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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
51 POWERSHARES ETF TR II 1,054,639 19,405 0.02% PRN
52 KEYW HLDG CORP 21,140,000 18,993 0.02% PRN
53 EMERGENT BIOSOLUTIONS INC NOTE 2.875 1/1 16,321,000 18,498 0.02% PRN
54 LEXICON PHARMACEUTICALS INC 8,905,000 16,618 0.02% PRN
55 LIBERTY MEDIA CORP 24,271,000 14,310 0.02% PRN
56 ISHARES 7-10 YEAR TREASURY BOND ETF 115,521 13,050 0.01% PRN
57 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 139,148 11,784 0.01% PRN
58 SUNPOWER CORP SR CV DEB0.75 18 11,869,000 11,287 0.01% PRN
59 POWERSHARES ETF TR II 350,761 9,309 0.01% PRN
60 LIBERTY MEDIA CORP 14,800,000 7,659 0.01% PRN
61 ISHARES TR 60,000 6,909 0.01% PRN
62 VANGUARD MUN BD FDS 120,326 6,341 0.01% PRN
63 ING GROEP N V 6,650,000 6,081 0.01% PRN
64 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 66,303 5,615 0.01% PRN
65 JEFFERIES GROUP INC NEW SR DB CV3.875 29 5,400,000 5,453 0.01% PRN
66 ISHARES TR 49,739 4,953 0.01% PRN
67 INTNED 6 PERP C 5,200,000 4,888 0.01% PRN
68 ISHARES TR 43,480 4,781 0.01% PRN
69 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 4,750,000 4,763 0.01% PRN
70 WHITING PETE CORP NEW 5,951,000 4,708 0.01% PRN
71 MICRON TECHNOLOGY INC SR SB CV NT 3 43 6,000,000 4,590 0.01% PRN
72 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 53,540 4,534 0.01% PRN
73 ISHARES TR 163,706 4,296 0.00% PRN
74 LLOYDS BANKING GROUP PLC 4,200,000 4,106 0.00% PRN
75 ISHARES TR 32,627 3,807 0.00% PRN
76 ISHARES TR 28,634 3,223 0.00% PRN
77 ARES CAP CORP 2,850,000 2,974 0.00% PRN
78 ROYAL BK OF SCOTLAND PLC 3,055,000 2,795 0.00% PRN
79 CTRIP COM INTL LTD 2,000,000 2,159 0.00% PRN
80 PROSPECT CAPITAL CORPORATION 2,050,000 2,053 0.00% PRN
81 ARES CAP CORP 1,950,000 1,991 0.00% PRN
82 ISHARES U S ETF TR INT RATE HEDGED HIGH YIELD BD ETF 23,475 1,989 0.00% PRN
83 ISHARES TR 17,047 1,875 0.00% PRN
84 ISHARES TR 14,000 1,718 0.00% PRN
85 ISHARES TR 30,660 1,618 0.00% PRN
86 ROYAL BK OF SCOTLAND PLC 1,350,000 1,235 0.00% PRN
87 PRICELINE GRP INC SR CONV NT0.9 21 837,000 847 0.00% PRN
88 WELLS FARGO & CO NEW 640 831 0.00% PRN
89 INTNED 6 PERP C 800,000 752 0.00% PRN
90 CTRIP COM INTL LTD 605,000 739 0.00% PRN
91 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 8,050 682 0.00% PRN
92 CEMEX SAB DE CV NOTE 3.750 3/1 600,000 612 0.00% PRN
93 PROSPECT CAPITAL CORPORATION 500,000 507 0.00% PRN
94 LIBERTY INTERACTIVE LLC 433,000 477 0.00% PRN
95 QIHOO 360 TECHNOLOGY CO LTD 475,000 471 0.00% PRN
96 LIBERTY MEDIA CORP DELAWARE 460,000 457 0.00% PRN
97 CTRIP COM INTL LTD 370,000 452 0.00% PRN
98 ROYAL BK OF SCOTLAND PLC 475,000 435 0.00% PRN
99 CORNERSTONE ONDEMAND INC 420,000 431 0.00% PRN
100 MICRON TECHNOLOGY INC 295,000 426 0.00% PRN
Page 2 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