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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 ($)
%
Options
Notes
9201 SCHWAB CHARLES CORP 1,020 26 0.00%
9202 VALERO ENERGY CORP NEW 502 26 0.00%
9203 EXCO RESOURCES INC 18,850 25 0.00%
9204 CTRIP COM INTL LTD 600 25 0.00%
9205 PENN WEST PETE LTD NEW 17,684 25 0.00%
9206 JOHNSON CTLS INTL PLC 566 25 0.00%
9207 AON PLC 228 25 0.00%
9208 NORFOLK SOUTHERN CORP 295 25 0.00%
9209 PPG INDS INC 240 25 0.00%
9210 INTUIT 221 25 0.00%
9211 GENESIS HEALTHCARE INC 13,800 24 0.00%
9212 LYONDELLBASELL INDUSTRIES N 325 24 0.00%
9213 HCA HEALTHCARE INC 312 24 0.00%
9214 EATON CORP PLC 397 24 0.00%
9215 ANADARKO PETR 450 24 0.00%
9216 ENBRIDGE INC 575 24 0.00%
9217 MANNKIND CORP. 20,647 24 0.00%
9218 PARKER DRILLING COMPANY 10,635 24 0.00%
9219 ZOETIS INC 516 24 0.00%
9220 CSX CORP 910 24 0.00%
9221 BROOKFIELD ASSET MGMT INC 722 24 0.00%
9222 S&P GLOBAL INC 224 24 0.00%
9223 SPECTRA ENERGY CORP 628 23 0.00%
9224 EDISON INTL 291 23 0.00%
9225 IONIS PHARMACEUTICALS INC 1,000 23 0.00%
9226 DST SYS INC DEL 199 23 0.00%
9227 INTERCONTINENTAL EXCHANGE IN 91 23 0.00%
9228 CME GROUP INC 235 23 0.00%
9229 58 COM INC 500 23 0.00%
9230 CBS CORP NEW 417 23 0.00%
9231 NVIDIA CORPORATION 483 23 0.00%
9232 STATE STR CORP 427 23 0.00%
9233 ARCHER DANIELS MIDLAND CO 504 22 0.00%
9234 HUMANA INC 125 22 0.00%
9235 DISCOVER FINL SVCS 410 22 0.00%
9236 VERTEX PHARMACEUTICALS INC 253 22 0.00%
9237 PROGRESSIVE CORP OHIO 650 22 0.00%
9238 APACHE CORP 395 22 0.00%
9239 LAUDER ESTEE COS INC 244 22 0.00%
9240 SHERWIN WILLIAMS CO 70 21 0.00%
9241 MEAD JOHNSON NUTRITION CO 231 21 0.00%
9242 SEMPRA ENERGY 187 21 0.00%
9243 YAMANA GOLD INC 4,100 21 0.00%
9244 AIR PRODS & CHEMS INC 150 21 0.00%
9245 QUNAR CAYMN ISLND ADR REP 3 CL B ORD 700 21 0.00%
9246 PUBLIC SVC ENTERPRISE GRP IN 459 21 0.00%
9247 TYCO INTL PLC SHS 489 21 0.00%
9248 CORNING INC 1,021 21 0.00%
9249 ALEXION PHARMACEUTICALS INC 182 21 0.00%
9250 CDN IMPERIAL BK COMM TORONTO 286 21 0.00%
Page 185 of 193
Restatement filing (0000861177-16-000037) filed in 2016.11.29
#
Name
Shares
Value ($)
%
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%
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