UBS Group AG's Form 4/A amendment
AmendedWestern Asset Managed Municipals Fund Inc.MMU · filed Feb 28, 2023
- Accession no.
- 0000899243-23-006361
- Filed
- Feb 28, 2023
- Trade date
- Feb 24, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Mar 11, 2016
This filing lists 3 non-derivative transactions. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| UBS Group AGCIK 0001610520 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 24, 2023 | Auction Preferred Stock | PPurchaseAcquired | +234 | $25,008.57 | +$5,852,005.38 | 402 | Indirect | Price outlier |
| Feb 24, 2023 | Auction Preferred Stock | PPurchaseAcquired | +180 | $25,004.28 | +$4,500,770.4 | 582 | Indirect | Price outlier |
| Feb 24, 2023 | Auction Preferred Stock | PPurchaseAcquired | +397 | $25,000.00 | +$9,925,000 | 979 | Indirect | Price outlier |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients.
- F2
This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.
- F3
CSUIP Nos. 95766M204, 95766M303, 95766M402, 95766M501, 95766M600