0001752724-20-230322.txt : 20201116 0001752724-20-230322.hdr.sgml : 20201116 20201116140820 ACCESSION NUMBER: 0001752724-20-230322 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200831 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS INVESTMENT TRUST CENTRAL INDEX KEY: 0000873803 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-06292 FILM NUMBER: 201315496 BUSINESS ADDRESS: STREET 1: C/O UBS ASSET MANAGEMENT (AMERICAS) INC. STREET 2: 12TH FLOOR 1285 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-821-3000 MAIL ADDRESS: STREET 1: C/O UBS ASSET MANAGEMENT (AMERICAS) INC. STREET 2: 12TH FLOOR 1285 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: BRINSON INVESTMENT TRUST DATE OF NAME CHANGE: 20010625 FORMER COMPANY: FORMER CONFORMED NAME: PAINEWEBBER INVESTMENT TRUST DATE OF NAME CHANGE: 19960511 FORMER COMPANY: FORMER CONFORMED NAME: KIDDER PEABODY INVESTMENT TRUST DATE OF NAME CHANGE: 19920929 0000873803 S000002487 UBS U.S. Allocation Fund C000006689 Class A PWTAX C000006692 Class P PWTYX N-CEN 1 primary_doc.xml X0303 N-CEN LIVE 0000873803 XXXXXXXX 811-06292 false false false N-1A S000002487 C000006689 C000006692 UBS INVESTMENT TRUST 811-06292 0000873803 549300G2BM6HG0OCX065 C/O UBS ASSET MANAGEMENT (AMERICAS) INC. 12TH FLOOR 1285 AVENUE OF THE AMERICAS NEW YORK 10019 US-NY US 212-821-3000 State Street Bank and Trust Company 1 Lincoln Street Boston 02111 617-786-3000 Custody and Accounting Records. N N N-1A 1 Y Meyer Feldberg 000000000 Y Richard R. Burt 000000000 N Bernard H. Garil 000000000 N Alan S. Bernikow 000000000 N Heather R. Higgins 000000000 N Frank S. Pluchino 001499081 1285 Avenue of the Americas New York 10019 XXXXXX N N N N N N N UBS Asset Management (US) Inc. 8-21901 000000583 0000000000 Y N Ernst & Young LLP 42 00000000000000000000 N N N N N N N UBS U.S. Allocation Fund S000002487 549300J5GDB8VRARXP29 N 2 0 0 N/A N N Y N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Revenue sharing split Cash collateral reinvestment fee 6928545.14000000 27695.00000000 Rule 10f-3 (17 CFR 270.10f-3) Rule 17a-7 (17 CFR 270.17a-7) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-1 (17 CFR 270.12d1-1) Y N Y N UBS Asset Management (Americas) Inc. 801-34910 000106838 F88SLSBEMHN5FUSNRO91 N BNY Mellon Investment Servicing (US) Inc. 084-01761 549300CFZQLI9QMJ1Z03 N N N Standard & Poor's Financial Services LLC 549300U4VWNITEKO2881 N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N Bloomberg L.P. 549300B56MD0ZC402L06 N ICE Data Services, Inc. 13-3668779 Tax ID N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (Edinburgh, GB, Branch) 571474TGEMMWANRLN572 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Clearstream Banking S.A. 549300OL514RA0SXJJ44 LU N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y BNY Mellon Investment Servicing (US) Inc. 549300CFZQLI9QMJ1Z03 N N N UBS Asset Management (Americas) Inc. F88SLSBEMHN5FUSNRO91 Y N N UBS Securities Pte. Ltd. (Jung-gu, Seoul, KR, Branch) N/A 000000000 5493003VITE2RS406E89 KR 0.00000000 UBS AG N/A 000000000 BFM8T61CT2L1QCEMIK50 CH 0.00000000 UBS Limited N/A 000000000 REYPIEJN7XZHSUI0N355 GB 0.00000000 UBS Securities Asia Limited N/A 000000000 549300Y35FCB6270R069 HK 0.00000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 0.00000000 UBS Financial Services Inc. 8-16267 000008174 ETYRV6ORNFJB5NONI676 0.00000000 UBS Securities Pte. Ltd. N/A 000000000 549300OODOO0QOU3BT85 SG 0.00000000 UBS Securities India Private Limited N/A 000000000 549300TVEJCTJLRAKC65 IN 0.00000000 Pershing LLC 8-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 15511.30000000 RBC Capital Markets, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 1451.11000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 14419.99000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 6966.41000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 26966.29000000 Bofa Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 29478.64000000 Cowen and Company, LLC 8-22522 000007616 549300WR155U7DVMIW58 2708.75000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 13945.29000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 4510.38000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 13894.10000000 130907.22000000 Wells Fargo Securities, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 12771202.29000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 27837736.69000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 27577551.19000000 J.P. Morgan Securities LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 30575197.27000000 Bofa Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 37657528.26000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 187807654.76000000 Mizuho Securities USA LLC 8-37710 000019647 7TK5RJIZDFROZCA6XF66 12256992.89000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 51797571.77000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 20819641.85000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 219735931.31000000 660242771.49000000 N 230535319.07000000 Committed 185000000.00000000 N N N N true INTERNAL CONTROL RPT 2 NCEN_5052286113283992.txt Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of UBS Investment Trust In planning and performing our audit of the financial statements of UBS U.S. Allocation Fund (the sole fund constituting UBS Investment Trust) (the "Company") as of and for the period ended August 31, 2020, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Company's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Company is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and trustees of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Company's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Company's internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of August 31, 2020. This report is intended solely for the information and use of management and the Board of Trustees of UBS Investment Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ ERNST & YOUNG LLP New York, New York October 29, 2020