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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
9501 SPDR SERIES TRUST 1,000,110 57,166 0.06% PRN
9502 STARWOOD PPTY TR INC 44,090,000 45,843 0.05% PRN
9503 Royal Gold Inc 42,314,000 45,434 0.05% PRN
9504 Spirit Realty Capital Inc 40,194,000 44,953 0.05% PRN
9505 LIBERTY MEDIA CORP DELAWARE 44,640,000 44,360 0.05% PRN
9506 VEREIT Inc 44,484,000 44,213 0.05% PRN
9507 MERCADOLIBRE INC 32,631,000 41,019 0.05% PRN
9508 ISHARES TR 333,047 40,875 0.05% PRN
9509 CTRIP COM INTL LTD 38,475,000 40,603 0.05% PRN
9510 CITRIX SYS INC 35,834,000 40,198 0.05% PRN
9511 NXP SEMICONDUCTORS N V 35,700,000 38,750 0.04% PRN
9512 MICRON TECHNOLOGY INC 26,505,000 38,315 0.04% PRN
9513 LIBERTY INTERACTIVE LLC 34,417,000 37,941 0.04% PRN
9514 MEDICINES CO SR GLBL CV NT 22 31,812,000 37,750 0.04% PRN
9515 XILINX INC SR NT CV2.625 17 23,360,000 37,346 0.04% PRN
9516 MICRON TECHNOLOGY INC 24,182,000 34,068 0.04% PRN
9517 ISHARES TR 294,473 33,909 0.04% PRN
9518 ISHARES 20 YEAR TREASURY BOND ETF 241,056 33,483 0.04% PRN
9519 PDL BIOPHARMA INC 35,270,000 33,352 0.04% PRN
9520 ACORDA THERAPEUTICS INC 37,732,000 33,017 0.04% PRN
9521 VERINT SYS INC 1.5 06/01/2021 35,175,000 32,145 0.04% PRN
9522 VANGUARD MORTG-BACK SEC ETF 575,240 30,977 0.04% PRN
9523 TAL ED GROUP 12,804,000 30,419 0.03% PRN
9524 Prospect Capital Corp 27,570,000 27,643 0.03% PRN
9525 TAKE-TWO INTERACTIVE SOFTWARE SR GLBL CV NT 18 15,240,000 27,179 0.03% PRN
9526 ICONIX BRAND GROUP INC 32,249,000 26,202 0.03% PRN
9527 SOUFUN HLDGS LTD 26,150,000 25,652 0.03% PRN
9528 SINA CORP 25,831,000 25,441 0.03% PRN
9529 CARDTRONICS INC NOTE 1.00012/0 24,631,000 25,016 0.03% PRN
9530 CORNERSTONE ONDEMAND INC 24,255,000 24,876 0.03% PRN
9531 WEBMD HEALTH CORP 22,295,000 24,538 0.03% PRN
9532 QIHOO 360 TECHNOLOGY CO LTD 24,625,000 24,427 0.03% PRN
9533 SPDR SER TR 479,352 24,250 0.03% PRN
9534 VIPSHOP HLDGS LTD 24,424,000 24,134 0.03% PRN
9535 YY Inc. 23,727,000 23,253 0.03% PRN
9536 ISHARES TR 183,090 22,471 0.03% PRN
9537 COBALT INTL ENERGY INC 58,408,000 22,080 0.02% PRN
9538 HEARTWARE INTL INC 21,832,000 21,614 0.02% PRN
9539 INTEGRATED DEVICE TECHNOLOGY 22,000,000 21,435 0.02% PRN
9540 QIHOO 360 TECHNOLOGY CO LTD 21,700,000 21,359 0.02% PRN
9541 SEACOR HOLDINGS INC 26,582,000 21,354 0.02% PRN
9542 TIVO INC 21,288,000 20,809 0.02% PRN
9543 PROOFPOINT INC SR CV BD 0.75 20 19,300,000 20,677 0.02% PRN
9544 ISIS PHARMACEUTICALS INC DEL SR CONV NT 1 21 27,727,000 19,575 0.02% PRN
9545 POWERSHARES ETF TR II 1,054,639 19,405 0.02% PRN
9546 KEYW HLDG CORP 21,140,000 18,993 0.02% PRN
9547 EMERGENT BIOSOLUTIONS INC NOTE 2.875 1/1 16,321,000 18,498 0.02% PRN
9548 LEXICON PHARMACEUTICALS INC 8,905,000 16,618 0.02% PRN
9549 LIBERTY MEDIA CORP 24,271,000 14,310 0.02% PRN
9550 ISHARES 7-10 YEAR TREASURY BOND ETF 115,521 13,050 0.01% PRN
Page 191 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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