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