UBS Group AG (EVV) reports restructuring of auction preferred stock holdings via subsidiaries

Q: What insider transaction did UBS Group AG report for Eaton Vance EVV?

UBS Group AG reported an "other" restructuring transaction involving 5,148 shares of Auction Preferred Stock in Eaton Vance Ltd Duration Income Fund. The position in this security is shown as 0 shares after the transaction, indicating the reported holdings in this series were fully restructured or eliminated.

Q: Was the UBS Group AG EVV Form 4 a buy or sell transaction?

The Form 4 reports an "other" transaction coded J , described as "Other acquisition or disposition," rather than a clear buy or sell. It reflects a restructuring of auction preferred stock holdings associated with UBS subsidiaries, with no net buy or sell shares reported in the summary.

Q: How many EVV Auction Preferred Stock shares were involved in the UBS filing?

The filing shows 5,148 shares of Auction Preferred Stock affected by the restructuring transaction. These shares were reported at $24,500 per share, and total shares of this security reported as held after the transaction are 0, indicating no remaining position in that series.

Q: Who actually holds the EVV Auction Preferred Stock reported by UBS Group AG?

The holdings are indirect, through UBS subsidiaries . The statement is filed for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., wholly owned subsidiaries of UBS Group AG that purchased the auction rate securities from certain clients under existing rights arrangements.

Q: What does "Auction Preferred Stock" mean in the UBS EVV Form 4?

Auction Preferred Stock refers to preferred shares whose dividend rates are typically set through periodic auctions. In this filing, UBS Group AG reports aggregated holdings across specified series of EVV auction preferred stock, including CUSIP numbers listed in the footnotes, as part of a restructuring transaction.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

UBS Group AG, a ten percent owner of Eaton Vance Ltd Duration Income Fund (EVV), reported an "other" restructuring transaction involving 5,148 shares of Auction Preferred Stock held indirectly through subsidiaries. The shares were reported at $24,500 per share, and the position in this security is shown as 0 shares following the transaction. The filing is made jointly for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., which had purchased these auction rate securities from certain clients under rights issued by UBS Group AG.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider UBS Group AG

Role null

Type	Security	Shares	Price	Value
Other	Auction Preferred Stock	5,148	$24,500.00	$126.13M

Holdings After Transaction: Auction Preferred Stock — 0 shares (Indirect, By subsidiary)

Footnotes (1)

1. CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600 98% of par This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis. 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.

Key Figures

Auction Preferred Stock shares affected: 5,148 shares Reported price per share: $24,500 per share Shares held after transaction: 0 shares +2 more

5 metrics

Auction Preferred Stock shares affected 5,148 shares Restructuring transaction coded J on Auction Preferred Stock

Reported price per share $24,500 per share Transaction price for Auction Preferred Stock

Shares held after transaction 0 shares Total shares of this Auction Preferred Stock series following transaction

Restructuring share count 5,148 shares Shares classified as restructuring in transaction summary

Footnote par reference 98% of par Footnote reference related to the auction preferred stock

Key Terms

Auction Preferred Stock, Auction Rate Securities Rights, ten percent owner, Other acquisition or disposition, +1 more

5 terms

Auction Preferred Stock financial

"This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I"

Auction Rate Securities Rights financial

"performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG"

ten percent owner financial

"UBS Group AG is reported as a ten percent owner of Eaton Vance Ltd Duration Income Fund"

Other acquisition or disposition financial

"transaction code J with description "Other acquisition or disposition""

indirect ownership financial

"nature_of_ownership is described as "By subsidiary" indicating indirect ownership"

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 05/29/2026 - 03:19 PM Accepted by SEC EDGAR 05/29/2026 - 03:19 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

UBS Group AG

(Last)

(First)

(Middle)

BAHNHOFSTRASSE 45

(Street)

ZURICH

(City)

(State)

(Zip)

SWITZERLAND

(Country)

2. Issuer Name and Ticker or Trading Symbol
Eaton Vance Ltd Duration Income Fund [ EVV ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Auction Preferred Stock⁽¹⁾	05/29/2026		J		5,148	D	$24,500⁽²⁾	0⁽³⁾	I	By subsidiary⁽⁴⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. 1. CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600

2. 98% of par

3. This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.

4. 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.

	/s/ Dmitriy Kogan	05/29/2026
	/s/ Andrew Johnson	05/29/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did UBS Group AG report for Eaton Vance EVV?

UBS Group AG reported an "other" restructuring transaction involving 5,148 shares of Auction Preferred Stock in Eaton Vance Ltd Duration Income Fund. The position in this security is shown as 0 shares after the transaction, indicating the reported holdings in this series were fully restructured or eliminated.

Was the UBS Group AG EVV Form 4 a buy or sell transaction?

The Form 4 reports an "other" transaction coded J, described as "Other acquisition or disposition," rather than a clear buy or sell. It reflects a restructuring of auction preferred stock holdings associated with UBS subsidiaries, with no net buy or sell shares reported in the summary.

How many EVV Auction Preferred Stock shares were involved in the UBS filing?

The filing shows 5,148 shares of Auction Preferred Stock affected by the restructuring transaction. These shares were reported at $24,500 per share, and total shares of this security reported as held after the transaction are 0, indicating no remaining position in that series.

Who actually holds the EVV Auction Preferred Stock reported by UBS Group AG?

The holdings are indirect, through UBS subsidiaries. The statement is filed for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., wholly owned subsidiaries of UBS Group AG that purchased the auction rate securities from certain clients under existing rights arrangements.

What does "Auction Preferred Stock" mean in the UBS EVV Form 4?

Auction Preferred Stock refers to preferred shares whose dividend rates are typically set through periodic auctions. In this filing, UBS Group AG reports aggregated holdings across specified series of EVV auction preferred stock, including CUSIP numbers listed in the footnotes, as part of a restructuring transaction.