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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
1 PRICELINE GRP INC SR CONV NT0.9 21 91,015,000 92,123 0.10% PRN
2 WELLS FARGO & CO NEW 66,058 85,823 0.10% PRN
3 INTEL CORP JR SB CONV DB 39 40,700,000 65,957 0.07% PRN
4 ON SEMICONDUCTOR CORP 72,000,000 64,806 0.07% PRN
5 CEMEX SAB DE CV NOTE 3.750 3/1 57,160,000 58,277 0.07% PRN
6 YANDEX NV 62,032,000 57,749 0.07% PRN
7 SPDR SERIES TRUST 1,000,110 57,166 0.06% PRN
8 STARWOOD PPTY TR INC 44,090,000 45,843 0.05% PRN
9 Royal Gold Inc 42,314,000 45,434 0.05% PRN
10 Spirit Realty Capital Inc 40,194,000 44,953 0.05% PRN
11 LIBERTY MEDIA CORP DELAWARE 44,640,000 44,360 0.05% PRN
12 VEREIT Inc 44,484,000 44,213 0.05% PRN
13 MERCADOLIBRE INC 32,631,000 41,019 0.05% PRN
14 ISHARES TR 333,047 40,875 0.05% PRN
15 CTRIP COM INTL LTD 38,475,000 40,603 0.05% PRN
16 CITRIX SYS INC 35,834,000 40,198 0.05% PRN
17 NXP SEMICONDUCTORS N V 35,700,000 38,750 0.04% PRN
18 MICRON TECHNOLOGY INC 26,505,000 38,315 0.04% PRN
19 LIBERTY INTERACTIVE LLC 34,417,000 37,941 0.04% PRN
20 MEDICINES CO SR GLBL CV NT 22 31,812,000 37,750 0.04% PRN
21 XILINX INC SR NT CV2.625 17 23,360,000 37,346 0.04% PRN
22 MICRON TECHNOLOGY INC 24,182,000 34,068 0.04% PRN
23 ISHARES TR 294,473 33,909 0.04% PRN
24 ISHARES 20 YEAR TREASURY BOND ETF 241,056 33,483 0.04% PRN
25 PDL BIOPHARMA INC 35,270,000 33,352 0.04% PRN
26 ACORDA THERAPEUTICS INC 37,732,000 33,017 0.04% PRN
27 VERINT SYS INC 1.5 06/01/2021 35,175,000 32,145 0.04% PRN
28 VANGUARD MORTG-BACK SEC ETF 575,240 30,977 0.04% PRN
29 TAL ED GROUP 12,804,000 30,419 0.03% PRN
30 Prospect Capital Corp 27,570,000 27,643 0.03% PRN
31 TAKE-TWO INTERACTIVE SOFTWARE SR GLBL CV NT 18 15,240,000 27,179 0.03% PRN
32 ICONIX BRAND GROUP INC 32,249,000 26,202 0.03% PRN
33 SOUFUN HLDGS LTD 26,150,000 25,652 0.03% PRN
34 SINA CORP 25,831,000 25,441 0.03% PRN
35 CARDTRONICS INC NOTE 1.00012/0 24,631,000 25,016 0.03% PRN
36 CORNERSTONE ONDEMAND INC 24,255,000 24,876 0.03% PRN
37 WEBMD HEALTH CORP 22,295,000 24,538 0.03% PRN
38 QIHOO 360 TECHNOLOGY CO LTD 24,625,000 24,427 0.03% PRN
39 SPDR SER TR 479,352 24,250 0.03% PRN
40 VIPSHOP HLDGS LTD 24,424,000 24,134 0.03% PRN
41 YY Inc. 23,727,000 23,253 0.03% PRN
42 ISHARES TR 183,090 22,471 0.03% PRN
43 COBALT INTL ENERGY INC 58,408,000 22,080 0.02% PRN
44 HEARTWARE INTL INC 21,832,000 21,614 0.02% PRN
45 INTEGRATED DEVICE TECHNOLOGY 22,000,000 21,435 0.02% PRN
46 QIHOO 360 TECHNOLOGY CO LTD 21,700,000 21,359 0.02% PRN
47 SEACOR HOLDINGS INC 26,582,000 21,354 0.02% PRN
48 TIVO INC 21,288,000 20,809 0.02% PRN
49 PROOFPOINT INC SR CV BD 0.75 20 19,300,000 20,677 0.02% PRN
50 ISIS PHARMACEUTICALS INC DEL SR CONV NT 1 21 27,727,000 19,575 0.02% PRN
Page 1 of 193
Restatement filing (0000861177-16-000037) filed in 2016.11.29
#
Name
Shares
Value ($)
%
Options
Notes
51 DISNEY WALT CO 2,563,677 250,779 0.28%
52 CHEVRON CORP NEW 2,351,180 246,474 0.28%
53 COMCAST CORP NEW 3,727,790 243,015 0.27%
54 ORACLE CORP 5,800,667 237,421 0.27%
55 ECOLAB INC 1,962,731 232,780 0.26%
56 TJX COS INC NEW 2,896,508 223,697 0.25%
57 STARBUCKS CORP 3,908,848 223,273 0.25%
58 ALTRIA GROUP INC 3,183,927 219,564 0.25%
59 ABBVIE INC 3,450,452 213,617 0.24%
60 SIMON PPTY GROUP INC NEW 961,170 208,478 0.24%
61 CVS HEALTH CORP 2,166,942 207,463 0.23%
62 ALLERGAN PLC 895,814 207,014 0.23%
63 DANAHER CORP DEL 2,020,276 204,048 0.23%
64 WAL-MART STORES INC 2,723,753 198,888 0.22%
65 MCDONALDS CORP 1,637,095 197,008 0.22%
66 MCDONALDS CORP 1,635,838 196,857 0.22%
67 MASTERCARD INCORPORATED 2,234,808 196,797 0.22%
68 SALESFORCE COM INC 2,456,285 195,054 0.22%
69 CVS HEALTH CORP 2,033,655 194,702 0.22%
70 AT&T INC 4,458,195 192,639 0.22%
71 BRISTOL MYERS SQUIBB CO 2,611,111 192,047 0.22%
72 LILLY ELI & CO 2,413,529 190,065 0.21%
73 GENERAL ELECTRIC CO 6,025,211 189,674 0.21%
74 CELGENE CORP 1,914,010 188,779 0.21%
75 CITIGROUPINC 4,447,909 188,547 0.21%
76 VISA INC 2,536,013 188,096 0.21%
77 ACCENTURE PLC IRELAND 1,641,055 185,915 0.21%
78 AMAZON COM INC 258,669 185,109 0.21%
79 MEDTRONIC PLC 2,093,295 181,635 0.21%
80 AMGEN INC 1,185,698 180,404 0.20%
81 ALPHABET INC 260,220 180,098 0.20%
82 ACCENTURE PLC IRELAND 1,588,249 179,933 0.20%
83 BIOGEN INC 735,920 177,960 0.20%
84 3M CO 1,015,711 177,871 0.20%
85 STARBUCKS CORP 3,084,930 176,211 0.20%
86 GILEAD SCIENCES INC 2,106,653 175,737 0.20%
87 AETNA INC NEW 1,431,569 174,838 0.20%
88 CHUBB LIMITED 1,283,639 167,784 0.19%
89 WELLS FARGO & CO NEW 3,529,287 167,041 0.19%
90 BROADCOM LTD 1,062,143 165,057 0.19%
91 SHERWIN WILLIAMS CO 561,331 164,846 0.19%
92 SCHLUMBERGER LTD 2,075,656 164,143 0.19%
93 MONDELEZ INTL INC 3,581,659 163,001 0.18%
94 COGNIZANT TECHNOLOGY SOLUTIO 2,830,807 162,035 0.18%
95 HONEYWELL INTL INC 1,387,637 161,410 0.18%
96 LOWES COS INC 2,013,973 159,446 0.18%
97 JOHNSON & JOHNSON 1,306,145 158,435 0.18%
98 COMCAST CORP NEW 2,426,654 158,194 0.18%
99 BOEING CO 1,215,515 157,859 0.18%
100 QUALCOMM INC 2,918,542 156,346 0.18%
Page 2 of 193