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Institutional Investment Manager
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC (CIK: 0000861177) incorporated in Delaware, located at One North Wacker Drive, Chicago, IL. Institutional holdings reported to the SEC.
Institutional Holdings (2016Q2)
Original 13F HR (0000861177-16-000033) filed in 2016.08.09
#
Name
Shares
Value ($)
%
Options
Notes
551 FACEBOOK INC 297,591 34,009 0.04%
552 LYONDELLBASELL INDUSTRIES N 455,952 33,932 0.04%
553 METLIFE INC 851,878 33,930 0.04%
554 ISHARES TR 294,473 33,909 0.04% PRN
555 AON PLC 308,389 33,685 0.04%
556 MCKESSON CORP 180,427 33,677 0.04%
557 ESSEX PPTY TR INC 147,192 33,573 0.04%
558 ST JUDE MED INC 429,417 33,495 0.04%
559 ISHARES 20 YEAR TREASURY BOND ETF 241,056 33,483 0.04% PRN
560 PDL BIOPHARMA INC NOTE 4.000 2/0 35,270,000 33,352 0.04% PRN
561 EOG RES INC 399,502 33,326 0.04%
562 HARTFORD FINL SVCS GROUP INC 748,202 33,205 0.04%
563 ANTHEM INC 252,782 33,200 0.04%
564 ACORDA THERAPEUTICS INC 37,732,000 33,017 0.04% PRN
565 PUBLIC STORAGE 129,061 32,987 0.04%
566 PEPSICO INC 310,300 32,873 0.04%
567 ISHARES TR 155,986 32,866 0.04%
568 BARD C R INC 139,530 32,812 0.04%
569 CATERPILLAR INC 432,751 32,807 0.04%
570 DISNEY WALT CO 335,053 32,775 0.04%
571 GOLDMAN SACHS GROUP INC 220,035 32,693 0.04%
572 EDWARDS LIFESCIENCES CORP 327,329 32,645 0.04%
573 APPLIED MATLS INC 1,359,680 32,592 0.04%
574 KELLOGG CO 398,971 32,576 0.04%
575 BECTON DICKINSON & CO 191,431 32,465 0.04%
576 MORGAN STANLEY 1,248,789 32,444 0.04%
577 JPMORGAN CHASE & CO 519,430 32,277 0.04%
578 CA INC 983,070 32,274 0.04%
579 APACHE CORP 579,022 32,234 0.04%
580 DANAHER CORP DEL 318,394 32,158 0.04%
581 NEWELL BRANDS INC 661,993 32,153 0.04%
582 VERINT SYS INC 1.5 06/01/2021 35,175,000 32,145 0.04% PRN
583 STATE STR CORP 595,295 32,098 0.04%
584 NEWMONT CORP 819,535 32,060 0.04%
585 PEPSICO INC 302,438 32,040 0.04%
586 TESLA INC 150,459 31,939 0.04%
587 AMERICAN EXPRESS CO 524,933 31,895 0.04%
588 AMPHENOL CORP NEW 555,881 31,869 0.04%
589 CBS CORP NEW 585,364 31,867 0.04%
590 INTUITIVE SURGICAL INC 48,076 31,798 0.04%
591 WESTERN DIGITAL CORP 671,583 31,739 0.04%
592 ALIBABA GROUP HLDG LTD 398,400 31,685 0.04%
593 SNAP ON INC 200,597 31,658 0.04%
594 HALLIBURTON CO 696,904 31,563 0.04%
595 V F CORP 512,787 31,531 0.04%
596 Ishares - Japan 2,738,361 31,491 0.04%
597 FIRST REP BK SAN FRANCISCO C 449,286 31,446 0.04%
598 CUMMINS INC 279,099 31,382 0.04%
599 MARATHON PETE CORP 826,061 31,357 0.04%
600 SMUCKER J M CO 205,002 31,244 0.04%
Page 12 of 193
Restatement filing (0000861177-16-000037) filed in 2016.11.29
#
Name
Shares
Value ($)
%
Options
Notes
1 APPLE INC 10,811,714 1,033,600 1.17%
2 MICROSOFT CORP 17,061,270 873,025 0.99%
3 JOHNSON & JOHNSON 5,072,841 615,336 0.70%
4 FACEBOOK INC 5,241,498 598,998 0.68%
5 EXXON MOBIL CORP 6,357,667 595,968 0.67%
6 AMAZON COM INC 811,471 580,705 0.66%
7 ALPHABET INC 728,136 503,943 0.57%
8 ALPHABET INC 707,639 497,845 0.56%
9 GENERAL ELECTRIC CO 15,805,840 497,568 0.56%
10 MICROSOFT CORP 8,737,631 447,105 0.51%
11 AMAZON COM INC 582,309 416,712 0.47%
12 FACEBOOK INC 3,613,177 412,914 0.47%
13 AT&T INC 9,490,216 410,072 0.46%
14 TAL ED GROUP 6,389,990 396,563 0.45%
15 WELLS FARGO CO NEW 8,142,807 385,399 0.44%
16 JOHNSON & JOHNSON 3,175,765 385,220 0.44%
17 JPMORGAN CHASE & CO 6,009,177 373,410 0.42%
18 CHEVRON CORP NEW 3,526,819 369,716 0.42%
19 PROCTER AND GAMBLE CO 4,299,743 364,059 0.41%
20 PFIZER INC 9,806,494 345,287 0.39%
21 ALPHABET INC 481,891 339,025 0.38%
22 PEPSICO INC 3,195,690 338,551 0.38%
23 GILEAD SCIENCES INC 3,996,101 333,355 0.38%
24 VISA INC 4,307,455 319,484 0.36%
25 MICROSOFT CORP 6,159,176 315,165 0.36%
26 HOME DEPOT INC 2,411,191 307,885 0.35%
27 ALIBABA GROUP HLDG LTD 3,800,561 302,259 0.34%
28 AMGEN INC 1,972,832 300,166 0.34%
29 INTEL CORP 8,924,830 292,734 0.33%
30 PEPSICO INC 2,759,382 292,329 0.33%
31 COCA COLA CO 6,396,696 289,962 0.33%
32 FACEBOOK INC 2,469,563 282,222 0.32%
33 ALPHABET INC 399,892 281,336 0.32%
34 CISCO SYS INC 9,747,736 279,663 0.32%
35 MERCK & CO INC 4,837,061 278,663 0.31%
36 JPMORGAN CHASE & CO 4,482,707 278,555 0.31%
37 BERKSHIRE HATHAWAY INC DEL 1,889,927 273,643 0.31%
38 INTERNATIONAL BUSINESS MACHS 1,800,020 273,207 0.31%
39 HOME DEPOT INC 2,121,595 270,906 0.31%
40 APPLE INC 2,793,186 267,029 0.30%
41 CELGENE CORP 2,694,546 265,763 0.30%
42 ALLERGAN PLC 1,147,548 265,187 0.30%
43 VERIZON COMMUNICATIONS INC 4,748,630 265,163 0.30%
44 UNITEDHEALTH GROUP INC 1,845,128 260,532 0.29%
45 PHILIP MORRIS INTL INC 2,533,425 257,700 0.29%
46 UNITEDHEALTH GROUP INC 1,814,362 256,188 0.29%
47 EXXON MOBIL CORP 2,731,486 256,049 0.29%
48 APPLE INC 2,670,673 255,316 0.29%
49 VERIZON COMMUNICATIONS INC 4,512,967 252,004 0.28%
50 BANK AMER CORP 18,900,499 250,810 0.28%
Page 1 of 193