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Insider Trading History of Ubs Ag
The following table details the insider trading activities
(stock purchases, stock sales, and stock option exercises) by Ubs Ag since 2005.
The trader's CIK number is 1114446.
At the time of the last reporting, Ubs Ag was the 10% Owner of Eaton Vance Senior Floating Rate Trust. (stock ticker symbol EFR).
Also see all insider trading activities at Eaton Vance Senior Floating Rate Trust.
Note that in the past
UBS AG also reported insider trading activities as an insider of the following companies:
Yearly summary of insider trading at Silverstar Holdings Ltd (SSTR) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2005 | SSTR | 0 | $0 | 300,000 | $357,000 | 0 | $0 |
Yearly summary of insider trading at Dune Energy Inc (DUNR) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2011 | DUNR | 18,560 | $15,261 | 241,991 | $219,895 | 0 | $0 |
| 2010 | DUNR | 0 | $0 | 666,933 | $169,330 | 0 | $0 |
| 2009 | DUNR | 0 | $0 | 724,727 | $110,818 | 0 | $0 |
| 2008 | DUNR | 299,330 | $587,653 | 292,447 | $573,468 | 0 | $0 |
Yearly summary of insider trading at Franklin Templeton Ltd Duration Income Trust (FTF) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2014 | FTF | 0 | $0 | 1 | $0 | 0 | $0 |
Yearly summary of insider trading at Eaton Vance Senior Income Trust (EVF) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2014 | EVF | 1 | $0 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at India Globalization Capital, Inc. (IGC) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2008 | IGC | 249,176 | $1,211,009 | 245,756 | $1,189,327 | 0 | $0 |
Yearly summary of insider trading at Eaton Vance Ltd Duration Income Fund (EVV) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2013 | EVV | 4 | $0 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Allianzgi Convertible & Income Fund (NCV) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2013 | NCV | 1 | $0 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Eaton Vance Senior Floating Rate Trust (EFR) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2014 | EFR | 2 | $0 | 0 | $0 | 0 | $0 |
| 2013 | EFR | 1 | $0 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Alliance California Municipal Income Fund (AKP) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2013 | AKP | 1 | $0 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at O2diesel Corp (OTD) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2007 | OTD | 21,380 | $19,220 | 21,380 | $18,429 | 0 | $0 |
| 2006 | OTD | 83,400 | $92,598 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Pimco Income Strategy Fund Ii (PFN) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2014 | PFN | 2 | $0 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Pimco Corporate & Income Opportunity Fund (PTY) by Ubs Ag
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2014 | PTY | 1 | $0 | 0 | $0 | 0 | $0 |
Insider trading activities at 12 companies by Ubs Ag:
1. Silverstar Holdings Ltd (SSTR)
2. Dune Energy Inc (DUNR)
3. Franklin Templeton Ltd Duration Income Trust (FTF)
4. Eaton Vance Senior Income Trust (EVF)
5. India Globalization Capital, Inc. (IGC)
6. Eaton Vance Ltd Duration Income Fund (EVV)
7. Allianzgi Convertible & Income Fund (NCV)
8. Eaton Vance Senior Floating Rate Trust (EFR)
9. Alliance California Municipal Income Fund (AKP)
10. O2diesel Corp (OTD)
11. Pimco Income Strategy Fund Ii (PFN)
12. Pimco Corporate & Income Opportunity Fund (PTY)
Table 1. Insider trading of Silverstar Holdings Ltd (SSTR) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2005-04-12 | SSTR | Sale | 300,000 | 1.19 | 357,000 |
Table 2. Insider trading of Dune Energy Inc (DUNR) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2011-04-14 | DUNR | Sale | 700 | .83 | 581 |
| 2011-04-13 | DUNR | Sale | 17,860 | .82 | 14,680 |
| 2011-04-13 | DUNR | Buy | 17,860 | .82 | 14,680 |
| 2011-04-14 | DUNR | Buy | 700 | .83 | 581 |
| 2011-01-14 | DUNR | Sale | 86,150 | 1.01 | 86,753 |
| 2011-01-10 | DUNR | Sale | 108,431 | .86 | 93,359 |
| 2011-01-11 | DUNR | Sale | 28,850 | .85 | 24,522 |
| 2010-10-06 | DUNR | Sale | 223,431 | .10 | 22,343 |
| 2010-04-29 | DNE | Sale | 342,971 | .35 | 121,754 |
| 2010-01-07 | DNE | Sale | 19,025 | .25 | 4,775 |
| 2010-01-06 | DNE | Sale | 81,506 | .25 | 20,458 |
| 2009-12-02 | DNE | Sale | 200,000 | .30 | 60,000 |
| 2009-11-19 | DNE | Sale | 267,898 | .10 | 25,450 |
| 2009-11-17 | DNE | Sale | 114,129 | .10 | 11,527 |
| 2009-11-18 | DNE | Sale | 142,700 | .10 | 13,841 |
| 2008-03-26 | DNE | Buy | 8,462 | 1.71 | 14,470 |
| 2008-03-27 | DNE | Buy | 10,500 | 1.85 | 19,477 |
| 2008-03-28 | DNE | Buy | 1,200 | 1.70 | 2,040 |
| 2008-05-23 | DNE | Buy | 2,246 | 1.07 | 2,403 |
| 2008-02-05 | DNE | Buy | 1,202 | 1.90 | 2,283 |
| 2008-03-31 | DNE | Buy | 6,150 | 1.81 | 11,149 |
| 2008-03-26 | DNE | Buy | 500 | 1.77 | 885 |
| 2008-03-25 | DNE | Buy | 7,600 | 1.70 | 12,889 |
| 2008-03-24 | DNE | Buy | 2,300 | 1.74 | 4,002 |
| 2008-03-19 | DNE | Buy | 6,550 | 1.69 | 11,069 |
| 2008-03-18 | DNE | Buy | 12,082 | 1.72 | 20,817 |
| 2008-03-20 | DNE | Buy | 300 | 1.65 | 495 |
| 2007-05-17 | DNE | Buy | 600 | 2.28 | 1,367 |
| 2008-03-17 | DNE | Sale | 13,900 | 1.71 | 23,713 |
| 2007-05-11 | DNE | Buy | 50 | 2.31 | 115 |
| 2008-02-28 | DNE | Sale | 2,500 | 1.76 | 4,412 |
| 2008-02-25 | DNE | Sale | 695 | 1.75 | 1,216 |
| 2008-03-07 | DNE | Sale | 20,000 | 1.55 | 31,000 |
| 2008-03-03 | DNE | Sale | 2,000 | 1.80 | 3,600 |
| 2008-03-17 | DNE | Sale | 1,100 | 1.72 | 1,886 |
| 2008-03-14 | DNE | Sale | 100 | 1.65 | 165 |
| 2008-03-13 | DNE | Sale | 4,393 | 1.68 | 7,380 |
| 2008-02-07 | DNE | Sale | 2,600 | 2.02 | 5,265 |
| 2008-03-10 | DNE | Sale | 750 | 1.58 | 1,185 |
| 2008-02-29 | DNE | Sale | 16,000 | 1.80 | 28,800 |
| 2007-05-24 | DNE | Buy | 5,600 | 2.24 | 12,544 |
| 2007-05-23 | DNE | Buy | 400 | 2.26 | 903 |
| 2007-05-08 | DNE | Buy | 2,200 | 2.31 | 5,082 |
| 2007-05-07 | DNE | Buy | 2,100 | 2.29 | 4,809 |
| 2007-05-04 | DNE | Buy | 4,500 | 2.36 | 10,620 |
| 2007-05-03 | DNE | Buy | 150 | 2.41 | 361 |
| 2008-03-12 | DNE | Sale | 10,000 | 1.73 | 17,300 |
| 2008-03-11 | DNE | Sale | 150 | 1.72 | 258 |
| 2008-01-31 | DNE | Sale | 1,000 | 1.84 | 1,840 |
| 2008-02-06 | DNE | Sale | 5,000 | 2.00 | 10,000 |
| 2008-02-05 | DNE | Sale | 2,500 | 1.95 | 4,875 |
| 2008-01-15 | DNE | Sale | 200 | 1.97 | 394 |
| 2008-01-11 | DNE | Sale | 4,500 | 1.80 | 8,122 |
| 2008-01-10 | DNE | Sale | 3,300 | 1.82 | 6,006 |
| 2007-12-19 | DNE | Sale | 900 | 1.79 | 1,611 |
| 2007-12-18 | DNE | Sale | 2,643 | 1.79 | 4,730 |
| 2007-10-26 | DNE | Sale | 1,000 | 2.19 | 2,190 |
| 2008-01-22 | DNE | Sale | 2,000 | 1.74 | 3,480 |
| 2007-10-22 | DNE | Sale | 400 | 2.04 | 816 |
| 2008-01-03 | DNE | Sale | 2,000 | 2.01 | 4,024 |
| 2008-01-04 | DNE | Sale | 400 | 2.02 | 808 |
| 2008-02-19 | DNE | Sale | 1,000 | 1.84 | 1,840 |
| 2008-02-12 | DNE | Sale | 200 | 1.88 | 376 |
| 2008-02-11 | DNE | Sale | 5,500 | 1.89 | 10,367 |
| 2008-01-25 | DNE | Sale | 1,200 | 1.82 | 2,184 |
| 2007-12-13 | DNE | Sale | 2,100 | 1.93 | 4,053 |
| 2008-01-09 | DNE | Sale | 4,000 | 1.80 | 7,220 |
| 2008-01-08 | DNE | Sale | 6,100 | 1.93 | 11,773 |
| 2008-01-07 | DNE | Sale | 270 | 1.98 | 534 |
| 2007-11-27 | DNE | Sale | 60 | 2.02 | 121 |
| 2007-11-29 | DNE | Sale | 3,600 | 2.04 | 7,344 |
| 2007-06-19 | DNE | Sale | 5,300 | 2.40 | 12,746 |
| 2007-06-18 | DNE | Sale | 2,500 | 2.41 | 6,025 |
| 2007-06-14 | DNE | Sale | 2,000 | 2.28 | 4,560 |
| 2007-06-13 | DNE | Sale | 2,000 | 2.27 | 4,540 |
| 2007-05-21 | DNE | Sale | 1,100 | 2.30 | 2,530 |
| 2007-05-09 | DNE | Sale | 11,000 | 2.32 | 25,520 |
| 2007-05-03 | DNE | Sale | 2,550 | 2.44 | 6,222 |
| 2007-06-08 | DNE | Sale | 1,500 | 2.24 | 3,360 |
| 2007-07-05 | DNE | Sale | 2,600 | 2.42 | 6,292 |
| 2007-06-20 | DNE | Sale | 2,000 | 2.41 | 4,820 |
| 2007-06-14 | DNE | Sale | 400 | 2.34 | 936 |
| 2007-07-19 | DNE | Sale | 3,500 | 2.38 | 8,330 |
| 2007-07-18 | DNE | Sale | 3,000 | 2.35 | 7,050 |
| 2007-07-16 | DNE | Sale | 2,000 | 2.38 | 4,760 |
| 2007-07-10 | DNE | Sale | 7,000 | 2.42 | 16,940 |
| 2007-06-29 | DNE | Sale | 2,500 | 2.35 | 5,875 |
| 2007-06-25 | DNE | Sale | 3,200 | 2.40 | 7,680 |
| 2007-06-22 | DNE | Sale | 500 | 2.34 | 1,170 |
| 2007-05-01 | DNE | Sale | 6,625 | 2.41 | 15,966 |
| 2007-05-30 | DNE | Sale | 5,000 | 2.28 | 11,399 |
| 2007-06-04 | DNE | Sale | 2 | 2.20 | 4 |
| 2007-07-10 | DNE | Buy | 10,100 | 2.41 | 24,341 |
| 2007-06-28 | DNE | Buy | 2,300 | 2.31 | 5,313 |
| 2007-06-26 | DNE | Buy | 400 | 2.31 | 924 |
| 2007-06-20 | DNE | Buy | 1,924 | 2.40 | 4,617 |
| 2007-05-01 | DNE | Buy | 9,100 | 2.46 | 22,386 |
| 2007-05-30 | DNE | Buy | 8,100 | 2.25 | 18,225 |
| 2007-05-16 | DNE | Buy | 500 | 2.28 | 1,140 |
| 2007-05-15 | DNE | Buy | 3,500 | 2.29 | 8,015 |
| 2007-07-11 | DNE | Buy | 2,900 | 2.30 | 6,669 |
| 2007-07-12 | DNE | Buy | 1,974 | 2.40 | 4,737 |
| 2007-06-01 | DNE | Sale | 1,000 | 2.19 | 2,190 |
| 2007-05-15 | DNE | Sale | 3,950 | 2.31 | 9,124 |
| 2007-07-06 | DNE | Buy | 1,500 | 2.33 | 3,495 |
| 2007-07-05 | DNE | Buy | 3,000 | 2.37 | 7,110 |
| 2007-06-19 | DNE | Buy | 8,286 | 2.40 | 19,886 |
| 2007-06-15 | DNE | Buy | 236 | 2.37 | 559 |
| 2007-07-18 | DNE | Buy | 3,700 | 2.35 | 8,676 |
| 2007-07-16 | DNE | Buy | 100 | 2.33 | 233 |
| 2007-05-14 | DNE | Buy | 5,000 | 2.30 | 11,500 |
| 2007-11-26 | DNE | Sale | 2,300 | 1.94 | 4,462 |
| 2008-02-11 | DNE | Buy | 5,500 | 1.88 | 10,356 |
| 2008-01-10 | DNE | Buy | 3,300 | 1.82 | 6,006 |
| 2007-12-04 | DNE | Buy | 3,000 | 1.88 | 5,640 |
| 2007-10-11 | DNE | Buy | 2,000 | 2.09 | 4,180 |
| 2007-11-16 | DNE | Buy | 1,600 | 2.06 | 3,296 |
| 2007-11-15 | DNE | Buy | 6,866 | 2.11 | 14,487 |
| 2007-11-13 | DNE | Buy | 2,000 | 2.06 | 4,120 |
| 2007-10-26 | DNE | Buy | 200 | 2.16 | 432 |
| 2007-11-21 | DNE | Buy | 1,600 | 1.97 | 3,152 |
| 2008-01-11 | DNE | Buy | 4,500 | 1.80 | 8,122 |
| 2008-01-15 | DNE | Buy | 200 | 1.97 | 394 |
| 2007-12-31 | DNE | Buy | 4,373 | 2.00 | 8,746 |
| 2008-01-09 | DNE | Buy | 3,000 | 1.80 | 5,400 |
| 2008-01-08 | DNE | Buy | 5,000 | 1.88 | 9,400 |
| 2008-01-07 | DNE | Buy | 1,170 | 1.99 | 2,328 |
| 2008-01-04 | DNE | Buy | 400 | 2.02 | 808 |
| 2008-01-03 | DNE | Buy | 2,000 | 2.02 | 4,040 |
| 2007-12-12 | DNE | Buy | 679 | 1.92 | 1,303 |
| 2007-12-10 | DNE | Buy | 2,600 | 1.94 | 5,044 |
| 2007-11-06 | DNE | Buy | 1,001 | 2.18 | 2,182 |
| 2007-11-05 | DNE | Buy | 410 | 2.17 | 889 |
| 2007-08-21 | DNE | Buy | 964 | 2.23 | 2,149 |
| 2007-08-28 | DNE | Buy | 2,414 | 2.22 | 5,359 |
| 2008-03-31 | DNE | Sale | 6,150 | 1.83 | 11,229 |
| 2008-03-28 | DNE | Sale | 1,200 | 1.70 | 2,040 |
| 2008-03-26 | DNE | Sale | 13,662 | 1.78 | 24,318 |
| 2008-03-25 | DNE | Sale | 5,600 | 1.70 | 9,520 |
| 2008-03-24 | DNE | Sale | 2,300 | 1.74 | 3,990 |
| 2008-03-19 | DNE | Sale | 11,150 | 1.68 | 18,765 |
| 2008-03-18 | DNE | Sale | 16,982 | 1.73 | 29,327 |
| 2007-09-11 | DNE | Buy | 175 | 2.18 | 381 |
| 2007-09-12 | DNE | Buy | 3,000 | 2.14 | 6,420 |
| 2007-09-27 | DNE | Buy | 265 | 2.11 | 559 |
| 2007-08-09 | DNE | Buy | 1,000 | 2.27 | 2,270 |
| 2007-08-07 | DNE | Buy | 2,900 | 2.18 | 6,322 |
| 2007-08-06 | DNE | Buy | 2,153 | 2.21 | 4,768 |
| 2007-08-03 | DNE | Buy | 1,059 | 2.25 | 2,388 |
| 2007-09-07 | DNE | Buy | 1,053 | 2.17 | 2,285 |
| 2007-08-16 | DNE | Buy | 1,418 | 2.17 | 3,077 |
| 2007-09-18 | DNE | Buy | 6,465 | 2.12 | 13,705 |
| 2008-03-20 | DNE | Sale | 300 | 1.65 | 495 |
| 2008-02-12 | DNE | Buy | 100 | 1.88 | 188 |
| 2007-11-21 | DNE | Sale | 1,000 | 1.95 | 1,950 |
| 2007-08-31 | DNE | Sale | 2,000 | 2.22 | 4,440 |
| 2007-09-06 | DNE | Sale | 800 | 2.22 | 1,776 |
| 2007-08-17 | DNE | Sale | 2,742 | 2.18 | 5,977 |
| 2007-08-16 | DNE | Sale | 2,000 | 2.16 | 4,320 |
| 2007-08-15 | DNE | Sale | 900 | 2.23 | 2,007 |
| 2007-08-14 | DNE | Sale | 1,000 | 2.19 | 2,190 |
| 2007-09-12 | DNE | Sale | 5,948 | 2.15 | 12,788 |
| 2007-08-29 | DNE | Sale | 320 | 2.22 | 710 |
| 2007-11-12 | DNE | Sale | 462 | 2.19 | 1,011 |
| 2007-11-13 | DNE | Sale | 3,000 | 2.06 | 6,180 |
| 2007-11-09 | DNE | Sale | 2,000 | 2.18 | 4,360 |
| 2007-10-31 | DNE | Sale | 2,600 | 2.16 | 5,616 |
| 2007-12-07 | DNE | Sale | 2,300 | 1.93 | 4,439 |
| 2007-11-30 | DNE | Sale | 1,243 | 1.96 | 2,436 |
| 2007-10-18 | DNE | Sale | 800 | 2.07 | 1,655 |
| 2007-10-11 | DNE | Sale | 2,000 | 2.09 | 4,180 |
| 2007-11-15 | DNE | Sale | 900 | 2.15 | 1,935 |
| 2007-11-14 | DNE | Sale | 1,000 | 2.16 | 2,160 |
| 2007-08-21 | DNE | Sale | 500 | 2.25 | 1,125 |
| 2007-08-09 | DNE | Sale | 4,000 | 2.29 | 9,140 |
| 2008-03-11 | DNE | Buy | 1,000 | 1.66 | 1,660 |
| 2008-03-12 | DNE | Buy | 10,000 | 1.73 | 17,300 |
| 2008-01-22 | DNE | Buy | 2,000 | 1.74 | 3,480 |
| 2008-02-25 | DNE | Buy | 1,200 | 1.75 | 2,100 |
| 2008-02-08 | DNE | Buy | 2,000 | 1.90 | 3,800 |
| 2008-01-31 | DNE | Buy | 1,000 | 1.84 | 1,840 |
| 2008-02-07 | DNE | Buy | 3,100 | 1.98 | 6,147 |
| 2008-02-06 | DNE | Buy | 5,000 | 2.00 | 10,000 |
| 2008-02-19 | DNE | Buy | 2,800 | 1.83 | 5,138 |
| 2008-03-13 | DNE | Buy | 4,103 | 1.67 | 6,852 |
| 2008-03-14 | DNE | Buy | 100 | 1.65 | 165 |
| 2008-03-17 | DNE | Buy | 12,700 | 1.72 | 21,882 |
| 2008-03-03 | DNE | Buy | 3,700 | 1.80 | 6,660 |
| 2008-03-07 | DNE | Buy | 20,000 | 1.55 | 31,000 |
| 2008-02-25 | DNE | Buy | 800 | 1.74 | 1,392 |
| 2008-02-26 | DNE | Buy | 400 | 1.75 | 700 |
| 2008-02-28 | DNE | Buy | 1,000 | 1.75 | 1,750 |
| 2008-02-29 | DNE | Buy | 16,000 | 1.80 | 28,800 |
| 2008-03-10 | DNE | Buy | 750 | 1.58 | 1,185 |
Table 3. Insider trading of Franklin Templeton Ltd Duration Income Trust (FTF) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2014-03-14 | FTF | Sale | 1 | .00 | 0 |
Table 4. Insider trading of Eaton Vance Senior Income Trust (EVF) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2014-02-25 | EVF | Buy | 1 | .00 | 0 |
Table 5. Insider trading of India Globalization Capital, Inc. (IGC) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2008-04-10 | IGC | Buy | 300 | 4.79 | 1,437 |
| 2008-04-28 | IGC | Buy | 6,008 | 4.83 | 29,018 |
| 2008-04-25 | IGC | Buy | 4,700 | 4.75 | 22,325 |
| 2008-04-24 | IGC | Buy | 3,800 | 4.80 | 18,224 |
| 2008-04-23 | IGC | Buy | 300 | 4.85 | 1,455 |
| 2008-04-22 | IGC | Buy | 6,000 | 2.45 | 14,700 |
| 2008-04-14 | IGC | Buy | 4,300 | 4.81 | 20,683 |
| 2008-04-15 | IGC | Buy | 1,000 | 4.75 | 4,750 |
| 2008-04-16 | IGC | Buy | 200 | 4.86 | 972 |
| 2008-05-02 | IGC | Buy | 4,190 | 4.81 | 20,153 |
| 2008-05-05 | IGC | Buy | 200 | 4.72 | 944 |
| 2008-05-07 | IGC | Buy | 5,292 | 4.71 | 24,925 |
| 2008-05-08 | IGC | Buy | 1,300 | 4.62 | 6,012 |
| 2008-05-09 | IGC | Buy | 5,900 | 4.61 | 27,199 |
| 2008-05-12 | IGC | Buy | 1,565 | 4.58 | 7,167 |
| 2008-04-30 | IGC | Buy | 1,000 | 4.90 | 4,900 |
| 2008-05-01 | IGC | Buy | 2,000 | 4.86 | 9,720 |
| 2008-03-27 | IGC | Buy | 3,500 | 4.25 | 14,875 |
| 2008-06-10 | IGC | Sale | 25 | .00 | 0 |
| 2008-06-11 | IGC | Sale | 3,600 | 3.48 | 12,538 |
| 2008-06-09 | IGC | Sale | 2,500 | 5.54 | 13,839 |
| 2008-06-12 | IGC | Sale | 17,635 | 5.48 | 96,639 |
| 2008-04-01 | IGC | Buy | 500 | 4.24 | 2,120 |
| 2008-04-02 | IGC | Buy | 200 | 4.35 | 869 |
| 2008-04-03 | IGC | Buy | 1,000 | 4.45 | 4,445 |
| 2008-04-04 | IGC | Buy | 800 | 4.50 | 3,600 |
| 2008-04-07 | IGC | Buy | 475 | 4.50 | 2,137 |
| 2008-04-09 | IGC | Buy | 3,800 | 4.75 | 18,069 |
| 2008-03-20 | IGC | Buy | 2,800 | 4.05 | 11,340 |
| 2008-03-24 | IGC | Buy | 200 | 4.50 | 900 |
| 2008-03-25 | IGC | Buy | 1,159 | 4.21 | 4,885 |
| 2008-03-26 | IGC | Buy | 31 | 4.48 | 138 |
| 2008-06-06 | IGC | Sale | 200 | 5.75 | 1,150 |
| 2008-05-13 | IGC | Buy | 1,752 | 4.64 | 8,134 |
| 2008-04-23 | IGC | Sale | 300 | 4.85 | 1,455 |
| 2008-04-24 | IGC | Sale | 3,500 | 4.82 | 16,870 |
| 2008-04-25 | IGC | Sale | 1,600 | 4.75 | 7,608 |
| 2008-04-28 | IGC | Sale | 6,008 | 4.83 | 29,018 |
| 2008-04-10 | IGC | Sale | 300 | 4.79 | 1,437 |
| 2008-04-14 | IGC | Sale | 4,300 | 4.81 | 20,683 |
| 2008-04-15 | IGC | Sale | 1,000 | 4.75 | 4,750 |
| 2008-05-01 | IGC | Sale | 2,000 | 4.86 | 9,720 |
| 2008-05-02 | IGC | Sale | 4,190 | 4.84 | 20,267 |
| 2008-05-05 | IGC | Sale | 200 | 4.72 | 944 |
| 2008-05-07 | IGC | Sale | 5,292 | 4.71 | 24,925 |
| 2008-05-08 | IGC | Sale | 1,300 | 4.62 | 6,012 |
| 2008-05-09 | IGC | Sale | 5,900 | 4.61 | 27,199 |
| 2008-05-12 | IGC | Sale | 1,565 | 4.58 | 7,167 |
| 2008-05-13 | IGC | Sale | 1,952 | 4.67 | 9,108 |
| 2008-04-22 | IGC | Sale | 6,000 | 2.45 | 14,700 |
| 2008-04-09 | IGC | Sale | 3,900 | 4.79 | 18,681 |
| 2008-05-15 | IGC | Buy | 2,000 | 4.60 | 9,200 |
| 2008-05-16 | IGC | Buy | 1,500 | 4.79 | 7,185 |
| 2008-04-01 | IGC | Sale | 500 | 4.24 | 2,120 |
| 2008-04-16 | IGC | Sale | 200 | 4.85 | 969 |
| 2008-04-02 | IGC | Sale | 200 | 4.35 | 869 |
| 2008-04-03 | IGC | Sale | 1,000 | 4.44 | 4,440 |
| 2008-04-04 | IGC | Sale | 800 | 4.50 | 3,600 |
| 2008-03-31 | IGC | Sale | 100 | 4.32 | 432 |
| 2008-04-07 | IGC | Sale | 475 | 4.50 | 2,137 |
| 2008-03-20 | IGC | Sale | 2,400 | 4.09 | 9,823 |
| 2008-03-24 | IGC | Sale | 200 | 4.50 | 900 |
| 2008-03-25 | IGC | Sale | 1,000 | 4.25 | 4,250 |
| 2008-03-26 | IGC | Sale | 31 | 4.48 | 138 |
| 2008-03-27 | IGC | Sale | 3,500 | 4.25 | 14,875 |
| 2008-04-30 | IGC | Sale | 1,000 | 4.90 | 4,900 |
| 2008-05-15 | IGC | Sale | 2,300 | 4.67 | 10,741 |
| 2008-06-06 | IGC | Sale | 2,834 | 5.57 | 15,791 |
| 2008-05-30 | IGC | Sale | 590 | 4.92 | 2,902 |
| 2008-07-14 | IGC | Buy | 300 | 4.94 | 1,482 |
| 2008-06-13 | IGC | Sale | 7,000 | 5.33 | 37,310 |
| 2008-06-16 | IGC | Sale | 6,420 | 5.27 | 33,833 |
| 2008-06-17 | IGC | Sale | 1,500 | 2.63 | 3,952 |
| 2008-06-20 | IGC | Sale | 7,700 | 4.99 | 38,423 |
| 2008-06-19 | IGC | Sale | 3,600 | 5.16 | 18,576 |
| 2008-06-23 | IGC | Sale | 2,100 | 4.87 | 10,227 |
| 2008-06-24 | IGC | Sale | 500 | 4.87 | 2,435 |
| 2008-06-25 | IGC | Sale | 7,123 | 5.07 | 36,092 |
| 2008-06-26 | IGC | Sale | 1,000 | 4.86 | 4,860 |
| 2008-06-27 | IGC | Sale | 500 | 5.07 | 2,535 |
| 2008-07-10 | IGC | Sale | 1,250 | 4.94 | 6,175 |
| 2008-07-03 | IGC | Sale | 1,700 | 4.80 | 8,160 |
| 2008-06-30 | IGC | Sale | 1,000 | .00 | 0 |
| 2008-07-11 | IGC | Buy | 1,550 | 4.84 | 7,502 |
| 2008-07-09 | IGC | Buy | 2,826 | 4.88 | 13,790 |
| 2008-06-30 | IGC | Buy | 1,000 | .00 | 0 |
| 2008-06-16 | IGC | Buy | 6,260 | 5.25 | 32,865 |
| 2008-06-17 | IGC | Buy | 1,300 | 3.52 | 4,570 |
| 2008-06-20 | IGC | Buy | 8,100 | 4.96 | 40,216 |
| 2008-06-19 | IGC | Buy | 4,400 | 5.17 | 22,748 |
| 2008-06-23 | IGC | Buy | 1,600 | 4.80 | 7,680 |
| 2008-06-13 | IGC | Buy | 5,200 | 5.33 | 27,716 |
| 2008-06-23 | IGC | Buy | 800 | 4.99 | 3,992 |
| 2008-06-24 | IGC | Buy | 500 | 4.87 | 2,435 |
| 2008-06-25 | IGC | Buy | 5,800 | 5.05 | 29,290 |
| 2008-06-26 | IGC | Buy | 600 | 4.87 | 2,922 |
| 2008-06-27 | IGC | Buy | 500 | 5.07 | 2,535 |
| 2008-07-10 | IGC | Buy | 1,250 | 4.94 | 6,175 |
| 2008-07-01 | IGC | Buy | 1,493 | 4.82 | 7,196 |
| 2008-07-03 | IGC | Buy | 1,700 | 4.82 | 8,194 |
| 2008-07-09 | IGC | Sale | 2,659 | 4.89 | 12,991 |
| 2008-06-04 | IGC | Sale | 1,750 | 5.86 | 10,262 |
| 2008-06-09 | IGC | Buy | 2,500 | 5.54 | 13,839 |
| 2008-06-12 | IGC | Buy | 16,760 | 5.56 | 93,185 |
| 2008-06-13 | IGC | Buy | 2,800 | 5.35 | 14,979 |
| 2008-05-16 | IGC | Sale | 1,500 | 4.79 | 7,185 |
| 2008-05-20 | IGC | Sale | 1,263 | 4.29 | 5,411 |
| 2008-05-21 | IGC | Sale | 19,172 | 4.54 | 86,964 |
| 2008-05-19 | IGC | Sale | 1,062 | 4.59 | 4,874 |
| 2008-05-22 | IGC | Sale | 35,698 | 5.34 | 190,698 |
| 2008-06-02 | IGC | Sale | 500 | 5.25 | 2,622 |
| 2008-05-23 | IGC | Sale | 3,150 | 5.11 | 16,096 |
| 2008-05-27 | IGC | Sale | 5,760 | 4.99 | 28,742 |
| 2008-05-28 | IGC | Sale | 400 | 4.84 | 1,937 |
| 2008-05-29 | IGC | Sale | 1,040 | 4.92 | 5,116 |
| 2008-06-02 | IGC | Sale | 22,739 | 5.23 | 118,970 |
| 2008-06-03 | IGC | Sale | 15,423 | 4.04 | 62,308 |
| 2008-06-11 | IGC | Buy | 3,600 | 3.89 | 14,011 |
| 2008-06-10 | IGC | Buy | 25 | .00 | 0 |
| 2008-07-11 | IGC | Sale | 1,550 | 4.83 | 7,494 |
| 2008-07-14 | IGC | Sale | 300 | 4.94 | 1,482 |
| 2008-05-22 | IGC | Buy | 38,429 | 5.22 | 200,676 |
| 2008-05-20 | IGC | Buy | 1,225 | 4.13 | 5,059 |
| 2008-05-21 | IGC | Buy | 17,046 | 5.04 | 85,826 |
| 2008-05-19 | IGC | Buy | 1,062 | 4.59 | 4,874 |
| 2008-05-23 | IGC | Buy | 3,000 | 5.16 | 15,467 |
| 2008-05-27 | IGC | Buy | 3,760 | 4.94 | 18,574 |
| 2008-05-28 | IGC | Buy | 1,300 | 4.86 | 6,311 |
| 2008-06-04 | IGC | Buy | 2,550 | 5.90 | 15,034 |
| 2008-05-30 | IGC | Buy | 590 | 4.92 | 2,902 |
| 2008-05-29 | IGC | Buy | 1,040 | 4.92 | 5,116 |
| 2008-06-02 | IGC | Buy | 24,315 | 5.24 | 127,410 |
| 2008-06-03 | IGC | Buy | 14,723 | 3.77 | 55,505 |
| 2008-06-06 | IGC | Buy | 1,500 | 5.63 | 8,452 |
Table 6. Insider trading of Eaton Vance Ltd Duration Income Fund (EVV) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2013-06-19 | EVV | Buy | 4 | .00 | 0 |
Table 7. Insider trading of Allianzgi Convertible & Income Fund (NCV) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2013-10-18 | NCV | Buy | 1 | .00 | 0 |
Table 8. Insider trading of Eaton Vance Senior Floating Rate Trust (EFR) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2014-04-02 | EFR | Buy | 2 | .00 | 0 |
| 2013-11-12 | EFR | Buy | 1 | .00 | 0 |
Table 9. Insider trading of Alliance California Municipal Income Fund (AKP) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2013-11-08 | AKP | Buy | 1 | .00 | 0 |
Table 10. Insider trading of O2diesel Corp (OTD) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2007-01-25 | OTD | Sale | 21,380 | .86 | 18,429 |
| 2007-01-24 | OTD | Buy | 21,380 | .90 | 19,220 |
| 2006-09-07 | OTD | Buy | 14,800 | 1.11 | 16,472 |
| 2006-09-07 | OTD | Buy | 41,000 | 1.09 | 44,690 |
| 2006-09-07 | OTD | Buy | 27,600 | 1.14 | 31,436 |
Table 11. Insider trading of Pimco Income Strategy Fund Ii (PFN) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2014-02-25 | PFN | Buy | 1 | .00 | 0 |
| 2014-02-03 | PFN | Buy | 1 | .00 | 0 |
Table 12. Insider trading of Pimco Corporate & Income Opportunity Fund (PTY) by Ubs Ag
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2014-02-25 | PTY | Buy | 1 | .00 | 0 |
Insider trading activities including stock purchases, stock sales, and option exercises
listed in the above table cannot be completely guaranteed as to their accuracy.
For more information regarding the trades made by Ubs Ag
(10% Owner of Eaton Vance Senior Floating Rate Trust at the time of this reporting) see
the Securities and Exchange Commission (SEC) website.