Broker-Dealers on SEC Form D for UBS FINANCIAL SERVICES INC.

Form Ds provide information on individual, unregistered securities offerings.

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Displaying 10 out of 198 results

Recipient	CRD	Primary Issuer	CIK	Filing Date	Form Type	Total Offering Amount	Total Amount Sold
UBS FINANCIAL SERVICES INC.	8174	Nineteen77 Global Merger Arbitrage LLC	1643062	07/17/2017	D/A	Indefinite	$99,386,944
UBS FINANCIAL SERVICES INC.	8174	NB Diversified Arbitrage Pension Fund Ltd.	1460028	03/15/2011	D/A	$0	$99,259,876
UBS FINANCIAL SERVICES INC.	8174	Braeside Capital, L.P.	1300407	12/29/2017	D/A	Indefinite	$99,126,193
UBS FINANCIAL SERVICES INC.	8174	UBS RENAISSANCE INSTITUTIONAL EQUITIES FUND II LLC	1407149	03/11/2009	D/A	Indefinite	$99,113,842
UBS FINANCIAL SERVICES INC.	8174	Braeside Capital, L.P.	1300407	01/10/2017	D/A	Indefinite	$98,996,317
UBS FINANCIAL SERVICES INC.	8174	MPM ONCOLOGY INNOVATIONS FUND LP	1719960	02/26/2020	D/A	$98,879,004	$98,879,004
UBS FINANCIAL SERVICES INC.	8174	LyonRoss Partners Fund L.P.	1385344	01/29/2013	D/A	Indefinite	$98,344,980
UBS FINANCIAL SERVICES INC.	8174	Braeside Capital, L.P.	1300407	01/12/2016	D/A	Indefinite	$97,407,317
UBS FINANCIAL SERVICES INC.	8174	Riverview Seventh Street Fund LP	1355191	08/31/2018	D/A	Indefinite	$97,323,236
UBS FINANCIAL SERVICES INC.	8174	Riverview Seventh Street Fund LP	1355191	08/30/2019	D/A	Indefinite	$97,323,236

198 Results

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