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
$201.3K
Companies
78
Total Filings
187
Lifetime Open-Market Net
-$231.2K
Charts
Trading activity, where the exposure sits, and each trade against the stock price.
DNE price and trades
Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.
Shares held
Shares owned after each reported transaction on this company (direct holdings as reported).
Open-market buying and selling
by monthDollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.
Exposure by company
latestOfficerDirector10% owner* stale (no filing in 3 yrs)
Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.
Filer Profile
Reported Address
BAHNHOFSTRASSE 45ZURICH, V8 CH 8001
Phone
(203) 719-5241
State of Incorporation
Switzerland
Related Filers
UBS Group AG — 7 joint filings, latest 2026-08-14
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses.
View filings on SEC EDGAR.
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 | $14.30 | $20.1K | $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 | $5.32 | $3.2K | $0 | 1 | 2014-03-17 |
| PFN | 10%+ Owner | 1,422 | $6.08 | $8.6K | $0 | 4 | 2014-02-26 |
| PTY | 10%+ Owner | 3,242 | $10.61 | $34.4K | $0 | 2 | 2014-02-26 |
| EVF | 10%+ Owner | 1,893 | $4.76 | $9.0K | $0 | 1 | 2014-02-26 |
| LEO | 10%+ Owner | 2,324 | $5.91 | $13.7K | $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 | $5.50 | $8.2K | $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 | $10.06 | $28.5K | $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 | $15.23 | $30.7K | $0 | 5 | 2013-10-22 |
| EVV | 10%+ Owner | 5,148 | $8.37 | $43.1K | $0 | 2 | 2013-06-21 |
| DNP | 10%+ Owner | 0 | $9.95 | $0 | $0 | 3 | 2012-12-27 |
| EFT | 0 | $10.43 | $0 | $0 | 1 | 2012-12-20 | |
| AMERICAN MUNICIPAL INCOME PORTFOLIO INC (XAA) Delisted | 10%+ Owner | 289 | — | — | $0 | 1 | 2012-11-06 |
| MFM | 0 | $5.17 | $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 |
| IMC | 10%+ Owner | 0 | $10.15 | $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 | $9.87 | $750 | $0 | 2 | 2012-06-08 |
| VPV | 10%+ Owner | 83 | $10.48 | $870 | $0 | 2 | 2012-06-08 |
| VMO | 10%+ Owner | 0 | $8.94 | $0 | $0 | 2 | 2012-06-08 |
| VCV | 10%+ Owner | 24 | $9.12 | $219 | $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 | $14.06 | $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 | $10.47 | $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 | $11.24 | $0 | $0 | 1 | 2011-11-10 | |
| NMP | 0 | $10.40 | $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 | $11.96 | $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 | $8.70 | $0 | $0 | 1 | 2011-04-11 | |
| NMT | 0 | $10.04 | $0 | $0 | 1 | 2011-03-10 | |
| BLACKROCK CREDIT ALLOCATION INCOME TRUST II, INC. (PSY) Delisted | 0 | $5.90 | $0 | $0 | 1 | 2011-02-09 | |
| NUVEEN INSURED CALIFORNIA PREMIUM INCOME MUNICIPAL FUND 2 IN (NCL) Delisted | 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 | $9.78 | $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 | $8.40 | $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 | $23.70 | $0 | $0 | 1 | 2010-05-10 | |
| NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NGK) Delisted | 0 | — | — | $0 | 1 | 2010-05-10 | |
| VLT | 0 | $8.78 | $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 5 of 19
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 |
|---|---|---|---|---|---|
| 2013-10-08 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −38 | $0 | EDGAR |
| 2013-09-13 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −59 | $0 | EDGAR |
| 2013-09-11 | BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | Other (J) | −87 | $0 | EDGAR |
| 2013-09-10 | BLACKROCK FLORIDA MUNICIPAL 2020 TERM TRUST (BFO) Delisted | Other (J) | −43 | $0 | EDGAR |
| 2013-09-04 | LEO | Other (J) | −84 | $0 | EDGAR |
| 2013-09-03 | LEO | Other (J) | −93 | $0 | EDGAR |
| 2013-09-03 | BNY MELLON MUNICIPAL INCOME, INC. (DMF) Delisted | Other (J) | −176 | $0 | EDGAR |
| 2013-09-03 | DSM | Other (J) | −96 | $0 | EDGAR |
| 2013-08-30 | DSM | Other (J) | −113 | $0 | EDGAR |
| 2013-08-30 | LEO | Other (J) | −124 | $0 | EDGAR |
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.