UBS Group AG
An insider at 25 companies in coverage, as reported on Form 4. SEC CIK 1610520. Latest Form 4 filed Jan 7, 2019.
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 |
|---|---|---|---|---|---|---|
| 2019-01-03 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 25,445 | $11.89 | $302.5k | Form 4 |
| 2019-01-02 | Eaton Vance Senior Floating-Rate Trust10% owner | Purchase | 114,781 | $12.75 | $1.5m | Form 4 |
| 2019-01-02 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 71,972 | $11.8738 | $854.6k | Form 4 |
| 2019-01-02 | Eaton Vance Ltd Duration Income Fund10% owner | Sale | 22,623 | $11.85 | $268.1k | Form 4 |
| 2018-12-19 | Alliancebernstein National Municipal Income Fund10% owner | Other | 1,049 | not reported | not reported | Form 4 |
| 2018-08-31 | Franklin Ltd Duration Income Trust10% owner | Other | 593 | not reported | not reported | Form 4 |
| 2016-09-28 | Eaton Vance Senior Floating-Rate Trust10% owner | Other | 860 | not reported | not reported | Form 4 |
| 2016-09-28 | Eaton Vance Senior Income Trust10% owner | Other | 871 | not reported | not reported | Form 4 |
Source: SEC EDGAR, Forms 4. Last ingested by Listed: Nov 2, 2026, 00:33 ET. Listed shows no prices and gives no investment advice.