UBS AG
10% Owner | SEC CIK: 0001114446
Comprehensive Trading Performance Summary
The investment footprint of UBS AG as disclosed via official SEC Form 4 filings provides a critical window into professional capital allocation strategies. By tracking this specific portfolio, investors can analyze how this individual moves capital across different boards and sectors. High-conviction moves by key stakeholders often serve as leading indicators for future market performance, as they reflect the intimate operational knowledge and fiduciary confidence of those closest to the company's decision-making process. Monitoring these strategic accumulation or exit patterns helps bridge the gap between institutional boardrooms and the retail investment community.
| Filing Date | Trade Date | Ticker | Company Name | Industry | Relationship | Type | Price | Qty | Total, $ | Owned After | Change, % |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014-03-17 23:41 | 2014-03-14 | FTF | FRANKLIN LTD DURATION INCOME TRUST | 10% owner | SELL | $0.00 | 1 | $0 | 593 | -0.2% | |
| 2014-02-27 05:21 | 2014-02-25 | EVF | Eaton Vance Senior Income Trust | 10% owner | BUY | $0.00 | 1 | $0 | 1,893 | +0.1% | |
| 2014-02-27 05:21 | 2014-02-25 | PTY | PIMCO CORPORATE & INCOME OPPORTUNITY FUND | 10% owner | BUY | $0.00 | 1 | $0 | 3,242 | +0.0% | |
| 2014-02-27 05:20 | 2014-02-25 | PFN | PIMCO Income Strategy Fund II | 10% owner | BUY | $0.00 | 1 | $0 | 1,422 | +0.1% | |
| 2014-02-05 00:45 | 2014-02-03 | PFN | PIMCO Income Strategy Fund II | 10% owner | BUY | $0.00 | 1 | $0 | 1,421 | +0.1% | |
| 2013-11-13 22:51 | 2013-11-12 | EFR | Eaton Vance Senior Floating-Rate Trust | 10% owner | BUY | $0.00 | 1 | $0 | 2,831 | +0.0% | |
| 2013-11-12 22:11 | 2013-11-08 | AKP | N/A | Other | 10% owner | BUY | $0.00 | 1 | $0 | 351 | +0.3% |
| 2013-10-22 20:24 | 2013-10-18 | NCV | Virtus Convertible & Income Fund | 10% owner | BUY | $0.00 | 1 | $0 | 8,056 | +0.0% | |
| 2013-06-21 23:43 | 2013-06-19 | EVV | Eaton Vance Ltd Duration Income Fund | 10% owner | BUY | $0.00 | 4 | $0 | 5,148 | +0.1% | |
| 2011-04-15 21:17 | 2011-04-13 | DUNR | N/A | Other | 10% owner | SELL | $0.82 | 18,560 | $15,212 | 11,709,183 | -0.2% |
| 2011-04-15 21:17 | 2011-04-13 | DUNR | N/A | Other | 10% owner | BUY | $0.82 | 18,560 | $15,212 | 11,709,883 | +0.2% |
| 2011-01-19 18:50 | 2011-01-14 | DUNR | N/A | Other | 10% owner | SELL | $1.01 | 86,150 | $86,736 | 11,390,212 | -0.8% |
| 2011-01-12 21:55 | 2011-01-10 | DUNR | N/A | Other | 10% owner | SELL | $0.86 | 137,281 | $117,897 | 11,476,362 | -1.2% |
| 2010-10-08 14:36 | 2010-10-06 | DUNR | N/A | Other | 10% owner | SELL | $0.10 | 223,431 | $22,343 | 11,304,143 | -1.9% |
| 2010-05-03 19:01 | 2010-04-29 | DNE | N/A | Other | 10% owner | SELL | $0.35 | 342,971 | $121,686 | 22,256,038 | -1.5% |
| 2010-01-09 01:41 | 2010-01-06 | DNE | N/A | Other | 10% owner | SELL | $0.25 | 100,531 | $25,213 | 33,450,241 | -0.3% |
| 2009-12-04 22:16 | 2009-12-02 | DNE | N/A | Other | 10% owner | SELL | $0.30 | 200,000 | $60,000 | 23,870,871 | -0.8% |
| 2009-11-24 00:32 | 2009-11-19 | DNE | N/A | Other | 10% owner | SELL | $0.09 | 267,898 | $25,316 | 132,870,945 | -0.2% |
| 2009-11-20 00:28 | 2009-11-17 | DNE | N/A | Other | 10% owner | SELL | $0.10 | 256,829 | $25,683 | 133,138,843 | -0.2% |
| 2008-09-18 20:09 | 2008-07-11 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $4.85 | 1,850 | $8,980 | 31,326 | -5.6% |
| 2008-09-18 20:09 | 2008-07-11 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $4.85 | 1,850 | $8,980 | 31,626 | +6.2% |
| 2008-09-18 20:07 | 2008-06-23 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $4.67 | 17,832 | $83,195 | 31,326 | -36.3% |
| 2008-09-18 20:07 | 2008-06-23 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $4.63 | 16,469 | $76,275 | 32,576 | +102.2% |
| 2008-09-18 20:05 | 2008-06-13 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $4.99 | 26,220 | $130,906 | 31,089 | -45.8% |
| 2008-09-18 20:05 | 2008-06-13 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $4.95 | 26,860 | $133,005 | 32,689 | +460.8% |
| 2008-09-18 20:04 | 2008-06-09 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $5.39 | 25,685 | $138,355 | 32,049 | +403.6% |
| 2008-09-18 20:04 | 2008-06-06 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $5.40 | 23,960 | $129,312 | 29,249 | -45.0% |
| 2008-09-18 20:02 | 2008-06-03 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $5.65 | 18,773 | $105,992 | 33,158 | +130.5% |
| 2008-09-18 20:02 | 2008-06-02 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $5.44 | 42,746 | $232,637 | 30,324 | -58.5% |
| 2008-09-18 20:00 | 2008-05-23 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $5.02 | 11,440 | $57,423 | 54,297 | -17.4% |
| 2008-09-18 20:00 | 2008-05-23 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $5.21 | 34,005 | $177,027 | 54,797 | +163.5% |
| 2008-09-18 19:57 | 2008-05-19 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $5.04 | 57,762 | $291,207 | 67,430 | +597.5% |
| 2008-09-18 19:57 | 2008-05-16 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $5.00 | 58,695 | $293,522 | 31,732 | -64.9% |
| 2008-09-18 19:53 | 2008-05-02 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $4.68 | 23,699 | $110,899 | 32,665 | +264.3% |
| 2008-09-18 19:53 | 2008-05-01 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $4.69 | 24,699 | $115,796 | 31,165 | -44.2% |
| 2008-09-18 19:51 | 2008-04-10 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $4.33 | 29,608 | $128,253 | 33,665 | +729.8% |
| 2008-09-18 19:51 | 2008-04-09 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $4.30 | 28,108 | $120,825 | 31,665 | -47.0% |
| 2008-09-18 19:48 | 2008-03-20 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | SELL | $4.26 | 10,206 | $43,523 | 28,365 | -26.5% |
| 2008-09-18 19:48 | 2008-03-20 | IGC | IGC Pharma, Inc. | Pharmaceutical Preparations | 10% owner | BUY | $4.38 | 14,465 | $63,310 | 32,165 | +81.7% |
| 2008-05-24 02:07 | 2008-03-26 | DNE | N/A | Other | 10% owner | SELL | $1.87 | 21,012 | $39,200 | 0 | -100.0% |
| 2008-05-24 02:07 | 2008-03-26 | DNE | N/A | Other | 10% owner | BUY | $1.77 | 28,558 | $50,553 | 0 | +100.0% |
| 2008-05-24 02:06 | 2008-03-18 | DNE | N/A | Other | 10% owner | BUY | $1.71 | 29,332 | $50,111 | 0 | +100.0% |
| 2008-05-24 02:06 | 2008-03-17 | DNE | N/A | Other | 10% owner | SELL | $1.71 | 50,232 | $85,912 | 0 | -100.0% |
| 2008-05-24 02:03 | 2008-02-25 | DNE | N/A | Other | 10% owner | SELL | $1.69 | 57,688 | $97,204 | 13,354 | -81.2% |
| 2008-05-24 02:03 | 2008-02-25 | DNE | N/A | Other | 10% owner | BUY | $1.69 | 70,553 | $119,284 | 14,454 | +100.0% |
| 2008-05-24 02:00 | 2008-01-22 | DNE | N/A | Other | 10% owner | SELL | $1.91 | 21,000 | $40,045 | 0 | -100.0% |
| 2008-05-24 02:00 | 2008-01-22 | DNE | N/A | Other | 10% owner | BUY | $1.90 | 23,902 | $45,340 | 489 | +100.0% |
| 2008-05-24 01:57 | 2007-12-13 | DNE | N/A | Other | 10% owner | SELL | $1.86 | 26,413 | $49,073 | 0 | -100.0% |
| 2008-05-24 01:57 | 2007-12-10 | DNE | N/A | Other | 10% owner | BUY | $1.90 | 27,222 | $51,610 | 0 | +100.0% |
| 2008-05-24 01:56 | 2007-10-11 | DNE | N/A | Other | 10% owner | SELL | $2.06 | 24,665 | $50,857 | 0 | -100.0% |
Tracking Multi-Role Insiders: UBS AG
High-level stakeholders like UBS AG, whether acting as directors, officers, or 10% owners, often possess unique cross-sector insights. Monitoring a specific CIK like 0001114446 allows investors to identify recurring patterns of trading success across various industries. When a large 10% shareholder or a key beneficial owner moves capital, it often signals a strategic shift in institutional or private conviction.
SEC Transparency for Key Stakeholders
Every market move made by UBS AG is a matter of public record under federal law. By aggregating Form 4 filings, we provide transparency into the portfolios of major players who hold significant influence. Following the money of those with a 10% stake or executive power helps bridge the information gap between the boardroom and the retail investor.
UNDERSTANDING THE DATA
FILING DATE: The date and time when the transaction was reported to the SEC. This is when the public first receives the information.
TRADE DATE: The actual day the insider executed the purchase or sale in the market.
INDUSTRY: The specific market sector the company operates in. Useful for identifying broader institutional capital flows across sectors.
OWNED AFTER: The total number of shares held by the insider following the transaction. This highlights the insider's remaining conviction in the company.
CHANGE %: The percentage increase or decrease of the insider's total position. Large percentage changes often carry more weight than the dollar amount alone.
TRADE TYPES DEFINITIONS
BUY: An open market purchase. Typically indicates an insider's belief that the stock is undervalued or poised for growth.
SELL: An open market sale. While often used for diversification or liquidity, large or unexpected sales can be a warning signal.
OPT+S (OPTION EXERCISE & SALE): This occurs when an insider exercises their stock options and sells them immediately. Often part of a structured compensation plan.