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Insider Information:   Ubs Ag
Relationship:   Former 10% Owner
City:   Stamford
State:   CT
   
Insider Summary:
  
   
Companies Owned :   49    
Direct Shares   14,324,145    

Indirect Shares

   70,839      
Direct Value   $1    

Indirect Value

   $316,228      
Total Shares   14,394,984      
Total Value   $316,229      


Silverstar Holdings Ltd $1 Impsat Fiber Networks Inc $0 Dune Energy Inc $0 Silverstar Holdings Ltd $1 Impsat Fiber Networks Inc $0 Dune Energy Inc $0
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :
    0   
    0    

     Stock price went up :
    0   
    0    
     Stock price went down :
    0   
    0    
   
     Gain/Loss Ratio :
   0.0   
   0.0   
     Percentage Gain/Loss :
     0.0%
   0.0%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            Silverstar Holdings Ltd SSTRF 10% Owner 2005-04-12 696,583 2004-01-27 0    Premium*  
            Impsat Fiber Networks Inc IMFN 10% Owner 2006-01-06 1,918,380 0    Premium*  
            Dune Energy Inc DUNR 10% Owner 2011-04-14 11,709,182 2007-05-01 0    Premium*  
            India Globalization Capital, Inc. IGC 10% Owner 2008-07-11 0 2008-07-14 31,326    Premium*  
            Invesco Van Kampen Tr For VTJ Former 10% owner 0 2010-06-30 103    Premium*  
            Invesco Van Kampen Select VKL Former 10% owner 0 2012-05-31 6    Premium*  
            Invesco Van Kampen Cali Va VCV Former 10% owner 0 2012-05-31 24    Premium*  
            DNP Select Income Fund Inc DNP Former 10% Owner 0 2012-12-26 0    Premium*  
            Blackrock Muniyield Michigan Ins... MYM Former 10% owner 0 2011-05-31 152    Premium*  
            Invesco Van Kampen Penn Va VPV Former 10% owner 0 2012-05-31 83    Premium*  
            Virtus AllianzGI Convertible & I... NCV 10% Owner 0 2013-10-18 8,056    Premium*  
            Blackrock Muniyield California I... MCA Former 10% owner 0 2011-05-31 199    Premium*  
            Virtus Allianzgi Convertible & I... NCZ 10% Owner 0 2014-10-24 5,636    Premium*  
            Invesco V Kampen Ohio Qual VOQ Former 10% owner 0 2012-06-30 0    Premium*  
            Blackrock Muniyield California F... MYC Former 10% owner 0 2011-06-30 148    Premium*  
            Pimco Floating Rate Income Fund PFL 10% Owner 0 2009-05-31 353    Premium*  
            Blackrock Muniholdings New York ... MHN Former 10% owner 0 2010-06-30 872    Premium*  
            Invesco Ny Quality Muni Se IQN Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco California Insured IIC Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco Insured Muni Bond IMC Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco Van Kampen Tr For VIM Former 10% owner 0 2012-06-30 0    Premium*  
            Invesco Muni Premium Inc T PIA Former 10% owner 0 2010-06-30 57    Premium*  
            Invesco Quality Muni Inc T IQI 10% Owner 0 2010-04-30 266    Premium*  
            Invesco Van Kampen Tr For VTN Former 10% owner 0 2012-05-31 76    Premium*  
            Pioneer High Income PHT Former 10% Owner 0 2014-03-18 0    Premium*  
            BlackRock Massachusetts Tax-Exem... MHE Former 10% owner 2012-06-30 0 2012-06-30 0    Premium*  
            Blackrock New Jersey Municipal B... BLJ Former 10% owner 2012-07-07 0 2012-07-07 0    Premium*  
            Blackrock Pennsylvania Strategic... BPS Former 10% owner 2012-07-03 0 2012-07-03 0    Premium*  
            Pioneer Municipal High Income Ad... MAV 10% Owner 2012-07-07 0 2012-07-07 2,286    Premium*  
            Blackrock New York Investment Qu... RNY Former 10% owner 2012-07-20 0 2012-07-20 0    Premium*  
            Blackrock New Jersey Investment ... RNJ Former 10% owner 2012-07-24 0 2012-07-24 0    Premium*  
            Pimco Floating Rate Strategy Fun... PFN 10% Owner 2012-08-01 0 2014-02-25 1,422    Premium*  
            MFS Municipal Income Trust MFM Former 10% Owner 2012-09-18 0 2012-09-18 0    Premium*  
            American Municipal Income Portfo... XAA Former 10% Owner 2012-11-02 0 2014-05-12 0    Premium*  
            Eaton Vance Limited Duration Inc... EVV 10% Owner 2012-12-06 0 2013-06-19 5,148    Premium*  
            Pimco Corporate Opportunity Fund PTY 10% Owner 2012-12-07 0 2014-02-25 3,242    Premium*  
            Eaton Vance Floating-Rate Income... EFT Former 10% Owner 2012-12-19 0 2012-12-19 0    Premium*  
            Blackrock Florida Municipal 2020... BFO Former 10% Owner 2013-01-23 0 2014-11-11 0    Premium*  
            Blackrock Municipal 2020 Term Tr... BKK 10% Owner 2013-01-23 0 2014-11-12 1,078    Premium*  
            Dreyfus Strategic Municipal Bond... DSM 10% Owner 2013-08-26 0 2014-01-02 1,487    Premium*  
            Dreyfus Strategic Municipals Inc LEO 10% Owner 2013-08-26 0 2014-01-06 2,324    Premium*  
            Dreyfus Municipal Income Inc DMF 10% Owner 2013-08-29 0 2014-01-03 825    Premium*  
            Alliance California Municipal In... AKP 10% Owner 2013-11-08 0 2013-11-08 351    Premium*  
            Eaton Vance Senior Floating Rate... EFR 10% Owner 2013-11-12 0 2014-04-02 2,833    Premium*  
            Pioneer Floating Rate Trust PHD Former 10% Owner 2013-12-03 0 2013-12-06 0    Premium*  
            Eaton Vance Senior Income Trust EVF 10% Owner 2014-02-25 0 2014-02-25 1,893    Premium*  
            Franklin Templeton Limited Durat... FTF 10% Owner 2014-03-14 0 2014-03-14 593    Premium*  
            First American Minnesota Municip... MXN Former 10% Owner 2014-05-05 0 2014-05-05 0    Premium*  
            Minnesota Municipal Income Portf... MXA Former 10% Owner 2014-05-07 0 2014-05-09 0    Premium*  
* Premium Members only  

Records found :    509         Free Registration Required For Full Results.    Limit: 25

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  Page 13 of 21
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
SRO DWS Rreef Real Estate Fun... Former 10% owner   –       –      –    2010-05-31 4 D $0.00 $0 I/I (451) 0 0 -
PHD Pioneer Floating Rate Tru... 10% Owner   –       –       •   2013-12-03 4 D $0.00 $0 I/I (458) 1,136 0 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2007-11-12 4 S $2.19 $1,012 D/D (462) 0 0 -
MFM MFS Municipal Income Trus... Former 10% Owner   –       –      –    2012-09-18 4 D $0.00 $0 I/I (467) 0 0 -
NUM Nuveen Michigan Quality I... Former 10% owner   –       –      –    2011-10-31 4 D $0.00 $0 I/I (471) 0 0 -
MYC Blackrock Muniyield Calif... Former 10% owner   –       –      –    2011-06-30 4 D $0.00 $0 I/I (472) 148 0 -
SPE Special Opportunities Fun... Former 10% owner   –       –      –    2009-10-31 5 D $0.00 $0 I/I (489) 0 0 -
JTA Nuveen Tax Advantaged Tot... Former 10% owner   –       –      –    2009-09-30 5 D $0.00 $0 I/I (498) 0 0 -
IMFN Impsat Fiber Networks Inc 10% Owner   –       –       •   2006-01-06 5 D $7.06 $3,530 D/D (500) 1,918,380 0 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2007-05-16 4 B $2.28 $1,140 D/D 500 0 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2007-06-22 4 S $2.34 $1,170 D/D (500) 0 0 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2007-08-21 4 S $2.25 $1,125 D/D (500) 462 0 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-03-26 4 B $1.77 $885 D/D 500 0 2.37 -
MXN First American Minnesota ... Former 10% Owner   –       –      –    2014-05-05 4 D $0.00 $0 I/I (513) 0 0 -
VPV Invesco Van Kampen Penn V... Former 10% owner   –       –      –    2012-05-31 4 D $0.00 $0 I/I (532) 83 0 -
MCA Blackrock Muniyield Calif... Former 10% owner   –       –      –    2011-05-31 4 D $0.00 $0 I/I (536) 199 0 -
MFL Blackrock Muniholdings Fl... Former 10% owner   –       –      –    2011-08-31 4 D $0.00 $0 I/I (538) 0 0 -
NZF Nuveen Dividend Advantage... Former 10% Owner   –       –      –    2011-10-31 4 D $0.00 $0 I/I (553) 0 0 -
BKN Blackrock Investment Qual... Former 10% owner   –       –      –    2012-01-31 4 D $0.00 $0 I/I (582) 0 0 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2007-05-17 4 B $2.28 $1,368 D/D 600 0 2.37 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2007-12-12 4 B $1.92 $1,304 D/D 679 2,057 2.37 -
SPE Special Opportunities Fun... Former 10% owner   –       –      –    2009-10-31 5 D $0.00 $0 I/I (684) 0 0 -
VCV Invesco Van Kampen Cali V... Former 10% owner   –       –      –    2012-05-31 4 D $0.00 $0 I/I (685) 24 0 -
SRQ DWS Rreef Real Estate Fun... Former 10% owner   –       –      –    2010-05-31 4 D $0.00 $0 I/I (691) 0 0 -
DUNR Dune Energy Inc 10% Owner   –       –       •   2008-02-25 4 S $1.75 $1,216 D/D (695) 594 0 -
  509  Records found
  1   2   3   4   5   6   7   8   9   10   11   12   13  14   15   16   17   18   19   20   21      
  Page 13 of 21  
 
Free Registration Required For Full Results.    Limit: 25

 
 
  Transaction Code Key: Ownership Code Key
  B - Buy AB - Automatic Buy D - Direct Ownership
  S - Sell AS - Automatic Sell I - Indirect Ownership
OE - Options Exercised A - Aquired
  IO - Initital Ownership D - Disposed
 
 
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