2 of 19
187 filingsForm 4 transactions across all companies, newest first.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2014-02-26 | PFN | Buy (P) | +1 | $0 | EDGAR |
| 2014-02-26 | PTY | Buy (P) | +1 | $0 | EDGAR |
| 2014-02-26 | EVF | Buy (P) | +1 | $0 | EDGAR |
| 2014-02-04 | PFN | Buy (P) | +1 | $0 | EDGAR |
| 2014-01-22 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −101 | $0 | EDGAR |
| 2014-01-17 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −69 | $0 | EDGAR |
| 2014-01-10 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −51 | $0 | EDGAR |
| 2014-01-08 | BLACKROCK FLORIDA MUNICIPAL 2020 TERM TRUST (BFO) Delisted | Other (J) | −35 | $0 | EDGAR |
| 2014-01-08 | LEO | Other (J) | −82 | $0 | EDGAR |
| 2014-01-08 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −47 | $0 | EDGAR |
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.