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 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
101 MICRON TECHNOLOGY INC 295,000 426 0.00% PRN
102 Royal Gold Inc 396,000 425 0.00% PRN
103 MEDICINES CO SR GLBL CV NT 22 353,000 419 0.00% PRN
104 VEREIT Inc 416,000 413 0.00% PRN
105 XILINX INC SR NT CV2.625 17 257,000 411 0.00% PRN
106 CITRIX SYS INC 366,000 411 0.00% PRN
107 PDL BIOPHARMA INC 430,000 407 0.00% PRN
108 MERCADOLIBRE INC 319,000 401 0.00% PRN
109 YANDEX NV 430,000 400 0.00% PRN
110 MICRON TECHNOLOGY INC 268,000 378 0.00% PRN
111 STARWOOD PPTY TR INC 360,000 374 0.00% PRN
112 ISHARES TR 3,263 372 0.00% PRN
113 TAL ED GROUP 146,000 347 0.00% PRN
114 VERINT SYS INC 1.5 06/01/2021 375,000 343 0.00% PRN
115 ACORDA THERAPEUTICS INC 378,000 331 0.00% PRN
116 NXP SEMICONDUCTORS N V 300,000 326 0.00% PRN
117 INTEL CORP JR SB CONV DB 39 190,000 308 0.00% PRN
118 POWERSHARES ETF TR II 10,066 298 0.00% PRN
119 TAKE-TWO INTERACTIVE SOFTWARE SR GLBL CV NT 18 160,000 285 0.00% PRN
120 YY Inc. 273,000 268 0.00% PRN
121 SINA CORP 269,000 265 0.00% PRN
122 COBALT INTL ENERGY INC 692,000 262 0.00% PRN
123 ICONIX BRAND GROUP INC 321,000 261 0.00% PRN
124 SOUFUN HLDGS LTD 250,000 245 0.00% PRN
125 Prospect Capital Corp 230,000 231 0.00% PRN
126 SEACOR HOLDINGS INC 288,000 231 0.00% PRN
127 ING GROEP N V 250,000 229 0.00% PRN
128 WEBMD HEALTH CORP 205,000 226 0.00% PRN
129 VIPSHOP HLDGS LTD 226,000 223 0.00% PRN
130 ISHARES TR 1,791 220 0.00% PRN
131 HEARTWARE INTL INC 218,000 216 0.00% PRN
132 PROOFPOINT INC SR CV BD 0.75 20 200,000 214 0.00% PRN
133 TIVO INC 212,000 207 0.00% PRN
134 ISHARES TR 1,819 206 0.00% PRN
135 EMERGENT BIOSOLUTIONS INC NOTE 2.875 1/1 179,000 203 0.00% PRN
136 ISIS PHARMACEUTICALS INC DEL SR CONV NT 1 21 273,000 193 0.00% PRN
137 CARDTRONICS INC NOTE 1.00012/0 184,000 187 0.00% PRN
138 KEYW HLDG CORP 200,000 180 0.00% PRN
139 LEXICON PHARMACEUTICALS INC 95,000 177 0.00% PRN
140 LIBERTY MEDIA CORP 229,000 135 0.00% PRN
141 SUNPOWER CORP SR CV DEB0.75 18 131,000 125 0.00% PRN
142 WHITING PETE CORP NEW 49,000 39 0.00% PRN
143 APPLE INC 10,811,714 1,033,600 1.17%
144 MICROSOFT CORP 17,061,270 873,025 0.99%
145 JOHNSON & JOHNSON 5,072,841 615,336 0.70%
146 FACEBOOK INC 5,241,498 598,998 0.68%
147 EXXON MOBIL CORP 6,357,667 595,968 0.67%
148 AMAZON COM INC 811,471 580,705 0.66%
149 ALPHABET INC 728,136 503,943 0.57%
150 ALPHABET INC 707,639 497,845 0.56%
Page 3 of 193