Dark
Light
System
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
101 ALIBABA GROUP HLDG LTD 1,963,000 156,117 0.18%
102 UNION PAC CORP 1,783,196 155,584 0.18%
103 RAYTHEON CO 1,139,222 154,877 0.18%
104 BROADCOM LTD 984,988 153,067 0.17%
105 WALGREENS BOOTS ALLIANCE INC 1,830,084 152,391 0.17%
106 LAUDER ESTEE COS INC 1,642,072 149,461 0.17%
107 NIKE INC 2,654,978 146,555 0.17%
108 GILEAD SCIENCES INC 1,742,536 145,362 0.16%
109 MONDELEZ INTL INC 3,178,345 144,646 0.16%
110 TRAVELERS COMPANIES INC 1,201,927 143,077 0.16%
111 INGREDION INC 1,100,520 142,418 0.16%
112 VANGUARD SCOTTSDALE FDS 1,457,117 140,000 0.16%
113 ZIMMER BIOMET HLDGS INC 1,156,775 139,253 0.16%
114 PROCTER AND GAMBLE CO 1,643,878 139,187 0.16%
115 AMERICAN INTL GROUP INC 2,624,430 138,806 0.16%
116 HONEYWELL INTL INC 1,179,957 137,253 0.16%
117 EXPRESS SCRIPTS HLDG CO 1,809,842 137,186 0.16%
118 SALESFORCE COM INC 1,720,982 136,663 0.15%
119 ALPHABET INC 196,295 135,856 0.15%
120 TJX COS INC NEW 1,755,121 135,548 0.15%
121 MASTERCARD INCORPORATED 1,519,622 133,818 0.15%
122 DUKE ENERGY CORP NEW 1,551,122 133,071 0.15%
123 UNITED TECHNOLOGIES CORP 1,288,770 132,163 0.15%
124 SYNCHRONY FINL 5,207,788 131,653 0.15%
125 DANAHER CORP DEL 1,282,762 129,559 0.15%
126 VERISK ANALYTICS INC 1,589,727 128,895 0.15%
127 ALLERGAN PLC 550,418 127,196 0.14%
128 TRANSDIGM GROUP INC 475,461 125,374 0.14%
129 THERMO FISHER SCIENTIFIC INC 847,069 125,163 0.14%
130 COLGATE PALMOLIVE CO 1,696,813 124,207 0.14%
131 BERKSHIRE HATHAWAY INC DEL 852,432 123,424 0.14%
132 OCCIDENTAL PETE CORP DEL 1,622,777 122,617 0.14%
133 UNITED PARCEL SERVICE INC 1,116,414 120,260 0.14%
134 TEXAS INSTRS INC 1,914,689 119,955 0.14%
135 PHILIP MORRIS INTL INC 1,171,064 119,121 0.13%
136 NEXTERA ENERGY INC 910,133 118,681 0.13%
137 REYNOLDS AMERICAN INC 2,199,163 118,601 0.13%
138 COOPER COS INC 688,918 118,198 0.13%
139 PFIZER INC 3,356,302 118,175 0.13%
140 COSTCO WHSL CORP NEW 746,833 117,283 0.13%
141 UNION PAC CORP 1,339,455 116,867 0.13%
142 EOG RES INC 1,398,406 116,655 0.13%
143 BERKSHIRE HATHAWAY INC DEL 797,205 115,427 0.13%
144 ROSS STORES INC 2,033,797 115,296 0.13%
145 BANK AMER CORP 8,638,115 114,628 0.13%
146 NETEASE INC 590,930 114,179 0.13%
147 US BANCORP DEL 2,825,224 113,941 0.13%
148 CHUBB LIMITED 865,444 113,122 0.13%
149 MICROSOFT CORP 2,178,664 111,482 0.13%
150 LOCKHEED MARTIN CORP 444,713 110,364 0.12%
Page 3 of 193