UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC

Q1 2021 13F Combination Report, Stock Holdings

Signature - Title
Barry J. Mullen - COMPLIANCE HEAD, UBS AM BUSINESS UNIT OF UBS AM AMERICAS LLC
Location
Chicago, IL
Holdings as of
March 31, 2021
Value $
$226B
Num holdings
2,604
Date filed
5/13/2021, 06:20 PM
Description
A portion of the US holdings for this investor are reported in this report and a portion are reported by other reporting manager(s). The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. The market value column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in accounts.
Previous filing
Q4 2020 - Mar 1, 2021
Next filing
Q2 2021 - Aug 16, 2021
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2021 Q1 compared to 2020 Q4 - Restatement by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
BARRY J. MULLEN CHIEF COMPLIANCE OFFICER New York, New York 5/13/2020

List of Other Managers Reporting for UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC:

Name Holdings Value Location File Number
Artisan Partners Limited Partnership $66.7B Milwaukee, WI 028-13578
GQG Partners LLC $63.8B Ft. Lauderdale, FL 028-17876
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC $45.3B Los Angeles, CA 028-05792
JACOBS LEVY EQUITY MANAGEMENT, INC $25.9B Florham Park, NJ 028-03059
BROWN BROTHERS HARRIMAN & CO $14.7B New York, NY 028-00408
RIVERBRIDGE PARTNERS LLC $7.49B Minneapolis, MN 028-05655
ARGA Investment Management, LP $3.02B Stamford, CT 028-15430
RWC ASSET ADVISORS (US) LLC $837M Miami, FL 028-19400
KETTLE HILL CAPITAL MANAGEMENT, LLC $390M New York, NY 028-17689
PCJ Investment Counsel Ltd. $316M Toronto, Ontario, Canada 028-12690
Fulcrum Asset Management LLP $0 London, United Kingdom 028-20335
Aviva Investors Americas LLC Chicago, IL 028-20645
J.P. Morgan Investment Management Inc. New York, NY 028-11937
Neuberger Berman Investment Advisers LLC New York, NY 028-17085

Other Included Managers (5):

Num Name Location File Number
1 UBS GROUP AG 028-16612
2 UBS ASSET MANAGEMENT TRUST COMPANY 028-03900
7 UBS AG/UBS ASSET MANAGEMENT 028-10396
8 UBS ASSET MANAGEMENT (UK) LTD 028-05673
9 UBS ASSET MANAGEMENT LIFE LTD 028-05961