-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TgGgkw1i6ZBiyjrGuU+zLO+w69xLHqfpInDTgyug+hS9qpSC/GANlDIAbC5Gw+eW LyCK7W9ywvraThLaYDLYOw== 0000950123-10-014602.txt : 20100219 0000950123-10-014602.hdr.sgml : 20100219 20100219170530 ACCESSION NUMBER: 0000950123-10-014602 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100219 DATE AS OF CHANGE: 20100219 EFFECTIVENESS DATE: 20100219 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS AG CENTRAL INDEX KEY: 0001114446 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10396 FILM NUMBER: 10620212 BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 STREET 2: P O BOX CH 8098 CITY: ZURICH STATE: V8 ZIP: - BUSINESS PHONE: 41-1-234-4100 MAIL ADDRESS: STREET 1: BAHNHOFSTRASSE 45 STREET 2: P O BOX CH 8098 CITY: ZURICH STATE: V8 ZIP: - 13F-HR/A 1 c96663e13fvhrza.txt FORM 13F/A United States Securities and Exchange Commission Washington, DC 20549 FORM 13F COVER PAGE Report for the Quarter Ended: December 31, 2009 Check here if amendment [X]; Amendment Number: 1 This Amendment (Check only one): [X] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: UBS AG Bahnhofstrasse 45 Zurich, Switzerland 13F File Number: 028-10396 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Persons signing this Report on behalf of Reporting Manager: Name: Anthony Defilippis Title Executive Director Phone: (203-719-5241) Signature, Place, and Date of Signing: /s/ Anthony DeFilippis - ---------------------------------------- Stamford, Ct February 19, 2010 Name: Gordon Kiesling Title Executive Director Phone: (203-719-0268) Signature, Place, and Date of Signing: /s/ Gordon Kiesling - ---------------------------------------- Stamford, Connecticut February 19, 2010 Report Type (Check only one): [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 93 Form 13F Information Table Value Total: $1,477,397 (thousands) List of Other Included Managers: NO. FORM 13F FILE NUMBER NAME - --- -------------------- --------------------------- 01 028-11496 UBS Financial Services Inc.
VOTING VALUE (X SHARES OR INVEST OTHER VOTING AUTH. VOTING AUTH. AUTH. NAME OF ISSUER TITLE OF CLASS CUSIP 1000) PRINC. AMT. SH/PRN PUT/CALL DISC. MGRS. SOLE SHARED NONE - -------------- --------------- --------- -------- ----------- ------ -------- ------ ----- ------------ ------------ ---------- ALCOA INC NOTE 5.250% 3/1 013817AT8 75 29,000 PRN SOLE 29,000 ALLERGAN INC NOTE 1.500% 4/0 018490AL6 115,125 100,000,000 PRN SHARED 100,000,000 ALZA CORP SDCV 7/2 02261WAB5 1,125 1,215,000 PRN SOLE 1,215,000 AMERIGROUP CORP NOTE 2.000% 5/1 03073TAB8 960 1,000,000 PRN SOLE 1,000,000 AMGEN INC NOTE 0.125% 2/0 031162AN0 69,835 70,719,000 PRN SHARED 70,719,000 AMGEN INC NOTE 0.375% 2/0 031162AQ3 201,250 200,000,000 PRN SHARED 200,000,000 ANTIGENICS INC DEL NOTE 5.250% 2/0 037032AC3 21 59,000 PRN SOLE 59,000 APOGENT TECHNOLOGIES INC DBCV 12/1 03760AAK7 8,625 5,279,000 PRN SHARED 5,279,000 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 40 240,000 PRN SOLE 240,000 ARCHER DANIELS MIDLAND CO NOTE 0.875% 2/1 039483AW2 106,426 101,600,000 PRN SHARED 101,600,000 ARVINMERITOR INC NOTE 4.625% 3/0 043353AF8 3,883 4,425,000 PRN SOLE 4,425,000 BEST BUY INC SDCV 2.250% 1/1 086516AF8 408 381,000 PRN SHARED 381,000 BRANDYWINE OPER PARTNERSHIP NOTE 3.875%10/1 105340AH6 34,638 35,300,000 PRN SOLE 35,300,000 CADENCE DESIGN SYSTEM INC NOTE 1.375%12/1 127387AD0 233 250,000 PRN SOLE 250,000 CADENCE DESIGN SYSTEM INC NOTE 1.500%12/1 127387AF5 332 410,000 PRN SOLE 410,000 CAL DIVE INTL INC NOTE 3.250%12/1 127914AB5 1,125 1,250,000 PRN SOLE 1,250,000 CEPHALON INC NOTE 6/1 156708AL3 2,841 2,500,000 PRN SOLE 2,500,000 CHARMING SHOPPES INC NOTE 1.125% 5/0 161133AE3 745 1,000,000 PRN SOLE 1,000,000 CIENA CORP NOTE 0.875% 6/1 171779AE1 868 1,500,000 PRN SOLE 1,500,000 CMS ENERGY CORP NOTE 2.875%12/0 125896AW0 5,194 4,231,000 PRN SOLE 4,231,000 CMS ENERGY CORP NOTE 3.375% 7/1 125896AY6 36,621 23,032,000 PRN SOLE 23,032,000 CONCEPTUS INC NOTE 2.250% 2/1 206016AA5 1,141 1,217,000 PRN SOLE 1,217,000 COSTCO COMPANIES INC NOTE 8/1 22160QAC6 216 161,000 PRN SOLE 161,000 E M C CORP MASS NOTE 1.750%12/0 268648AK8 28,768 23,677,000 PRN SHARED 23,677,000 E M C CORP MASS NOTE 1.750%12/0 268648AM4 4,733 3,783,000 PRN SHARED 3,783,000 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 3,152 4,935,000 PRN SOLE 4,935,000 EPICOR SOFTWARE CORP NOTE 2.375% 5/1 29426LAA6 124 146,000 PRN SOLE 146,000 EQUINIX INC NOTE 3.000%10/1 29444UAG1 3,703 3,192,000 PRN SOLE 3,192,000 EQUINIX INC NOTE 4.750% 6/1 29444UAH9 4,416 3,004,000 PRN SOLE 3,004,000 ERP OPER LTD PARTNERSHIP NOTE 3.850% 8/1 26884AAV5 185 187,000 PRN SOLE 187,000 FIVE STAR QUALITY CARE INC NOTE 3.750%10/1 33832DAB2 201 250,000 PRN SOLE 250,000 FORD MTR CO DEL NOTE 4.250%11/1 345370CN8 9,027 7,200,000 PRN SOLE 7,200,000 GENERAL CABLE CORP DEL NEW NOTE 0.875%11/1 369300AD0 1,745 2,000,000 PRN SOLE 2,000,000 GILEAD SCIENCES INC NOTE 0.625% 5/0 375558AH6 2,178 1,765,000 PRN SHARED 1,765,000 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 619 1,000,000 PRN SOLE 1,000,000 HEALTH CARE REIT INC NOTE 4.750%12/0 42217KAP1 6,647 6,009,000 PRN SHARED 6,009,000 HEALTH CARE REIT INC NOTE 4.750% 7/1 42217KAQ9 359 322,000 PRN SHARED 322,000 HERCULES OFFSHORE INC NOTE 3.375% 6/0 427093AA7 170 214,000 PRN SOLE 214,000 HOLOGIC INC FRNT 2.000%12/1 436440AA9 319 374,000 PRN SHARED 374,000 HUTCHINSON TECHNOLOGY INC NOTE 3.250% 1/1 448407AF3 973 1,210,000 PRN SOLE 1,210,000 INFORMATICA CORP NOTE 3.000% 3/1 45666QAB8 1,301 961,000 PRN SHARED 961,000 INTEL CORP SDCV 2.950%12/1 458140AD2 2,668 2,765,000 PRN SHARED 2,765,000 INTERNATIONAL COAL GRP INC N NOTE 9.000% 8/0 45928HAD8 6,411 5,855,000 PRN SOLE 5,855,000 INTERPUBLIC GROUP COS INC NOTE 4.750% 3/1 460690BE9 7,422 7,367,000 PRN SOLE 7,367,000 INVITROGEN CORP NOTE 2.000% 8/0 46185RAF7 386 251,000 PRN SOLE 251,000 INVITROGEN CORP NOTE 1.500% 2/1 46185RAH3 120 104,000 PRN SOLE 104,000 INVITROGEN CORP NOTE 2.000% 8/0 46185RAJ9 3,802 2,471,000 PRN SOLE 2,471,000 INVITROGEN CORP NOTE 1.500% 2/1 46185RAK6 4,125 3,571,000 PRN SHARED 3,571,000 INVITROGEN CORP NOTE 3.250% 6/1 46185RAM2 367 311,000 PRN SHARED 311,000 ITRON INC NOTE 2.500% 8/0 465741AJ5 241 193,000 PRN SOLE 193,000
K V PHARMACEUTICAL CO NOTE 2.500% 5/1 482740AC1 570 1,000,000 PRN SOLE 1,000,000 KENDLE INTERNATIONAL INC NOTE 3.375% 7/1 48880LAA5 137 154,000 PRN SOLE 154,000 KING PHARMACEUTICALS INC NOTE 1.250% 4/0 495582AJ7 2,779 3,000,000 PRN SOLE 3,000,000 KINROSS GOLD CORP NOTE 1.750% 3/1 496902AD9 120 115,000 PRN SOLE 115,000 LDK SOLAR CO LTD NOTE 4.750% 4/1 50183LAB3 1,112 1,500,000 PRN SOLE 1,500,000 LIBERTY MEDIA CORP NEW DEB 3.125% 3/3 530718AF2 4,279 4,252,000 PRN SHARED 4,252,000 LIFEPOINT HOSPITALS INC NOTE 3.500% 5/1 53219LAH2 4,143 4,449,000 PRN SOLE 4,449,000 LUCENT TECHNOLOGIES INC DBCV 2.875% 6/1 549463AG2 0 216 PRN SOLE 216 MASSEY ENERGY CO NOTE 3.250% 8/0 576203AJ2 3,448 3,946,000 PRN SHARED 3,946,000 MAXTOR CORP NOTE 2.375% 8/1 577729AE6 2,014 1,707,000 PRN SOLE 1,707,000 MEDTRONIC INC NOTE 1.500% 4/1 585055AL0 160,153 157,786,000 PRN SHARED 157,786,000 MEDTRONIC INC NOTE 1.625% 4/1 585055AM8 224,406 215,000,000 PRN SHARED 215,000,000 MILLIPORE CORP NOTE 3.750% 6/0 601073AD1 239 232,000 PRN SHARED 232,000 NETAPP INC NOTE 1.750% 6/0 64110DAB0 2,516 2,029,000 PRN SOLE 2,029,000 NEWELL RUBBERMAID INC NOTE 5.500% 3/1 651229AH9 2,521 1,335,000 PRN SOLE 1,335,000 NEWMONT MINING CORP NOTE 1.250% 7/1 651639AH9 8,041 6,446,000 PRN SHARED 6,446,000 NEWMONT MINING CORP NOTE 1.625% 7/1 651639AJ5 202 163,000 PRN SOLE 163,000 OMNICOM GROUP INC NOTE 7/3 681919AV8 66,966 69,305,000 PRN SOLE 69,305,000 PEABODY ENERGY CORP SDCV 4.750%12/1 704549AG9 2,256 2,234,000 PRN SHARED 2,234,000 PROLOGIS NOTE 2.250% 4/0 743410AQ5 17,020 18,350,000 PRN SOLE 18,350,000 PROLOGIS NOTE 2.625% 5/1 743410AS1 17,368 19,379,000 PRN SHARED 19,379,000 PROTEIN DESIGN LABS INC NOTE 2.750% 8/1 74369LAD5 5,958 5,109,000 PRN SOLE 5,109,000 PROTEIN DESIGN LABS INC NOTE 2.000% 2/1 74369LAF0 1,948 2,000,000 PRN SOLE 2,000,000 QWEST COMMUNICATIONS INTL IN NOTE 3.500%11/1 749121BY4 10,998 10,600,000 PRN SOLE 10,600,000 SCHLUMBERGER LTD DBCV 2.125% 6/0 806857AD0 12,946 7,930,000 PRN SOLE 7,930,000 SIRIUS SATELLITE RADIO INC NOTE 3.250%10/1 82966UAD5 23 25,000 PRN SOLE 25,000 STERLITE INDS INDIA LTD NOTE 4.000%10/3 859737AB4 777 740,000 PRN SOLE 740,000 SUNTECH PWR HLDGS CO LTD NOTE 3.000% 3/1 86800CAE4 4,669 5,891,000 PRN SOLE 5,891,000 SYMANTEC CORP NOTE 0.750% 6/1 871503AD0 18,792 17,280,000 PRN SHARED 17,280,000 TECH DATA CORP DBCV 2.750%12/1 878237AE6 408 379,000 PRN SHARED 379,000 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 1 1,000 PRN SHARED 1,000 TRANSOCEAN INC NOTE 1.625%12/1 893830AU3 93,937 94,886,000 PRN SHARED 94,886,000 TRANSOCEAN INC NOTE 1.500%12/1 893830AV1 63,508 65,811,000 PRN SOLE 65,811,000 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 48,542 50,433,000 PRN SHARED 50,433,000 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 481 500,000 PRN SHARED 500,000 UAL CORP NOTE 6.000%10/1 902549AJ3 332 200,000 PRN SOLE 200,000 UNITED RENTALS INC NOTE 4.000%11/1 911363AL3 2,210 2,000,000 PRN SOLE 2,000,000 VORNADO RLTY L P DEB 3.875% 4/1 929043AC1 44 40,000 PRN SOLE 40,000 WEST PHARMACEUTICAL SVSC INC SDCV 4.000% 3/1 955306AA3 294 350,000 PRN SOLE 350,000 XILINX INC SDCV 3.125% 3/1 983919AD3 1 600 PRN SOLE 600 YELLOW ROADWAY CORP NOTE 5.000% 8/0 985577AA3 1,520 2,000,000 PRN SOLE 2,000,000 YELLOW ROADWAY CORP NOTE 3.375%11/2 985577AB1 3,800 5,000,000 PRN SOLE 5,000,000 CACI INTL INC CONVERTIBLE NOTES NOTE 2.125% 5/0 127190AD8 32 300 PRN SHARED 01 300
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