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Click to view... | Registrant | About | Filings | Files | Relationships | Names | Topics | Web | ||||||||||||||||||||||||||||||
List All Filings | or | ||
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Most-Recent Filing: | ‘13F-NT’ — Quarterly Holdings Notice by a Money Manager — Form 13F — for 12/31/23 — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | ||||||||
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2/7/24 | 13F-NT | Ownership: | Quarterly Holdings Notices by Money Managers — Form 13F — | 76 | ||||||||
11/30/16 | OLD | 40-206A | Registration: | Applications for Exemptions by Investment Advisors OLD | 2 | |||||||
1/31/13 | OLD | 40-APP | Registration: | Applications for Exemption Orders and Other Relief by Investment Companies OLD | 11 | |||||||
6/7/11 | OLD | APP ORDR | SEC: | Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders OLD | 2 | |||||||
5/17/11 | OLD | APP NTC | SEC: | Application for an SEC Exemption Order – ‘40-APP’ SEC Notice OLD | 1 | |||||||
5/10/11 | OLD | NO ACT | SEC: | SEC No-Action Letter re: a Shareholder Proposal OLD | 1 | |||||||
1/30/07 | OLD | REGDEX | Registration: | Notice of an Exempt Offering of Securities — Form D OLD | 1 | |||||||
1/9/02 | OLD | SC 13G | Ownership: | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G OLD | 3 | |||||||
General Exhibits: | ||||||||||||
11/9/01 | OLD | EX-1 | Underwriting Agreement or Conflict Minerals Report (or mislabeled “1st Exhibit”) OLD | 1 | ||||||||
Graphics: | ||||||||||||
1/31/13 | OLD | GRAPHIC | Photos, Images and Graphs OLD | 87 |
As Of | | Quarter (Ended) | Holdings Form 13F | Assets (Millions) | Reporting Manager Manager with whom Investment Discretion is Shared | ||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2/9/24 | 12/31/23 | 5,893 | of | 18,527 | $175,961,464 | UBS Group AG | |||||||
11/12/14 | 9/30/14 | 5,470 | of | 15,317 | $70,536 | UBS AG |
Year | # of Filings | |
---|---|---|
2024 | 1 | |
2023 | 4 | |
2022 | 4 | |
2021 | 4 | |
2020 | 4 | |
2019 | 4 | |
2018 | 4 | |
2017 | 6 | |
2016 | 5 | |
2015 | 4 | |
2014 | 4 | |
2013 | 5 | |
2012 | 5 | |
2011 | 9 | |
2010 | 6 | |
2009 | 7 | |
2008 | 5 | |
2007 | 5 | |
2006 | 4 | |
2005 | 2 | |
⇑ | ||
2003 | 3 | |
2002 | 1 | |
2001 | 2 |