0001325358-17-000285.txt : 20170301 0001325358-17-000285.hdr.sgml : 20170301 20170301164005 ACCESSION NUMBER: 0001325358-17-000285 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170301 DATE AS OF CHANGE: 20170301 EFFECTIVENESS DATE: 20170301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS FUNDS CENTRAL INDEX KEY: 0000886244 IRS NUMBER: 367056204 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-06637 FILM NUMBER: 17654757 BUSINESS ADDRESS: STREET 1: C/O UBS ASSET MANAGEMENT (AMERICAS) INC STREET 2: ONE NORTH WACKER DR. CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-525-7100 MAIL ADDRESS: STREET 1: C/O UBS ASSET MANAGEMENT (AMERICAS) INC STREET 2: ONE NORTH WACKER DR. CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: BRINSON FUNDS INC DATE OF NAME CHANGE: 19920929 0000886244 S000002978 UBS U.S. Large Cap Equity Fund C000008178 Class A BNEQX C000008180 CLASS C BNQCX C000008181 CLASS P BPEQX 0000886244 S000002979 UBS GLOBAL ALLOCATION FUND C000008182 CLASS A BNGLX C000008184 CLASS C BNPCX C000008185 CLASS P BPGLX 0000886244 S000002980 UBS International Sustainable Equity Fund C000008186 CLASS A BNIEX C000008188 CLASS C BNICX C000008189 CLASS P BNUEX 0000886244 S000002981 UBS CORE PLUS BOND FUND C000008190 CLASS A BNBDX C000008192 CLASS C BNOCX C000008193 CLASS P BPBDX 0000886244 S000002982 UBS U.S. EQUITY OPPORTUNITY FUND C000008194 CLASS A BNVAX C000008196 CLASS C BNVCX C000008197 CLASS P BUSVX 0000886244 S000002985 UBS U.S. SMALL CAP GROWTH FUND C000008206 CLASS A BNSCX C000008208 CLASS C BNMCX C000008209 CLASS P BISCX 0000886244 S000003135 UBS DYNAMIC ALPHA FUND C000008503 CLASS A BNAAX C000008505 CLASS C BNACX C000008506 CLASS P BNAYX 0000886244 S000017860 UBS Asset Growth Fund C000049576 Class A BGFAX C000049577 Class C BGFCX C000049578 Class P BGFYX 0000886244 S000030411 UBS Fixed Income Opportunities Fund C000093446 CLASS A FNOAX C000093447 CLASS C FNOCX C000093448 CLASS P FNOYX 0000886244 S000047156 UBS Municipal Bond Fund C000147812 Class A UMBAX C000147813 Class C UMBCX C000147814 Class P UMBPX 0000886244 S000053041 UBS Total Return Bond Fund C000166868 Class A UTBAX C000166869 Class C UTBCX C000166870 Class P UTBPX NSAR-A 1 answer.fil MAIN DOCUMENT 000 A000000 12/31/2016 000 C000000 0000886244 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 THE UBS FUNDS 001 B000000 811-06637 001 C000000 2127132000 002 A000000 ONE NORTH WACKER DRIVE 002 B000000 CHICAGO 002 C000000 IL 002 D010000 60606 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 11 007 C010100 1 007 C020100 UBS GLOBAL ALLOCATION FUND 007 C030100 N 007 C010200 2 007 C010300 3 007 C010400 4 007 C020400 UBS INTERNATIONAL SUSTAINABLE EQUITY FUND 007 C030400 N 007 C010500 5 007 C010600 6 007 C020600 UBS U.S. LARGE CAP EQUITY FUND 007 C030600 N 007 C010700 7 007 C010800 8 007 C020800 UBS CORE PLUS BOND FUND 007 C030800 Y 007 C010900 9 007 C011000 10 007 C011100 11 007 C021100 UBS U.S. SMALL CAP GROWTH FUND 007 C031100 N 007 C011200 12 007 C011300 13 007 C011400 14 007 C011500 15 007 C021500 UBS U.S. EQUITY OPPORTUNITY FUND 007 C031500 Y 007 C011600 16 007 C021600 UBS DYNAMIC ALPHA FUND 007 C031600 N 007 C011700 17 007 C011800 18 007 C011900 19 007 C012000 20 007 C022000 UBS ASSET GROWTH FUND 007 C032000 Y 007 C012100 21 007 C012200 22 007 C012300 23 007 C012400 24 007 C012500 25 007 C012600 26 007 C022600 UBS FIXED INCOME OPPORTUNITIES FUND 007 C032600 Y 007 C012700 27 007 C012800 28 007 C012900 29 007 C022900 UBS MUNICIPAL BOND FUND 007 C032900 N 007 C013000 30 007 C023000 UBS TOTAL RETURN BOND FUND 007 C033000 N 008 A00AA01 UBS ASSET MANAGEMENT (AMERICAS) INC. 008 B00AA01 A 008 C00AA01 801-34910 008 D01AA01 NEW YORK 008 D02AA01 NY 008 D03AA01 10019 008 D04AA01 6028 010 A00AA01 UBS ASSET MANAGEMENT (AMERICAS) INC. 010 B00AA01 801-34910 010 C01AA01 NEW YORK 010 C02AA01 NY 010 C03AA01 10019 010 C04AA01 6028 011 A00AA01 UBS ASSET MANAGEMENT (US),INC. 011 B00AA01 8-00000 011 C01AA01 NEW YORK 011 C02AA01 NY 011 C03AA01 10019 011 C04AA01 6114 012 A00AA01 BNY MELLON ASSET SERVICING 012 B00AA01 84-1761 012 C01AA01 PITTSBURGH 012 C02AA01 PA 012 C03AA01 15252 012 C04AA01 8035 013 A00AA01 ERNST & YOUNG LLP 013 B01AA01 NEW YORK 013 B02AA01 NY 013 B03AA01 10036 013 B04AA01 6530 014 A00AA01 MILLENNIUM ADVISORS, LLC 014 B00AA01 8-00000 014 A00AA02 OOO UBS BANK 014 B00AA02 8-00000 014 A00AA03 PT UBS SECURITIES INDONESIA 014 B00AA03 8-00000 014 A00AA04 UBS ASSET MANAGEMENT (US) INC. 014 B00AA04 8-00000 014 A00AA05 UBS (BAHAMAS) LTD. 014 B00AA05 8-00000 014 A00AA06 UBS (LUXEMBOURG) S.A 014 B00AA06 8-00000 014 A00AA07 UBS (MONACO) S.A 014 B00AA07 8-00000 014 A00AA08 UBS AG 014 B00AA08 8-00000 014 A00AA09 UBS AMERICAS INC. 014 B00AA09 8-00000 014 A00AA10 UBS ASSET MANAGEMENT (AMERICAS) INC. 014 B00AA10 8-00000 014 A00AA11 UBS ASSET MANAGEMENT (TAIWAN) LTD. 014 B00AA11 8-00000 014 A00AA12 UBS BANK (CANADA) 014 B00AA12 8-00000 014 A00AA13 UBS BANK MEXICO S.A.INSTITUCION DE BANCA MULTIPLE, UBS GRUPO 014 B00AA13 8-00000 014 A00AA14 UBS BANK, S.A. 014 B00AA14 8-00000 014 A00AA15 UBS CASA DE BOLSA S.A. 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00-0000000 025 C003001 D 025 D003001 78 025 A003002 BANK OF AMERICA CORP. 025 B003002 56-2058405 025 C003002 D 025 D003002 452 025 A003003 CITIGROUP, INC. 025 B003003 11-2418067 025 C003003 D 025 D003003 549 025 A003004 GOLDMAN SACHS & CO. 025 B003004 13-5108880 025 C003004 D 025 D003004 843 025 A003005 JPMORGAN CHASE & CO. 025 B003005 13-3224022 025 C003005 E 025 D003005 99 025 A003006 JPMORGAN CHASE & CO. 025 B003006 13-3224022 025 C003006 D 025 D003006 467 025 A003007 MORGAN STANLEY 025 B003007 13-2655998 025 C003007 D 025 D003007 1037 028 A013000 28 028 A023000 189 028 A033000 0 028 A043000 715 028 B013000 102 028 B023000 130 028 B033000 0 028 B043000 29790 028 C013000 64 028 C023000 255 028 C033000 0 028 C043000 33236 028 D013000 14 028 D023000 101 028 D033000 0 028 D043000 5260 028 E013000 101 028 E023000 91 028 E033000 0 028 E043000 915 028 F013000 5 028 F023000 89 028 F033000 0 028 F043000 1158 028 G013000 314 028 G023000 855 028 G033000 0 028 G043000 71074 028 H003000 5 029 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B003000 1214 072 C003000 31 072 D003000 0 072 E003000 0 072 F003000 213 072 G003000 32 072 H003000 0 072 I003000 5 072 J003000 27 072 K003000 0 072 L003000 13 072 M003000 22 072 N003000 4 072 O003000 0 072 P003000 0 072 Q003000 0 072 R003000 17 072 S003000 0 072 T003000 0 072 U003000 55 072 V003000 0 072 W003000 18 072 X003000 406 072 Y003000 192 072 Z003000 1031 072AA003000 1070 072BB003000 0 072CC013000 0 072CC023000 2357 072DD013000 0 072DD023000 1126 072EE003000 0 073 A013000 0.0815 073 A023000 0.2741 073 B003000 0.0000 073 C003000 0.0000 074 A003000 153 074 B003000 0 074 C003000 11149 074 D003000 54494 074 E003000 99 074 F003000 0 074 G003000 0 074 H003000 0 074 I003000 0 074 J003000 18244 074 K003000 30 074 L003000 407 074 M003000 158 074 N003000 84734 074 O003000 28771 074 P003000 0 074 Q003000 0 074 R013000 0 074 R023000 0 074 R033000 68 074 R043000 260 074 S003000 0 074 T003000 55635 074 U013000 0 074 U023000 3785 074 V013000 0 074 V023000 0 074 W003000 0.0000 074 X003000 3014 074 Y003000 19662 075 A003000 0 075 B003000 84661 076 003000 0.00 SIGNATURE Thomas Disbrow TITLE Vice President & Treasurer EX-99.77O RULE 10F-3 2 a77o.htm EX-99.77O RULE 10F-3 

For period ending December 31, 2016			Exhibit 77O

File number 811-06637

FORM 10f-3
Registered Domestic Securities and Government Securities

FUND:  UBS U. S. Small Cap Growth Fund
Name of Adviser or Sub-Adviser:  UBS Asset Management (Americas) Inc.
1.  Issuer:  Medpace Holdings Inc.
2.  Date of Purchase:  08/11/2016
3.  Underwriter(s) from whom purchased:  Jefferies LLC
4.  "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank_______________
5.  Aggregate principal amount or number of shares purchased: 20,000 shares (Firmwide)
4,300 shares (Fund)
6.  Aggregate principal amount or total number of shares of offering:  7,000,000 shares
7.  Purchase price per unit or share (net of fees and expenses):  $23                                         ___
8.  Initial public offering price per unit or share:  $23___                                                           __
9.  Commission, spread or profit: 6.25%

10.  Have the following conditions been satisfied?
YES
NO
a.	The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b.	The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c.	The securities purchased at a price not more than the price paid by each other purchaser in the offering.
d.	The underwriting was a firm commitment underwriting.


X_______


X_______





X_______


X_______



_______


_______





_______


_______

e.	The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f.	The issuer of the securities and any predecessor has been in continuous operation for not less than three years.

X_______


X_______

_______


_______

g.	The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.


X_______


_______
h.	No Affiliated Underwriter benefited directly or indirectly from the purchase.

X_______

_______

Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above.  In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Leesa D. Merrill	_______________________		Date: 10/27/2016

Print Name: Leesa D. Merrill         ________________        ______________________________












FORM 10f-3
Registered Domestic Securities and Government Securities

FUND:  UBS U. S. Small Cap Growth Fund
Name of Adviser or Sub-Adviser:  UBS Asset Management (Americas) Inc.
1.  Issuer:  FB Financial Corp
2.  Date of Purchase:  09/16/2016
3.  Underwriter(s) from whom purchased:  J.P. Morgan Securities LLC
4.  "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank_______________
5.  Aggregate principal amount or number of shares purchased: 175,000 shares (Firmwide)
37,400 shares (Fund)
6.  Aggregate principal amount or total number of shares of offering:  5,882,352 shares
7.  Purchase price per unit or share (net of fees and expenses):  $19                                         ___
8.  Initial public offering price per unit or share:  $19___                                                           __
9.  Commission, spread or profit: 7.00%

10.  Have the following conditions been satisfied?
YES
NO
a.	The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b.	The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c.	The securities purchased at a price not more than the price paid by each other purchaser in the offering.
d.	The underwriting was a firm commitment underwriting.


X_______


X_______





X_______


X_______



_______


_______





_______


_______

e.	The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f.	The issuer of the securities and any predecessor has been in continuous operation for not less than three years.

X_______


X_______

_______


_______

g.	The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.


X_______


_______
h.	No Affiliated Underwriter benefited directly or indirectly from the purchase.

X_______

_______

Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above.  In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Leesa D. Merrill	_______________________		Date: 10/27/2016

Print Name: Leesa D. Merrill         ________________        ______________________________













The UBS Funds

4