UBS AG
An insider at 7 companies in coverage, as reported on Form 4. SEC CIK 1114446. Latest Form 4 filed Apr 3, 2014.
Roles
As stated on the filings: the relationship to the company and any officer title.
| Company | Role | Transactions | First | Latest |
|---|---|---|---|---|
| Eaton Vance Senior Floating-Rate TrustEFR | 10% owner | 2 | 2013-11-12 | 2014-04-02 |
| Pimco Corporate & Income Opportunity FundPTY | 10% owner | 2 | 2012-12-07 | 2014-02-25 |
| PIMCO Income Strategy Fund IIPFN | 10% owner | 4 | 2012-08-01 | 2014-02-25 |
| Eaton Vance Ltd Duration Income FundEVV | 10% owner | 2 | 2012-12-06 | 2013-06-19 |
| Eaton Vance Floating-Rate Income TrustEFT | Former 10% Owner | 1 | 2012-12-19 | 2012-12-19 |
| Federated Hermes Premier Municipal Income FundFMN | Former 10% owner | 1 | 2011-12-22 | 2011-12-22 |
| Nuveen Municipal Credit Income FundNZF | Former 10% Owner | 1 | 2011-10-31 | 2011-10-31 |
Transactions: 13
Every transaction reported, newest first, including grants, exercises and derivative securities. Purchases and sales (codes P and S) are open-market trades. The reported price is as stated on the form.
What these mean: insiders, Form 4, transaction codes, Rule 10b5-1 plans.
| Date | Company | Transaction | Shares | Reported price | Value | Filing |
|---|---|---|---|---|---|---|
| 2014-04-02 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 2 | not reported | not reported | Form 4 |
| 2014-02-25 | Pimco Corporate & Income Opportunity Fund10% owner | Purchase | 1 | not reported | not reported | Form 4 |
| 2014-02-25 | PIMCO Income Strategy Fund II10% owner | Purchase | 1 | not reported | not reported | Form 4 |
| 2014-02-03 | PIMCO Income Strategy Fund II10% owner | Purchase | 1 | not reported | not reported | Form 4 |
| 2013-11-12 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 1 | not reported | not reported | Form 4 |
| 2013-06-19 | Eaton Vance Ltd Duration Income Fund10% owner | Purchase | 4 | not reported | not reported | Form 4 |
| 2013-04-16 | PIMCO Income Strategy Fund II10% owner | Other | 2 | not reported | not reported | Form 4 |
| 2012-12-19 | Eaton Vance Floating-Rate Income TrustFormer 10% Owner | Other | 1,644 | not reported | not reported | Form 4 |
| 2012-12-07 | Pimco Corporate & Income Opportunity Fund10% owner | Other | 3 | not reported | not reported | Form 4 |
| 2012-12-06 | Eaton Vance Ltd Duration Income Fund10% owner | Other | 2 | not reported | not reported | Form 4 |
| 2012-08-01 | PIMCO Income Strategy Fund II10% owner | Other | 1 | not reported | not reported | Form 4 |
| 2011-12-22 | Federated Hermes Premier Municipal Income FundFormer 10% owner | Other | 148 | not reported | not reported | Form 4 |
| 2011-10-31 | Nuveen Municipal Credit Income FundFormer 10% Owner | Other | 553 | not reported | not reported | Form 4 |
Source: SEC EDGAR, Forms 4. Last ingested by Listed: Oct 31, 2026, 03:21 ET. Listed shows no prices and gives no investment advice.