13F-HR 1 ubsag.txt United States Securities and Exchange Commission Washington, DC 20549 FORM 13F COVER PAGE Report for the Quarter Ended: June 30, 2004 Check here if Amendment []; Amendment Number: This Amendment (Check only one): [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: UBS AG, New York Branch Address: 101 Park Avenue New York, New York 10178 13F File Number: 28-7344 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person signing this Report on behalf of Reporting Manager: Name: Alan L. Griffin Title: Executive Director Phone: (212) 916-2132 Signature, Place, and Date of Signing: M/r/ Alan L. Griffin Alan L. Griffin New York, New York August 16, 2004 Name: Joan DaPonte Title: Director Phone: (212) 916-2134 Signature, Place, and Date of Signing: M/s/ Joan DaPonte Joan DaPonte New York, New York August 16, 2004 Report Type (Check only one): [x] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary Number of Other Included Managers: NONE Form 13F Information Table Entry Total: 92 Form 13F Information Table Value Total: 272,889 (thousands)

~~Voting Shrs or Investment Other Authority Name of~~ Issuer Title of CUSIP Value prn amt SH/~~PRN~~PR ~~Discretion~~Investment ~~Manage~~Other ~~None~~Voting ~~Class~~Author (x$1000) rsDiscretion ~~AFLAC~~Managers None ADOBE SYSTEMS INC COM ~~001055102~~00724F101 ~~437~~276 7,035 SH ~~SOLE~~Sole ~~NONE~~None 137,~~540~~035 ~~13,540~~AFLAC ~~ALLERGAN~~INCORPORATED ~~INC~~ COM ~~018490102~~001055102 76,~~481~~047 95150,~~026~~649 SH ~~SOLE~~Sole ~~NONE~~None 95150,~~026~~649 ~~ALTRIA~~ALLERGAN ~~GROUP~~ INC COM ~~02209S103~~018490102 310,~~864~~190 88121,~~230~~082 SH ~~SOLE~~Sole ~~NONE~~None 88121,~~230~~082 ~~AMAZON.COM~~ALTRIA GROUP INC. COM ~~023135106~~02209S103 ~~501~~7,502 10137,~~350~~786 SH ~~SOLE~~Sole ~~NONE~~None 10137,~~350~~786 AMERICAN ELECTRIC PWR ~~INC~~ COM 025537101 1,~~030~~018 3430,~~325~~925 SH ~~SOLE~~Sole ~~NONE~~None 3430,~~325~~925 AMERICAN EXPRESS CO COM 025816109 ~~802 17~~18,~~800~~690 969 SH ~~SOLE~~Sole ~~NONE~~None 1718,~~800~~690 AMERICAN INTL GROUP INC COM 026874107 310,~~859~~066 66141,~~887~~080 SH ~~SOLE~~Sole ~~NONE~~None 66141,~~887~~080 ~~AMGEN~~ANALOG ~~INC~~DEVICES COM ~~031162100~~032654105 ~~647 10~~4,~~025~~675 224 SH ~~SOLE~~Sole ~~NONE~~None 104,~~025~~675 ~~ANALOG~~ANTHEM ~~DEVICES~~INC COM ~~0032654105~~03674B104 ~~244~~364 64,~~425~~015 SH ~~SOLE~~Sole ~~NONE~~None 64,~~425~~015 ~~AUTOZONE~~BEST BUY CO INC. COM ~~053332102~~08616101 ~~357~~260 35,~~985~~128 SH ~~SOLE~~Sole ~~NONE~~None 35,~~985~~128 ~~BAXTER~~BOEING ~~INTERNATIONAL~~CO ~~INC~~ COM ~~071813109~~097023105 ~~2,926~~998 ~~100~~24,~~687~~290 SH ~~SOLE~~Sole ~~NONE~~None ~~100~~24,~~687~~290 ~~BLOCK~~BOSTON ~~H&R~~SCIENTIFIC ~~INC~~CORP COM ~~093671105~~101137107 ~~280~~247 65,~~495~~820 SH ~~SOLE~~Sole ~~NONE~~None 65,~~495~~820 BRISTOL MYERS SQUIBB CO COM 110122108 41,~~433~~344 ~~172~~55,~~760~~460 SH ~~SOLE~~Sole ~~NONE~~None ~~172~~55,~~760~~460 BURLINGTON ~~NTHN~~NORTHERN ~~SANTA~~COM FE12189T104 ~~CORP~~5,969 ~~COM~~189,485 ~~12189T104~~SH 6Sole None 189,~~181~~485 ~~214~~CANON INC ADR 138006309 442 8,~~086~~540 SH ~~SOLE~~Sole ~~NONE~~None ~~214~~8,~~086~~540 CARDINAL HEALTH INC COM 14149Y108 ~~648~~764 11,~~095~~090 SH ~~SOLE~~Sole ~~NONE~~None 11,~~095~~090 CEPHALON INC COM 156708109 25,~~716~~422 5994,~~195~~582 SH ~~SOLE~~Sole ~~NONE~~None 5994,~~195~~582 CISCO SYSTEMS ~~INC~~ COM 17275R102 1,~~135~~063 5745,~~930~~110 SH ~~SOLE~~Sole ~~NONE~~None 5745,~~930~~110 CITIGROUP INC COM 172967101 1116,~~429~~163 ~~251~~312,~~381~~624 SH ~~SOLE~~Sole ~~NONE~~None ~~251~~312,~~381~~624 ~~COSTCO~~COACH ~~WHOLESALE~~INC ~~CORP NEW~~ COM ~~22160K105~~189754104 ~~4,098~~225 ~~131~~5,~~565~~495 SH ~~SOLE~~Sole ~~NONE~~None ~~131~~5,~~565~~495 ~~DELL~~COSTCO ~~INC~~WHOLESALE CORP COM ~~24702R101~~22160K105 ~~407~~6,530 12173,~~175~~629 SH ~~SOLE~~Sole ~~NONE~~None 12173,~~175~~629 DUCOUNTRYWIDE ~~PONT~~FINANCIAL ECORP ~~I DE NEMOURS & CO~~ COM ~~263534109~~222372104 ~~4,565~~229 ~~114~~3,~~095~~265 SH ~~SOLE~~Sole ~~NONE~~None ~~114~~3,~~095~~265 ~~EBAY~~DELL INC COM ~~278642103~~24702R101 ~~328~~735 621,~~110~~860 SH ~~SOLE~~Sole ~~NONE~~None 621,~~110~~860 ~~ECHOSTAR~~DU ~~COMMUNICATIONS~~PONT ~~NEW~~E ~~CLASS~~I ACOM ~~278762109~~263534109 ~~284~~827 719,~~420~~580 SH ~~SOLE~~Sole ~~NONE~~None 719,~~420~~580 ~~EMC~~EBAY ~~CORP~~INC COM ~~268648102~~278642103 ~~1,028~~311 814,~~400~~490 SH ~~SOLE~~Sole ~~NONE~~None 814,~~400~~490 ~~EXXON~~EMERSON ~~MOBIL~~ELEC ~~CORP~~CO COM ~~30231G102~~291011104 ~~4,663~~550 ~~127~~9,~~404~~180 SH ~~SOLE~~Sole ~~NONE~~None ~~127~~9,~~404~~180 ~~FEDERAL~~EXXON ~~HOME~~MOBIL ~~LN MTG~~ CORP COM ~~313400301~~30231G102 63,~~505~~034 ~~124~~72,~~266~~939 SH ~~SOLE~~Sole ~~NONE~~None ~~124~~72,~~266~~939 ~~FEDERAL~~FEDEX ~~NATL~~CORP ~~MTG ASSN~~ COM ~~313586109~~31428X106 ~~815~~643 118,~~615~~550 SH ~~SOLE~~Sole ~~NONE~~None 118,~~615~~550 ~~FEDEX~~FEDERAL ~~CORPORATION~~HOME LN MTG CORP COM ~~31428X106~~313400301 ~~529~~7,152 8121,~~215~~097 SH ~~SOLE~~Sole ~~NONE~~None 8121,~~215~~097 FIRST DATA CORP COM 319963104 ~~1,344~~659 3315,628 SH ~~SOLE~~Sole ~~NONE~~None 3315,628 FIRSTENERGY CORP. COM 337932107 21,~~237~~609 7041,~~111~~176 SH ~~SOLE~~Sole ~~NONE~~None 7041,~~111~~176 ~~FLEETBOSTON FINANCIAL CORP COM 339030108 2,238 74,232 SH SOLE NONE 74,232~~ FOREST LABS ~~INC~~ COM 345838106 ~~247~~301 4,~~800~~200 SH ~~SOLE~~Sole ~~NONE~~None 4,~~800~~200 FUJI PHOTO FILM CO. LTD UNSPON ADR 359586302 56,~~174~~574 ~~177~~207,~~195~~497 SH ~~SOLE~~Sole ~~NONE~~None ~~177~~207,~~195~~497 ~~GENENTECH~~GANNETT INC COM ~~NEW~~364730101 ~~368710406~~491 ~~204 2~~5,~~540~~575 SH ~~SOLE~~Sole ~~NONE~~None 25,~~540~~575 GENERAL ELECTRIC CORP COM 369604103 21,~~164~~531 7250,~~585~~170 SH ~~SOLE~~Sole ~~NONE~~None 7250,~~585~~170 GENZYME CORP COM 372917104 ~~686~~385 148,~~805~~230 SH ~~SOLE~~Sole ~~NONE~~None 148,~~805~~230 GILEAD SCIENCES ~~INC~~ COM 375558103 ~~219~~290 35,~~905~~230 SH ~~SOLE~~Sole ~~NONE~~None 35,~~905~~230 GILETTE CO COM 375766102 453 10,685 SH Sole None 10,685 GOLDMAN SACHS COM 38141G104 274 2,630 SH Sole None 2,630 GUIDANT CORP COM 401698105 ~~279~~373 5,~~950~~880 SH ~~SOLE~~Sole ~~NONE~~None 5,~~950~~880 HARTFORD FINANCIAL ~~SVCS GROUP~~ COM 416515104 ~~1,028~~678 1910,~~525~~650 SH ~~SOLE~~Sole ~~NONE~~None 1910,~~525~~650 HEWLETT PACKARD CO COM 428236103 45,~~620~~271 ~~238~~230,~~616~~785 SH ~~SOLE~~Sole ~~NONE~~None ~~238~~230,~~616~~785 HONDA MOTOR CO LTD ~~AMERN~~COM ~~SHS~~ 438128308 ~~353~~7,726 17333,~~510~~862 SH ~~SOLE~~Sole ~~NONE~~None 17333,~~510~~862 ILLINOIS TOOL WORKS ~~INC~~ COM 452308109 79,~~164~~525 ~~108~~120,~~125~~217 SH ~~SOLE~~Sole ~~NONE~~None ~~108~~120,~~125~~217 INGERSOLL-RAND CO CL A G47766G1015 397 5,818 SH Sole None 5,818 INTEL CORP COM 458140100 ~~427~~591 1521,~~510~~725 SH ~~SOLE~~Sole ~~NONE~~None 1521,~~510~~725 ~~INTERACTIVE~~INTERNATIONAL ~~CORP~~BUSINESS COM ~~45840Q101~~459200101 ~~214~~884 69,~~455~~625 SH ~~SOLE~~Sole ~~NONE~~None 69,~~455~~625 INTERNATIONAL ~~BUS~~PAPER ~~MACHINES~~CO ~~CORP~~ COM ~~459200101~~460146103 ~~943~~522 1012,~~675~~350 SH ~~SOLE~~Sole ~~NONE~~None 1012,~~675~~350 I-SHARES MSCI ~~SWITZERLAND~~JAPAN INDEX COM 464286848 458 42,125 SH Sole None 42,125 I-SHARES UTD KINGD MSCI ~~464286749~~464286699 ~~170~~224 13,~~275~~850 SH ~~SOLE~~Sole ~~NONE~~None 13,~~275~~850 ISHARES TR RUSL 2000 VALUE 464287630 4,~~001~~368 2825,~~876~~519 SH ~~SOLE~~Sole ~~NONE~~None 2825,~~876~~519 ~~VALU~~ JOHNSON & JOHNSON COM 478160104 47,~~672~~090 94139,~~350~~787 SH ~~SOLE~~Sole ~~NONE~~None 94139,~~350~~787 JPJ.P. MORGAN CHASE & CO COM 46625H100 5,~~188~~746 ~~151,~~136,979 SH ~~SOLE~~Sole ~~NONE~~None ~~151,~~136,979 KIMBERLY CLARK CORP COM 494368103 ~~1,093~~826 2113,~~300~~095 SH ~~SOLE~~Sole ~~NONE~~None 2113,~~300~~095 ~~LINEAR~~KOHLS ~~TECH~~ CORP COM ~~535678106~~500255104 ~~547~~938 1519,~~223~~400 SH ~~SOLE~~Sole ~~NONE~~None 1519,~~223~~400 ~~MASCO~~LILY ~~CORP~~ELI & CO COM ~~574599106~~532457108 ~~7,626~~596 ~~311~~8,~~530~~525 SH ~~SOLE~~Sole ~~NONE~~None ~~311~~8,~~530~~525 ~~MCGRAW~~LUCENT ~~HILL~~TECHNOLOGIES ~~COS~~ INC COM ~~580645109~~549463107 ~~865~~737 13179,~~930~~300 SH ~~SOLE~~Sole ~~NONE~~None 13179,~~930~~300 ~~MEDTRONIC~~MASCO ~~INC~~CORP COM ~~585055106~~574599106 ~~936~~8,863 19291,~~939~~176 SH ~~SOLE~~Sole ~~NONE~~None 19291,~~939~~176 ~~MERCK~~MEDIMMUNE &INC COCOM ~~INC~~584699102 236 10,215 SH Sole None 10,215 MELLON FINANCIAL COM ~~589331107~~58551A108 ~~564~~1,179 1137,~~140~~685 SH ~~SOLE~~Sole ~~NONE~~None 1137,~~140~~685 MICROSOFT CORP COM 594918104 1114,~~787~~106 ~~423~~565,~~985~~840 SH ~~SOLE~~Sole ~~NONE~~None ~~423~~565,~~985~~840 ~~MORGAN~~MITSUBISHI ~~STANLEY~~TOKYO ~~COM~~FNL ~~NEW~~GROUP ~~617446448~~SPONS ~~8,552~~606816106 ~~169~~501 21,~~480~~090 SH ~~SOLE~~Sole ~~NONE~~None ~~169~~21,~~480~~090 ~~MOTOROLA~~MORGAN ~~INC~~STANLEY COM ~~620076109~~NEW 3617446448 9,~~422~~583 ~~286~~167,~~326~~243 SH ~~SOLE~~Sole ~~NONE~~None ~~286~~167,~~326~~243 ~~NEWELL~~MYLAN ~~RUBBERMAID~~LABORATORIES INC COM ~~651229106~~628530107 ~~3,694~~237 ~~170~~10,~~463~~411 SH ~~SOLE~~Sole ~~NONE~~None ~~170~~10,~~463~~411 NEXTEL COMMUNICATIONS INC.CL ~~CLASS~~ A COM 65332V103 1113,~~556~~126 ~~586~~532,~~315~~284 SH ~~SOLE~~Sole ~~NONE~~None ~~586~~532,~~315~~284 NIPPON TELEGRAPH & TELE SPONS ADR 654624105 34,~~089~~696 ~~136~~165,~~435~~704 SH ~~SOLE~~Sole ~~NONE~~None ~~136~~165,~~435~~704 NOMURA HOLDINGS INC ~~SPONS~~ ADR 65535H208 45,~~726~~792 ~~294~~317,~~640~~557 SH ~~SOLE~~Sole ~~NONE~~None ~~294~~317,~~640~~557 OMNICOM GROUP ~~INC~~ COM 681919106 64,~~355~~229 8852,~~455~~698 SH ~~SOLE~~Sole ~~NONE~~None 8852,~~455~~698 ~~ORACLE CORP COM 68389X105 214 19,048 SH SOLE NONE 19,048~~ PFIZER INC COM 717081103 1,~~513~~348 4938,~~790~~470 SH ~~SOLE~~Sole ~~NONE~~None 4938,~~790~~470 PNC FINANCIAL ~~SVCS~~SERVICES ~~GROUP INC~~ COM 693475105 ~~2,112~~647 4411,~~391~~681 SH ~~SOLE~~Sole ~~NONE~~None 4411,~~391~~681 PROCTER & GAMBLE CO COM 742718109 ~~1,016~~905 108,~~950~~630 SH ~~SOLE~~Sole ~~NONE~~None 108,~~950~~630 ~~PROGRESS~~PULTE ~~ENERGY~~HOMES INC COM ~~743263105~~745867101 ~~1,671~~209 374,~~590~~020 SH ~~SOLE~~Sole ~~NONE~~None 374,~~590~~020 ROSS STORES ~~INC~~ COM 778296103 ~~317~~302 69,~~825~~865 SH ~~SOLE~~Sole ~~NONE~~None 69,~~825~~865 ~~SBC~~SPDR ~~COMMUNICATIONS~~TR ~~INC~~UNIT ~~COM~~SER ~~78387G103~~ 1 78462F103 3,~~332~~820 5933,~~877~~775 SH ~~SOLE~~Sole ~~NONE~~None 5933,~~877~~775 ~~SELECT~~SBC ~~SECTOR~~COMMUNICATION ~~SPDR~~COM TR78387G103 ~~SBI~~745 ~~CONS~~30,347 ~~DISC~~SH ~~81369Y407~~Sole 1None 30,~~721~~347 62SCHERING PLOUGH COM 806605101 570 35,~~390~~135 SH ~~SOLE~~Sole ~~NONE~~None 6235,~~390~~135 ~~SPDR~~SHERWIN TRWILLIAMS ~~UNIT~~CO ~~SER~~COM 1824348106 ~~78462F103~~260 36,~~235~~262 ~~32,365~~ SH ~~SOLE~~Sole ~~NONE~~None 326,~~365~~262 ~~SONY~~SIEBEL ~~CORP~~SYSTEMS ~~SPONS~~COM ~~ADR~~826170102 ~~835699307~~174 ~~345 9~~15,~~910~~080 SH ~~SOLE~~Sole ~~NONE~~None 915,~~910~~080 SYMANTEC CORP COM 871503108 ~~323~~383 58,~~110~~280 SH ~~SOLE~~Sole ~~NONE~~None 58,~~110~~280 TIME WARNER INC COM 887317105 1,017 60,305 SH Sole None 60,305 UNITED TECHNOLOGIES CORP COM 913017109 61,~~850~~729 8820,~~640~~035 SH ~~SOLE~~Sole ~~NONE~~None 8820,~~640~~035 UNITEDHEALTH GROUP INC COM 91324P102 812,~~281~~041 ~~164~~186,~~571~~849 SH ~~SOLE~~Sole ~~NONE~~None ~~164~~186,~~571~~849 US BANCORP COM 902973304 686 24,810 SH Sole None 24,810 VARIAN MEDICAL SYSTEMS ~~INC~~ COM ~~274~~92220P105 4327 3,~~760~~785 SH ~~SOLE~~Sole ~~NONE~~None 43,~~760~~785 ~~92220P105~~VERITAS ~~VERIZON~~SOFTWARE ~~COMMUNICATIONS~~CORP COM ~~92343V104~~923436109 ~~605~~488 18,~~640~~145 SH ~~SOLE~~Sole ~~NONE~~None 18,~~640~~145 VIACOM INC CLASS BB925524308 ~~925524308~~2,483 ~~777 20~~63,~~290~~320 SH ~~SOLE~~Sole ~~NONE~~None 2063,~~290~~320 WAL MART STORES INC COM 931142103 ~~1,288~~917 2315,~~060~~370 SH ~~SOLE~~Sole ~~NONE~~None 2315,~~060~~370 WELLS FARGO & CO NEW COM 949746101 913,~~025~~046 ~~175~~230,~~243~~206 SH ~~SOLE~~Sole ~~NONE~~None ~~175~~230,~~243~~206 WYETH COM 983024100 76,~~326~~622 ~~158~~176,~~920~~343 SH ~~SOLE~~Sole ~~NONE~~None ~~158~~176,~~920~~343 XTO ENERGY COM 98385X106 227 8,991 SH Sole None 8,991 YAHOO INC COM 984332106 ~~304~~338 86,~~580~~975 SH ~~SOLE~~Sole ~~NONE~~None 86,~~580~~975 ZIMMER HOLDINGS INC COM 98956P102 699 7,925 SH Sole None 7,925

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