Vault-13

UBS AG LONDON BRANCH UCIB

ETRACS UBS BLOOM · ETP · CUSIP 90274D390

12 institutional holders +4 vs Q3 2023
472,445472.4k shares reported held*
$11.4mreported value*
3 new 5 added 2 reduced 0 sold out net bought ≈ $776.2k (+32.1k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $24.16.

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

051015Q3 22: 12Q4 22: 10Q1 23: 9Q2 23: 9Q3 23: 8Q4 23: 1212Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202212
Q4 202210
Q1 20239
Q2 20239
Q3 20238
Q4 202312

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
10010Q4 22: 2 bought or addedQ4 22: 4 cut or sold outQ4 22Q1 23: 4 bought or addedQ1 23: 5 cut or sold outQ1 23Q2 23: 3 bought or addedQ2 23: 3 cut or sold outQ2 23Q3 23: 2 bought or addedQ3 23: 6 cut or sold outQ3 23Q4 23: 8 bought or addedQ4 23: 2 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 202224
Q1 202345
Q2 202333
Q3 202326
Q4 202382

Biggest buyers

JANE STREET GROUP, LLC Added +17,784+17.8k
SUSQUEHANNA INTERNATIONAL GROUP, LLP New +14,828+14.8k
Corient Private Wealth LP New +10,270+10.3k
RHS Financial, LLC Added +7,936+7.9k
Cambridge Investment Research Advisors, Inc. Added +4,416+4.4k
MORGAN STANLEY Added +661+661
UBS Group AG New +328+328
JPMORGAN CHASE & CO Added +180+180

Biggest sellers

ENVESTNET ASSET MANAGEMENT INC Reduced -12,301-12.3k
Legacy Wealth Asset Management, LLC Reduced -11,981-12.0k

Insider purchases and sales in Q4 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q4 2023.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RHS Financial, LLC 2.06% of their portfolio SAN FRANCISCO, CA 134,665134.7k $3.3m $3.3m 2.06% Added +7.9k +7,936
2 Legacy Wealth Asset Management, LLC 0.91% of their portfolio WOODBURY, MN 115,374115.4k $2.8m $2.8m 0.91% Reduced -12.0k -11,981
3 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 111,681111.7k $2.7m $2.7m 0.00% Reduced -12.3k -12,301
4 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 46,61646.6k $1.1m $1.1m 0.00% Added +17.8k +17,784
5 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 20,46320.5k $494.0k $494.0k 0.00% Added +4.4k +4,416
6 Bruce G. Allen Investments, LLC 0.36% of their portfolio DENVER, CO 16,53816.5k $399.6k $399.6k 0.36% First filing
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 14,82814.8k $358.3k $358.3k 0.00% New
8 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 10,27010.3k $248.2k $248.2k 0.00% New
9 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,3221.3k $31.9k $31.9k 0.00% Added +661 +661
10 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 360360 $8.7k $8.7k 0.00% Added +180 +180
11 UBS Group AG 0.00% of their portfolio ZURICH, V8 328328 $7.9k $7.9k 0.00% New
12 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged