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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 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
Restatement filing (0000861177-16-000037) filed in 2016.11.29
#
Name
Shares
Value ($)
%
Options
Notes
9501 XCEL ENERGY INC 14,948 669 0.00%
9502 XCEL ENERGY INC 980,713 43,916 0.05%
9503 XCEL ENERGY INC 103,340 4,628 0.01%
9504 XCEL ENERGY INC 11,123 498 0.00%
9505 XCERRA CORP 25,496 147 0.00%
9506 XENCOR INC COM 14,800 281 0.00%
9507 XENIA HOTELS & RESORTS INC COM 19,379 325 0.00%
9508 XENIA HOTELS & RESORTS INC COM 130,789 2,195 0.00%
9509 XENIA HOTELS & RESORTS INC COM 21,790 366 0.00%
9510 XENOPORT INC 51,698 364 0.00%
9511 XEROX CORP 678 6 0.00%
9512 XEROX CORP 1,827,384 17,342 0.02%
9513 XEROX CORP 77,871 739 0.00%
9514 XEROX CORP 356,389 3,382 0.00%
9515 XEROX CORP 22,248 211 0.00%
9516 XEROX CORP 204,599 1,942 0.00%
9517 XEROX CORP 1,519,927 14,424 0.02%
9518 XEROX CORP 157,047 1,490 0.00%
9519 XEROX CORP 13,300 126 0.00%
9520 XILINX INC 460,576 21,246 0.02%
9521 XILINX INC 5,162 238 0.00%
9522 XILINX INC 150,462 6,941 0.01%
9523 XILINX INC 36,150 1,668 0.00%
9524 XILINX INC 15,263 704 0.00%
9525 XILINX INC 34,593 1,596 0.00%
9526 XILINX INC 3,500 161 0.00%
9527 XILINX INC 50,000 2,307 0.00%
9528 XILINX INC 248 11 0.00%
9529 XILINX INC SR NT CV2.625 17 23,360,000 37,346 0.04% PRN
9530 XILINX INC SR NT CV2.625 17 257,000 411 0.00% PRN
9531 XL GROUP PLC 8,157 272 0.00%
9532 XL GROUP PLC 449,600 14,976 0.02%
9533 XL GROUP PLC 233 8 0.00%
9534 XL GROUP PLC 23,155 771 0.00%
9535 XL GROUP PLC 559,387 18,633 0.02%
9536 XL GROUP PLC 367 12 0.00%
9537 XL GROUP PLC 7,555 252 0.00%
9538 XL GROUP PLC 164,695 5,486 0.01%
9539 XL GROUP PLC 39,493 1,316 0.00%
9540 XL GROUP PLC 54,234 1,807 0.00%
9541 XO GROUP INC 22,198 387 0.00%
9542 XPO LOGISTICS INC 11,591 304 0.00%
9543 XPO LOGISTICS INC 7,658 201 0.00%
9544 XPO LOGISTICS INC 51,846 1,361 0.00%
9545 XYLEM INC 43,279 1,932 0.00%
9546 XYLEM INC 4,475 200 0.00%
9547 XYLEM INC 75,708 3,380 0.00%
9548 XYLEM INC 25,272 1,128 0.00%
9549 XYLEM INC 257 11 0.00%
9550 XYLEM INC 3,000 134 0.00%
Page 191 of 193