Ubs AG - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	8	1	19	3	2	-22	-40	-44	-36	-23
P	%wins				89	89	16	37	32	32	49
S	%ret	2	1	11	5	4	-37	-71	-80	-67	-41
S	%wins				0	9	91	91	100	100	65

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
4/3/14 15:50	4/2/14	EFR	Eaton Vance Senior Floating Rate Trust	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	1	0	0	3	I	11	-3	2	1	0	0	0	-1	0	-1	-1	-1	-2	2
3/17/14 16:41	3/14/14	FTF	Franklin Templeton Ltd Duration Income Trust	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	S	0	0.00	1	0	0	1	I	10	-5	7	4	1	-1	0	0	1	0	1	3	-1	0
2/26/14 21:21	2/25/14	EVF	Eaton Vance Senior Income Trust	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	1	0	0	2	I	14	-3	4	3	0	0	1	0	0	0	-2	-1	-3	-1
2/26/14 21:21	2/25/14	PTY	Pimco Corporate & Income Opportunity Fund	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	5	0	0	3	I	30	4	25	18	4	3	1	2	1	1	-5	3	4	-2
2/26/14 21:20	2/25/14	PFN	Pimco Income Strategy Fund II	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	2	0	0	1	I	26	1	11	7	2	1	1	0	0	0	0	7	9	10
2/4/14 16:45	2/3/14	PFN	Pimco Income Strategy Fund II	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	2	0	0	1	I	23	-3	5	0	2	0	-2	0	0	0	1	5	9	10
11/13/13 14:51	11/12/13	EFR	Eaton Vance Senior Floating Rate Trust	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	1	0	0	3	I	24	1	-7	-4	0	-2	-2	-1	0	0	-2	1	-1	-2
11/12/13 14:11	11/8/13	AKP	Alliance California Municipal Income Fund	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	0	0	0	0	I	-1	-19	-11	5	1	-1	-2	-1	-1	-1	-3	4	11	20
10/22/13 13:24	10/18/13	NCV	Allianzgi Convertible & Income Fund	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	2	0	0	8	I	44	16	7	3	2	1	2	1	1	2	3	8	15	12
6/21/13 16:43	6/19/13	EVV	Eaton Vance Ltd Duration Income Fund	V8	Financ	NtBnk	National Commercial Banks	Ubs AG	V8	T	P	0	0.00	8	0	0	5	I	11	4	-3	-10	-10	-7	-1	-2	-2	2	-1	0	0	9
4/15/11 14:17	4/13/11	DUNR	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	P.m	15	0.8196	0	19	0	11,709	D
4/15/11 14:17	4/13/11	DUNR	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S.m	-15	0.8196	0	-19	0	11,709	D
1/19/11 10:50	1/14/11	DUNR	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S	-87	1.01	0	-86	-1	11,390	D
1/12/11 13:55	1/10/11	DUNR	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S.m	-118	0.8588	0	-137	-1	11,476	D
10/8/10 07:36	10/6/10	DUNR	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S	-22	0.1000	0	-223	-2	11,304	D
5/3/10 12:01	4/29/10	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S	-122	0.3548	0	-343	-2	22,256	D
1/8/10 17:41	1/6/10	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S.am	-25	0.2508	0	-101	0	33,450	D
1/8/10 16:38	1/6/10	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S.m	-25	0.2508	0	-101	0	33,450	D
12/4/09 14:16	12/2/09	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S	-60	0.3000	0	-200	-1	23,871	D
11/23/09 16:32	11/19/09	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S	-25	0.0945	0	-268	0	132,871	D
11/19/09 16:28	11/17/09	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	V8	T	S.m	-26	0.1000	0	-257	0	133,139	D
9/18/08 13:09	7/11/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	9	4.85	0	2	6	31	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:09	7/11/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-9	4.85	0	-2	-6	31	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:07	6/23/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	76	4.63	0	16	111	31	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:07	6/23/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-83	4.67	0	-18	-36	31	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:05	6/13/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	133	4.95	0	27	461	33	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:05	6/13/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-131	4.99	0	-26	-45	33	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:04	6/6/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-129	5.40	0	-24	-43	32	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:04	6/9/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	138	5.39	0	26	404	32	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:02	6/2/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-233	5.44	0	-43	-59	30	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:02	6/3/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	106	5.65	0	19	163	30	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:00	5/23/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	177	5.21	0	34	168	54	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 13:00	5/23/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-57	5.02	0	-11	-17	54	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:57	5/16/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-294	5.00	0	-59	-65	32	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:57	5/19/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	291	5.04	0	58		32	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:53	5/1/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-116	4.69	0	-25	-43	33	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:53	5/2/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	111	4.68	0	24	264	33	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:51	4/9/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-121	4.30	0	-28	-46	34	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:51	4/10/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	128	4.33	0	30	730	34	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:48	3/20/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	P.dm	63	4.38	0	14	82	32	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
9/18/08 12:48	3/20/08	IGC	India Globalization Capital, Inc.	MD	Machn	HvyCn	Heavy Construction Non-Bldg C	Ubs AG		T	S.dm	-44	4.26	0	-10	-24	32	I	-16	-20	14	-12	0	-1	-4	-8	5	4	-41	-78	-88	-74
5/23/08 19:07	3/26/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.m	51	1.77	0	29		0	D
5/23/08 19:07	3/26/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.m	-39	1.87	0	-21	-100	0	D
5/23/08 19:06	3/17/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.m	-86	1.71	0	-50	-100	0	D
5/23/08 19:06	3/18/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.m	50	1.71	0	29		0	D
5/23/08 19:03	2/25/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.m	119	1.69	0	71		13	D
5/23/08 19:03	2/25/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.m	-97	1.68	0	-58	-81	13	D
5/23/08 19:00	1/22/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.dm	45	1.90	0	24		0	D
5/23/08 19:00	1/22/08	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.dm	-40	1.91	0	-21	-98	0	D
5/23/08 18:57	12/10/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.m	52	1.90	0	27		0	D
5/23/08 18:57	12/13/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.m	-49	1.86	0	-26	-100	0	D
5/23/08 18:56	10/11/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.dm	38	2.05	0	19		0	D
5/23/08 18:56	10/11/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.dm	-51	2.06	0	-25	-100	0	D
5/23/08 18:54	8/3/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.dm	50	2.17	0	23		5	D
5/23/08 18:54	8/9/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.dm	-45	2.20	0	-20	-81	5	D
5/23/08 18:53	6/14/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.dm	-83	2.39	0	-35	-94	2	D
5/23/08 18:53	6/15/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.dm	87	2.38	0	36		2	D
5/23/08 18:51	5/1/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	P.dm	97	2.32	0	42		0	D
5/23/08 18:51	5/1/07	DNE	Dune Energy Inc	DE	Energy	OilSv	Oil & Gas Field Services	Ubs AG	CT	T	S.dm	-85	2.33	0	-37	-99	0	D
1/26/07 15:44	1/24/07	OTD	O2Diesel Corp		Retail	Grocer	Groceries & Related Products	Ubs AG		T	P	19	0.8994	0	21	0	8,260	D
1/26/07 15:44	1/25/07	OTD	O2Diesel Corp		Retail	Grocer	Groceries & Related Products	Ubs AG		T	S	-18	0.8615	0	-21	0	8,260	D
9/14/06 16:58	9/7/06	OTD	O2Diesel Corp		Retail	Grocer	Groceries & Related Products	Ubs AG		T	P	31	1.14	0	28	0	8,260	D
9/14/06 16:57	9/7/06	OTD	O2Diesel Corp		Retail	Grocer	Groceries & Related Products	Ubs AG		T	P	45	1.09	0	41	1	8,232	D
9/14/06 16:56	9/7/06	OTD	O2Diesel Corp		Retail	Grocer	Groceries & Related Products	Ubs AG		T	P	16	1.11	0	15	0	8,191	D
4/13/05 13:04	4/12/05	SSTR	Silverstar Holdings Ltd	B0	PerSv	Entert	Amusement & Recreation Servic	Ubs AG	CT	T	S	-357	1.19	0	-300	-30	697	D
3/15/05 21:04	3/8/05	IMFN	Impsat Fiber Networks Inc	DE	Telco	Telco	Communications Services	Ubs AG	CT	T	P	3,408	6.30	0	541	39	1,918	D
2/24/05 10:48	2/17/05	IMFN	Impsat Fiber Networks Inc	DE	Telco	Telco	Communications Services	Ubs AG	CT	T	P.m	1,036	5.92	0	175	15	1,377	D
4/23/04 06:30	4/20/04	SSTR	Silverstar Holdings Ltd	B0	PerSv	Entert	Amusement & Recreation Servic	Ubs AG	CT	T	S	-14	1.55	0	-9	-1	997	D
3/11/04 11:43	3/4/04	SSTR	Silverstar Holdings Ltd	B0	PerSv	Entert	Amusement & Recreation Servic	Ubs AG	CT	T	S	-26	1.65	0	-16	-2	1,006	D
2/19/04 20:28	2/18/04	SSTR	Silverstar Holdings Ltd	B0	PerSv	Entert	Amusement & Recreation Servic	Ubs AG	CT	T	S.m	-80	1.60	0	-50	-5	1,021	D
2/6/04 20:17	2/4/04	SSTR	Silverstar Holdings Ltd	B0	PerSv	Entert	Amusement & Recreation Servic	Ubs AG	CT	T	S.m	-14	1.74	0	-8	-1	1,071	D
1/29/04 20:58	1/27/04	SSTR	Silverstar Holdings Ltd	B0	PerSv	Entert	Amusement & Recreation Servic	Ubs AG	CT	T	S.m	-72	1.79	0	-41	-4	1,079	D

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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