-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KI8HeCy2U0ga4wIVo113VH24iIkOy7NAmRfVhDYjAnA4G+2hV4uiJqrMLjOUiZb8 NvG2jChdk7082PK9ahfzhA== 0000935069-05-003188.txt : 20051129 0000935069-05-003188.hdr.sgml : 20051129 20051129093937 ACCESSION NUMBER: 0000935069-05-003188 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050930 FILED AS OF DATE: 20051129 DATE AS OF CHANGE: 20051129 EFFECTIVENESS DATE: 20051129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS SEQUOIA FUND LLC CENTRAL INDEX KEY: 0001120662 IRS NUMBER: 134127827 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-10075 FILM NUMBER: 051229959 BUSINESS ADDRESS: STREET 1: 1285 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124832323 MAIL ADDRESS: STREET 1: 1285 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: UBS SEQUOIA MANAGEMENT, LLC. DATE OF NAME CHANGE: 20040726 FORMER COMPANY: FORMER CONFORMED NAME: PW SEQUOIA FUND LLC DATE OF NAME CHANGE: 20000731 N-Q 1 g17308sequoia_nqfiling.txt UBS PAINE WEBBER SEQUOIA NQ FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-10075 --------- UBS Sequoia Fund L.L.C. -------------------------------------------------- (Exact name of registrant as specified in charter) 1285 Avenue of the Americas, 37th Floor New York, NY 10019 --------------------------------------------------- (Address of principal executive offices) (Zip code) James Dwyer c/o UBS Financial Services, Inc. 1285 Avenue of the Americas New York, NY 10019 --------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: 212-882-5819 ------------ Date of fiscal year end: December 31, 2005 ----------------- Date of reporting period: September 30, 2005 ------------------ Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507. ITEM 1. SCHEDULE OF INVESTMENTS. UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- UNITED STATES OF AMERICA INVESTMENTS IN SECURITIES (98.82%) COMMON STOCK (98.82%) APPLICATIONS SOFTWARE (3.11%) 131,600 Moldflow Corp. * $ 2,108,890 78,900 MRO Software, Inc. * 1,328,676 -------------- 3,437,566 -------------- BATTERIES/BATTERY SYSTEM (1.26%) 91,900 EnerSys * 1,394,123 -------------- BUILDING & CONSTRUCTION PRODUCTS - MISCELLANEOUS (1.00%) 49,300 Builders FirstSource, Inc. * 1,100,869 -------------- CIRCUIT BOARDS (3.02%) 49,300 Merix Corp. * 276,080 164,500 SBS Technologies, Inc. * 1,584,135 205,500 TTM Technologies, Inc. * 1,469,325 -------------- 3,329,540 -------------- COMMERCIAL SERVICES - FINANCE (0.35%) 16,100 Jackson Hewitt Tax Service, Inc. 384,951 -------------- COMPUTER SERVICES (0.44%) 43,100 Pomeroy IT Solutions, Inc. * 489,616 -------------- CONSUMER PRODUCTS - MISCELLANEOUS (1.04%) 66,200 Prestige Brands Holdings, Inc. * 815,584 16,400 Water Pik Technologies, Inc. * 332,920 -------------- 1,148,504 -------------- COSMETICS & TOILETRIES (0.27%) 33,100 CCA Industries, Inc. 297,900 -------------- DATA PROCESSING/MANAGEMENT (0.32%) 131,600 Indus International, Inc. * 351,372 -------------- DISTRIBUTION/WHOLESALE (6.85%) 197,500 Bell Microproducts, Inc. * 1,980,925 149,100 Huttig Building Products, Inc. * 1,349,355 115,100 Tech Data Corp. *, (a) 4,225,321 -------------- 7,555,601 -------------- DIVERSIFIED MANUFACTURING OPERATIONS (0.51%) 17,300 Crane Co. 514,502 3,200 Deswell Industries, Inc. - (China) * 47,008 -------------- 561,510 -------------- DRUG DELIVERY SYSTEMS (0.20%) 15,800 Matrixx Initiatives, Inc. * 224,676 --------------
4 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- COMMON STOCK (CONTINUED) ELECTRONIC COMPONENTS - MISCELLANEOUS (7.78%) 164,500 Benchmark Electronics, Inc. *, (a) $ 4,954,740 131,600 CTS Corp. 1,592,360 65,800 Jabil Circuit, Inc. * 2,034,536 -------------- 8,581,636 -------------- ENTERPRISE SOFTWARE/SERVICES (3.84%) 118,100 Epicor Software Corp. * 1,535,300 160,200 SYNNEX Corp. * 2,697,768 -------------- 4,233,068 -------------- FOOD - MISCELLANEOUS/DIVERSIFIED (2.53%) 48,300 J & J Snack Foods Corp. 2,791,740 -------------- HEALTHCARE SAFETY DEVICE (0.57%) 58,428 Cardiac Science Corp. * 626,348 -------------- HOME FURNISHINGS (1.33%) 88,100 Hooker Furniture Corp. 1,464,222 -------------- INTERNET APPLICATIONS SOFTWARE (0.01%) 1,300 Motive, Inc. * 8,242 -------------- INTERNET SECURITY (3.04%) 148,000 Symantec Corp. * 3,353,680 -------------- MACHINERY - GENERAL INDUSTRY (0.71%) 21,300 Albany International Corp. - Class A 785,331 -------------- MEDICAL - BIOMEDICAL/GENETICS (0.33%) 16,400 Serologicals Corp. 369,984 -------------- MEDICAL - DRUGS (1.73%) 64,400 First Horizon Pharmaceutical Corp. * 1,279,628 19,300 Medicis Pharmaceutical - Cl A 628,408 -------------- 1,908,036 -------------- MEDICAL INSTRUMENTS (5.06%) 131,600 Conmed Corp. * 3,669,008 66,000 DJ Orthopedics, Inc. * 1,910,040 -------------- 5,579,048 -------------- MEDICAL LABS & TESTING SERVICES (1.87%) 119,300 Bio-Reference Laboratories, Inc. * 2,062,697 -------------- MEDICAL PRODUCTS (6.50%) 164,400 Orthofix International NV *, (a) 7,167,840 -------------- NETWORKING PRODUCTS (1.76%) 225,300 Adaptec, Inc. *, (a) 862,899
5 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- COMMON STOCK (CONTINUED) NETWORKING PRODUCTS (CONTINUED) 29,600 SafeNet, Inc. * $ 1,074,776 -------------- 1,937,675 -------------- OFFICE AUTOMATION & EQUIPMENT (3.04%) 98,700 Global Imaging Systems, Inc. * 3,360,735 -------------- POWER CONVERSION/SUPPLY EQUIPMENT (0.39%) 121,700 Cherokee International Corp. * 425,950 -------------- PUBLISHING - BOOKS (1.99%) 117,100 Thomas Nelson, Inc. 2,196,796 -------------- RESPIRATORY PRODUCTS (6.28%) 164,400 Respironics, Inc. *, (a) 6,934,392 -------------- RETAIL - APPAREL/SHOE (10.02%) 98,700 Christopher & Banks Corp. 1,368,969 271,350 Stage Stores, Inc. *, (a) 7,291,175 9,100 The Children's Place Retail Stores, Inc. * 323,869 142,000 The Finish Line, Inc. 2,071,780 -------------- 11,055,793 -------------- RETAIL - DISCOUNT (3.47%) 148,000 Tuesday Morning Corp. 3,828,760 -------------- RETAIL - FABRIC STORE (1.03%) 65,800 Jo-Ann Stores, Inc. *, (a) 1,138,340 -------------- RETAIL - MUSIC STORE (1.65%) 230,200 Trans World Entertainment * 1,816,278 -------------- RETAIL - REGIONAL DEPARTMENT STORES (2.42%) 137,700 The Bon-Ton Stores, Inc. (a) 2,674,134 -------------- RETAIL - SPORTING GOODS (1.95%) 82,900 Big 5 Sporting Goods Corp. 1,977,994 2,250 Sport Chalet, Inc. * 30,015 15,750 Sport Chalet, Inc. Class A * 141,750 -------------- 2,149,759 -------------- SEMICONDUCTOR COMPONENTS - INTEGRATED CIRCUITS (0.78%) 97,300 Pericom Semiconductor Corp. * 859,159 -------------- TELECOMMUNICATIONS EQUIPMENT (4.40%) 94,100 Comtech Telecommunications Corp. * 3,902,327 123,300 Symmetricom, Inc. * 954,342 -------------- 4,856,669 -------------- VITAMINS & NUTRITION PRODUCTS (2.13%) 73,100 Natures Sunshine Products, Inc. 1,698,844
6 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- COMMON STOCK (CONTINUED) VITAMINS & NUTRITION PRODUCTS (CONTINUED) 46,100 Nutraceutical International Corp. * $ 655,542 -------------- 2,354,386 -------------- WIRELESS EQUIPMENT (3.84%) 263,100 Powerwave Technologies, Inc. * 3,417,669 32,200 ViaSat, Inc. * 825,930 -------------- 4,243,599 -------------- TOTAL COMMON STOCK (Cost $98,555,927) 109,040,525 -------------- INVESTMENTS IN SECURITIES (Cost $98,555,927) 109,040,525 -------------- SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- SECURITIES SOLD, NOT YET PURCHASED ((19.95)%) COMMON STOCK SOLD, NOT YET PURCHASED ((19.95)%) AIRLINES ((0.10)%) (6,400) JetBlue Airways Corp. * (112,640) -------------- ALTERNATIVE WASTE TECH ((0.17)%) (23,700) Calgon Carbon Corp. * (187,230) -------------- APPAREL MANUFACTURERS ((1.24)%) (9,700) Carter's, Inc. * (550,960) (9,700) Columbia Sportswear Company * (450,080) (13,200) Guess?, Inc. * (282,876) (3,200) Volcom, Inc. * (89,632) -------------- (1,373,548) -------------- BUILDING - MOBILE HOME / MANUFACTURED HOUSE ((0.41)%) (36,500) Fleetwood Enterprises, Inc. * (448,950) -------------- CELLULAR TELECOMMUNICATIONS ((0.15)%) (9,700) Alamosa Holdings, Inc. * (165,967) -------------- COFFEE ((0.16)%) (5,900) Peets Coffee & Tea, Inc. * (180,599) -------------- COMMERCIAL SERVICES ((0.87)%) (9,700) CoStar Group, Inc. * (453,184) (9,900) Weight Watchers International, Inc. * (510,642) -------------- (963,826) -------------- COMPUTER SERVICES ((0.69)%) (6,600) Cognizant Technology Solutions Corp. * (307,494) (12,900) Factset Research Systems, Inc. * (454,596) -------------- (762,090) -------------- COMPUTERS - INTEGRATED SYSTEMS ((0.28)%) (11,800) Maxwell Technologies, Inc. * (166,616)
7 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- COMMON STOCK SOLD, NOT YET PURCHASED (CONTINUED) COMPUTERS - INTEGRATED SYSTEMS (CONTINUED) (5,900) National Instruments Corp. * $ (145,376) -------------- (311,992) -------------- CONSULTING SERVICES ((0.32)%) (13,200) Huron Consulting Group, Inc. * (354,024) -------------- CONSUMER PRODUCTS - MISCELLANEOUS ((1.20)%) (32,200) Jarden Corp. * (1,322,454) -------------- COSMETICS & TOILETRIES ((0.11)%) (5,900) Inter Parfums, Inc. * (116,171) -------------- DISTRIBUTION/WHOLESALE ((1.35)%) (32,200) Beacon Roofing Supply, Inc. * (1,051,974) (32,900) BlueLinx Holdings, Inc. * (442,176) -------------- (1,494,150) -------------- DIVERSIFIED MANUFACTURING OPERATIONS ((0.76)%) (6,400) Cooper Industries, Ltd. * (442,496) (9,700) Trinity Industries, Inc. * (392,753) -------------- (835,249) -------------- DIVERSIFIED OPERATIONS/COMMERCIAL SERVICES ((0.65)%) (26,300) Viad Corp. * (719,305) -------------- E-COMMERCE/PRODUCTS ((0.01)%) (6,400) Odimo, Inc. * (9,471) -------------- ELECTRONIC COMPONENTS - SEMICONDUCTORS ((0.10)%) (25,800) Amkor Technology, Inc. * (112,488) -------------- ELECTRONIC FORMS ((0.04)%) (3,300) Convera Corp. - Cl A * (46,530) -------------- ENERGY - ALTERNATIVE SOURCES ((0.20)%) (32,200) Plug Power, Inc. * (218,960) -------------- ENTERPRISE SOFTWARE/SERVICES ((0.73)%) (6,600) BMC Software, Inc. * (139,260) (9,700) Manugistics Group, Inc. * (19,206) (35,400) Ultimate Software Group, Inc. * (652,068) -------------- (810,534) -------------- FOOTWEAR & RELATED APPAREL ((0.36)%) (16,600) Deckers Outdoor Corp. * (399,396) -------------- MEDICAL - BIOMEDICAL/GENETICS ((0.51)%) (16,600) Medimmune, Inc. * (558,590) -------------- MEDICAL - DRUGS (0.00%) (100) Collagenex Pharmaceuticals, Inc * (992) --------------
8 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- COMMON STOCK SOLD, NOT YET PURCHASED (CONTINUED) MEDICAL - HOSPITALS ((0.38)%) (16,100) Symbion, Inc. * $ (416,507) -------------- MEDICAL - IMAGING SYSTEMS ((0.45)%) (22,500) Vital Images, Inc. * (500,850) -------------- MEDICAL INFORMATION SYSTEMS ((0.71)%) (11,800) Allscripts Healthcare Solutions, Inc. * (212,636) (32,200) Eclipsys Corp. * (574,448) -------------- (787,084) -------------- MEDICAL INSTRUMENTS ((0.40)%) (11,800) Animas Corp. * (185,260) (6,400) ArthroCare Corp. * (257,408) -------------- (442,668) -------------- MEDICAL PRODUCTS ((0.13)%) (5,900) Viasys Healthcare, Inc. * (147,441) -------------- NETWORKING PRODUCTS ((0.17)%) (14,800) Foundry Networks, Inc. * (187,960) -------------- PAPER & RELATED PRODUCTS ((0.12)%) (12,900) Smurfit-Stone Container Corp. * (133,644) -------------- PATIENT MONITORING EQUIPMENT ((0.22)%) (9,900) Somanetics Corp. * (247,500) -------------- RADIO ((0.26)%) (12,900) Emmis Communications Corp. - Class A * (285,090) -------------- RECREATIONAL VEHICLES ((0.11)%) (5,900) Arctic Cat, Inc. * (121,186) -------------- REITS - OFFICE PROPERTY ((0.09)%) (3,200) Highwoods Properties, Inc. * (94,432) -------------- RETAIL - APPAREL/SHOE ((0.94)%) (33,100) Charlotte Russe Holding, Inc. * (440,892) (16,100) Chico's FAS, Inc. * (592,480) -------------- (1,033,372) -------------- RETAIL - CATALOG SHOPPING ((1.28)%) (55,900) Coldwater Creek, Inc. * (1,409,798) -------------- RETAIL - DISCOUNT ((0.26)%) (13,200) Citi Trends, Inc. * (288,156) -------------- RETAIL - FABRIC STORE ((0.04)%) (6,600) Hancock Fabrics, Inc., DE * (44,418) -------------- RETAIL - LEISURE PRODUCTS ((0.20)%) (14,800) West Marine, Inc. * (218,744) --------------
9 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SHARES MARKET VALUE - ----------------------------------------------------------------------------------------------------- COMMON STOCK SOLD, NOT YET PURCHASED (CONTINUED) RETAIL - MAIL ORDER ((0.08)%) (6,600) Sharper Image Corp. * $ (83,160) -------------- RETAIL - MAJOR DEPARTMENT STORES ((1.09)%) (9,700) Sears Holdings Corp. * (1,206,971) -------------- RETAIL - RESTAURANTS ((1.30)%) (19,300) BJ's Restaurants, Inc. * (394,299) (16,100) Buffalo Wild Wings, Inc. * (426,650) (29,000) McCormick & Schmick's Seafood Restaurants, Inc. * (612,480) -------------- (1,433,429) -------------- RETAIL - SPORTING GOODS ((0.29)%) (9,900) Zumiez, Inc. * (323,037) -------------- SCHOOLS ((0.35)%) (29,000) Learning Tree International, Inc. * (382,800) -------------- SUPERCONDUCTOR PRODUCTS & SYSTEMS ((0.31)%) (32,900) American Superconductor Corp. * (340,186) -------------- TELECOMMUNICATIONS EQUIPMENT ((0.01)%) (1,600) NMS Communications Corp. * (5,920) -------------- WATER TREATMENT SYSTEMS ((0.20)%) (12,900) Nalco Holding Co. * (217,623) -------------- WIRELESS EQUIPMENT ((0.15)%) (41,600) Vyyo, Inc. * (160,992) -------------- TOTAL COMMON STOCK SOLD, NOT YET PURCHASED (Cost $(19,146,537)) (22,018,124) -------------- SECURITIES SOLD, NOT YET PURCHASED (PROCEEDS $(19,146,537)) (22,018,124) -------------- TOTAL INVESTMENTS IN SECURITIES AND SECURITIES SOLD, NOT YET PURCHASED -- 78.87% 87,022,401 -------------- OTHER ASSETS IN EXCESS OF OTHER LIABILITIES -- 21.13% 23,319,294 -------------- TOTAL NET ASSETS -- 100.00% $ 110,341,695 ==============
* Non-income producing security. (a) Partially or wholly held ($ 16,930,095 total market value) in a pledged account by the Custodian as collateral for securities sold, not yet purchased. 10 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005
SEPTEMBER 30, 2005 INVESTMENTS IN SECURITIES - BY INDUSTRY PERCENTAGE OF NET ASSETS (%) - --------------------------------------- ---------------------------- AIRLINES (0.10)% ALTERNATIVE WASTE TECH (0.17) APPAREL MANUFACTURERS (1.24) APPLICATIONS SOFTWARE 3.11 BATTERIES/BATTERY SYSTEM 1.26 BUILDING & CONSTRUCTION PRODUCTS - MISCELLANEOUS 1.00 BUILDING - MOBILE HOME / MANUFACTURED HOUSE (0.41) CELLULAR TELECOMMUNICATIONS (0.15) CIRCUIT BOARDS 3.02 COFFEE (0.16) COMMERICAL SERVICES (0.87) COMMERCIAL SERVICES - FINANCE 0.35 COMPUTER SERVICES (0.25) COMPUTERS - INTEGRATED SYSTEMS (0.28) CONSULTING SERVICES (0.32) CONSUMER PRODUCTS - MISCELLANEOUS (0.16) COSMETICS & TOILETRIES 0.16 DATA PROCESSING/MANAGEMENT 0.32 DISTRIBUTION/WHOLESALE 5.50 DIVERSIFIED MANUFACTURING OPERATIONS (0.25) DIVERSIFIED OPERATIONS / COMMERCIAL SERVICES (0.65) DRUG DELIVERY SYSTEMS 0.20 E-COMMERCE/PRODUCTS (0.01) ELECTRONIC COMPONENTS - MISCELLANEOUS 7.78 ELECTRONIC COMPONENTS - SEMICONDUCTORS (0.10) ELECTRONIC FORMS (0.04) ENERGY - ALTERNATIVE SOURCES (0.20) ENTERPRISE SOFTWARE/SERVICES 3.11 FOOD - MISCELLANEOUS/DIVERSIFIED 2.53 FOOTWEAR & RELATED APPAREL (0.36) HEALTHCARE SAFETY DEVICE 0.57 HOME FURNISHINGS 1.33 INTERNET APPLICATIONS SOFTWARE 0.01 INTERNET SECURITY 3.04 MACHINERY - GENERAL INDUSTRY 0.71 MEDICAL - BIOMEDICAL/GENETICS (0.18) MEDICAL - DRUGS 1.73 MEDICAL - HOSPITALS (0.38) MEDICAL - IMAGING SYSTEMS (0.45) MEDICAL INFORMATION SYSTEMS (0.71) MEDICAL INSTRUMENTS 4.66 MEDICAL LABS & TESTING SERVICES 1.87 MEDICAL PRODUCTS 6.37 NETWORKING PRODUCTS 1.59 OFFICE AUTOMATION & EQUIPMENT 3.04 PAPER & RELATED PRODUCTS (0.12) PATIENT MONITORING EQUIPMENT (0.22) POWER CONVERSION/SUPPLY EQUIPMENT 0.39
11 UBS SEQUOIA FUND, L.L.C. SCHEDULE OF PORTFOLIO INVESTMENTS (CONTINUED) (UNAUDITED) - -------------------------------------------------------------------------------- SEPTEMBER 30, 2005 PUBLISHING - BOOKS 1.99 RADIO (0.26) RECREATIONAL VEHICLES (0.11) REITS - OFFICE PROPERTY (0.09) RESPIRATORY PRODUCTS 6.28 RETAIL - APPAREL/SHOE 9.08 RETIAL - CATALOG SHOPPING (1.28) RETAIL - DISCOUNT 3.21 RETAIL - FABRIC STORE 0.99 RETAIL - LEISURE PRODUCTS (0.20) RETAIL - MAIL ORDER (0.08) RETAIL - MAJOR DEPARTMENT STORES (1.09) RETAIL - MUSIC STORE 1.65 RETAIL - REGIONAL DEPARTMENT STORES 2.42 RETAIL - RESTAURANTS (1.30) RETAIL - SPORTING GOODS 1.66 SCHOOLS (0.35) SEMICONDUCTOR COMPONENTS - INTEGRATED CIRCUITS 0.78 SUPERCONDUCTOR PRODUCTS & SYSTEMS (0.31) TELECOMMUNICATIONS EQUIPMENT 4.39 VITAMINS & NUTRITION PRODUCTS 2.13 WATER TREATMENT SYSTEMS (0.20) WIRELESS EQUIPMENT 3.69 12 ITEM 2. CONTROLS AND PROCEDURES. (a) The registrant's principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the "1940 Act") (17 CFR 270.30a-3(c))) are effective, as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on their evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rules 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15(b)). (b) There were no changes in the registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant's last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant's internal control over financial reporting. ITEM 3. EXHIBITS. Certifications pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act of 2002 are attached hereto. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) UBS Sequoia Fund L.L.C. -------------------------------------------------------------------- By (Signature and Title)* /s/ Douglas Lindgren ------------------------------------------------------- Douglas Lindgren, Principal Executive Officer (principal executive officer) Date November 17, 2005 ---------------------------------------------------------------------------- Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated. By (Signature and Title)* /s/ Douglas Lindgren ------------------------------------------------------- Douglas Lindgren, Principal Executive Officer (principal executive officer) Date November 17, 2005 ---------------------------------------------------------------------------- By (Signature and Title)* /s/ Michael Mascis ------------------------------------------------------- Michael Mascis, Principal Accounting Officer (principal financial officer) Date November 17, 2005 ---------------------------------------------------------------------------- * Print the name and title of each signing officer under his or her signature. EX-99.CERT 2 g17308sequoia_cert.txt CERTIFICATION 302 CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Douglas Lindgren, certify that: 1. I have reviewed this report on Form N-Q of UBS Sequoia Fund L.L.C.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined under Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: (a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; (b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; (c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and (d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): (a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and (b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: November 17, 2005 /s/ Douglas Lindgren ---------------------- --------------------------------------------- Douglas Lindgren, Principal Executive Officer (principal executive officer) CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Michael Mascis, certify that: 1. I have reviewed this report on Form N-Q of UBS Sequoia Fund L.L.C.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined under Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: (a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; (b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; (c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and (d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): (a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and (b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: November 17, 2005 /s/ Michael Mascis -------------------- -------------------------------------------- Michael Mascis, Principal Accounting Officer (principal financial officer) -----END PRIVACY-ENHANCED MESSAGE-----