UBS Group AG
An insider at 25 companies in coverage, as reported on Form 4. SEC CIK 1610520. Latest Form 4 filed May 3, 2024.
Roles
As stated on the filings: the relationship to the company and any officer title.
| Company | Role | Transactions | First | Latest |
|---|---|---|---|---|
| Eaton Vance Senior Income TrustEVF | 10% owner | 2 | 2016-09-28 | 2026-05-29 |
| Eaton Vance Senior Floating-Rate TrustEFR | 10% owner | 16 | 2016-09-28 | 2026-05-29 |
| Eaton Vance Ltd Duration Income FundEVV | 10% owner | 17 | 2019-01-02 | 2026-05-29 |
| ENDRA Life Sciences Inc.NDRA | Market maker/broker-dealer | 1 | 2024-08-27 | 2024-08-27 |
| ENDRA Life Sciences Inc.NDRA | 10% owner | 1 | 2024-08-27 | 2024-08-27 |
| Empery Digital Inc.EMPD | 10% owner | 23 | 2024-07-05 | 2024-07-08 |
| Gabelli Equity Trust IncGAB | 10% owner | 2 | 2024-06-26 | 2024-06-28 |
| Gabelli Dividend & Income TrustGDV | 10% owner | 3 | 2024-06-26 | 2024-06-28 |
| Gabelli Multimedia Trust Inc.GGT | 10% owner | 1 | 2024-06-26 | 2024-06-26 |
| Edible Garden AG IncEDBL | 10% owner | 18 | 2024-04-24 | 2024-04-25 |
| Pimco New York Municipal Income Fund IIPNI | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| Pimco Corporate & Income Opportunity FundPTY | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| Pimco High Income FundPHK | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| Pimco Corporate & Income Strategy FundPCN | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| Pimco Municipal Income Fund IIPML | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| Pimco Income Strategy FundPFL | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| PIMCO Income Strategy Fund IIPFN | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| Pimco California Municipal Income FundPCQ | 10% owner | 1 | 2024-04-17 | 2024-04-17 |
| BNY Mellon Strategic Municipals, Inc.LEO | 10% owner | 1 | 2023-07-12 | 2023-07-12 |
| BNY Mellon Strategic Municipal Bond Fund, Inc.DSM | 10% owner | 1 | 2023-07-12 | 2023-07-12 |
| Western Asset Intermediate Muni Fund Inc.SBI | 10% owner | 1 | 2023-03-01 | 2023-03-01 |
| Western Asset Managed Municipals Fund Inc.MMU | 10% owner | 4 | 2023-02-24 | 2023-03-01 |
| Virtus Convertible & Income FundNCV | 10% owner | 5 | 2019-06-17 | 2022-11-03 |
| Virtus Convertible & Income Fund IINCZ | 10% owner | 2 | 2019-06-17 | 2022-11-03 |
| Alliancebernstein National Municipal Income FundAFB | 10% owner | 1 | 2018-12-19 | 2018-12-19 |
| Franklin Ltd Duration Income TrustFTF | 10% owner | 1 | 2018-08-31 | 2018-08-31 |
Transactions: 108
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 |
|---|---|---|---|---|---|---|
| 2024-04-24 | Edible Garden AG Inc10% owner | Sale | 105 | $6.30 | $661.50 | Form 4 |
| 2024-04-24 | Edible Garden AG Inc10% owner | Sale | 1 | $6.20 | $6.20 | Form 4 |
| 2024-04-17 | Pimco Corporate & Income Strategy Fund10% owner | Other | 475 | not reported | not reported | Form 4 |
| 2024-04-17 | Pimco California Municipal Income Fund10% owner | Other | 4,369 | not reported | not reported | Form 4 |
| 2024-04-17 | Pimco Income Strategy Fund10% owner | Other | 355 | not reported | not reported | Form 4 |
| 2024-04-17 | PIMCO Income Strategy Fund II10% owner | Other | 1,422 | not reported | not reported | Form 4 |
| 2024-04-17 | Pimco High Income Fund10% owner | Other | 1,637 | not reported | not reported | Form 4 |
| 2024-04-17 | Pimco Municipal Income Fund II10% owner | Other | 9,288 | not reported | not reported | Form 4 |
| 2024-04-17 | Pimco New York Municipal Income Fund II10% owner | Other | 1,976 | not reported | not reported | Form 4 |
| 2024-04-17 | Pimco Corporate & Income Opportunity Fund10% owner | Other | 3,242 | not reported | not reported | Form 4 |
| 2023-07-12 | BNY Mellon Strategic Municipal Bond Fund, Inc.10% owner | Other | 1,487 | $0.001 | $1.49 | Form 4 |
| 2023-07-12 | BNY Mellon Strategic Municipals, Inc.10% owner | Other | 2,324 | $0.001 | $2.32 | Form 4 |
| 2023-03-01 | Western Asset Intermediate Muni Fund Inc.10% owner | Other | 20 | not reported | not reported | Form 4 |
| 2023-03-01 | Western Asset Managed Municipals Fund Inc.10% owner | Other | 979 | not reported | not reported | Form 4 |
| 2023-02-24 | Western Asset Managed Municipals Fund Inc.10% owner | Purchase | 397 | $25,000.00 | $9.9m | Form 4/A |
| 2023-02-24 | Western Asset Managed Municipals Fund Inc.10% owner | Purchase | 180 | $25,004.2842 | $4.5m | Form 4/A |
| 2023-02-24 | Western Asset Managed Municipals Fund Inc.10% owner | Purchase | 234 | $25,008.5685 | $5.9m | Form 4/A |
| 2022-11-03 | Virtus Convertible & Income Fund10% owner | Other | 8,056 | not reported | not reported | Form 4 |
| 2022-11-03 | Virtus Convertible & Income Fund II10% owner | Other | 5,636 | not reported | not reported | Form 4 |
| 2021-02-05 | Virtus Convertible & Income Fund10% owner | Purchase | 50 | $5.88 | $294 | Form 4 |
| 2021-02-05 | Virtus Convertible & Income Fund10% owner | Purchase | 159 | $5.87 | $933.33 | Form 4 |
| 2021-02-05 | Virtus Convertible & Income Fund10% owner | Purchase | 241 | $5.875 | $1.4k | Form 4 |
| 2020-03-25 | Eaton Vance Senior Floating-Rate Trust10% owner | Sale | 501 | $8.932 | $4.5k | Form 4 |
| 2020-03-25 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 615 | $9.6449 | $5.9k | Form 4 |
| 2020-03-24 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 217,253 | $8.8617 | $1.9m | Form 4 |
| 2020-03-24 | Eaton Vance Senior Floating-Rate Trust10% owner | Sale | 206,119 | $8.3704 | $1.7m | Form 4 |
| 2020-03-23 | Eaton Vance Senior Floating-Rate Trust10% owner | Sale | 304,485 | $7.9909 | $2.4m | Form 4 |
| 2020-03-23 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 257,889 | $8.3435 | $2.2m | Form 4 |
| 2020-03-20 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 418,344 | $9.0055 | $3.8m | Form 4 |
| 2020-03-20 | Eaton Vance Senior Floating-Rate Trust10% owner | Sale | 506,812 | $8.5629 | $4.3m | Form 4 |
| 2020-03-19 | Eaton Vance Senior Floating-Rate Trust10% owner | Sale | 92,009 | $8.1323 | $748.2k | Form 4 |
| 2020-03-19 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 143,540 | $8.0404 | $1.2m | Form 4 |
| 2020-03-18 | Eaton Vance Senior Floating-Rate Trust10% owner | Sale | 304,633 | $8.2366 | $2.5m | Form 4 |
| 2020-03-18 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 452,214 | $8.202 | $3.7m | Form 4 |
| 2020-01-06 | Eaton Vance Ltd Duration Income Fund10% owner | Purchase | 10,355 | $13.28 | $137.5k | Form 4 |
| 2020-01-06 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 347,267 | $13.55 | $4.7m | Form 4 |
| 2020-01-03 | Eaton Vance Ltd Duration Income Fund10% owner | Purchase | 9,345 | $13.31 | $124.4k | Form 4 |
| 2020-01-03 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 347,473 | $13.55 | $4.7m | Form 4 |
| 2020-01-02 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 351,906 | $13.56 | $4.8m | Form 4 |
| 2020-01-02 | Eaton Vance Ltd Duration Income Fund10% owner | Purchase | 25,438 | $13.2807 | $337.8k | Form 4 |
| 2019-12-30 | Eaton Vance Ltd Duration Income Fund10% owner | Purchase | 101,397 | $13.2035 | $1.3m | Form 4 |
| 2019-12-30 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 26,065 | $13.6019 | $354.5k | Form 4 |
| 2019-06-17 | Virtus Convertible & Income Fund II10% owner | Sale | 33 | $24.88 | $821.04 | Form 4 |
| 2019-06-17 | Virtus Convertible & Income Fund10% owner | Sale | 29 | $25.20 | $730.80 | Form 4 |
| 2019-01-07 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 2,518 | $13.0343 | $32.8k | Form 4 |
| 2019-01-04 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 111,000 | $12.88 | $1.4m | Form 4 |
| 2019-01-04 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 510 | $11.9309 | $6.1k | Form 4 |
| 2019-01-04 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 24,500 | $12.09 | $296.2k | Form 4 |
| 2019-01-03 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 113,549 | $12.69 | $1.4m | Form 4 |
| 2019-01-03 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 2,349 | $11.8757 | $27.9k | Form 4 |
Source: SEC EDGAR, Forms 4. Last ingested by Listed: Nov 1, 2026, 17:47 ET. Listed shows no prices and gives no investment advice.