UBS reports restructuring of EFR preferred shares

UBS Group AG, as a ten percent owner of Eaton Vance Senior Floating-Rate Trust, reported an "other" transaction involving its indirect holdings of Auction Preferred Stock.

Accepted by SEC EDGAR 05/29/2026 - 03:02 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

UBS Group AG, as a ten percent owner of Eaton Vance Senior Floating-Rate Trust, reported an "other" transaction involving its indirect holdings of Auction Preferred Stock. An aggregated total of 1,973 shares of this preferred stock, held through subsidiaries, was subject to a restructuring-type event at a reported value of $24,500 per share, leaving zero shares reported as held after the transaction.

Insider Trade Summary

Other: 1,973 shares

Other 1 txn

Insider UBS Group AG

Role 10% Owner

Type	Security	Shares	Price	Value
Other	Auction Preferred Stock	1,973	$24,500.00	$48.34M

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

Holdings Before and After: Auction Preferred Stock, 1,973 to 0 shares (Indirect, By subsidiary)

Footnotes (4)

1. F1. CUSIP Nos. 27828Q204, 27828Q303, 27828Q402, 27828Q501
2. F2. 98% of par
3. F3. This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.
4. F4. 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: 1,973 shares Reported price per share: $24,500 per share Shares held after transaction: 0 shares +1 more

4 metrics

Auction Preferred Stock shares affected 1,973 shares Aggregated restructuring-type transaction

Reported price per share $24,500 per share Auction Preferred Stock transaction value

Shares held after transaction 0 shares Total shares following transaction

Restructuring shares 1,973 shares TransactionSummary restructuringShares

Key Terms

Auction Preferred Stock, CUSIP, Auction Rate Securities Rights, ten percent owner

4 terms

Auction Preferred Stock financial

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

CUSIP financial

"CUSIP Nos. 27828Q204, 27828Q303, 27828Q402, 27828Q501"

A CUSIP is a nine-character alphanumeric code that uniquely identifies a U.S. or Canadian financial security—such as a stock, bond, or fund share—like a Social Security number for an investment. It matters to investors because brokers, exchanges and record-keepers use the CUSIP to match trades, track ownership, settle transactions and pull accurate records, reducing errors and ensuring money and securities go to the right place.

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 the issuer"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider activity did UBS Group AG report for Eaton Vance Senior Floating-Rate Trust (EFR)?

UBS Group AG reported an "other" transaction involving Auction Preferred Stock of Eaton Vance Senior Floating-Rate Trust. The filing shows 1,973 aggregated shares affected at $24,500 per share, with zero shares reported as held indirectly after the transaction.

Was the UBS Group AG Form 4 for EFR a buy or sell of shares?

The Form 4 does not classify the activity as a buy or sell. It uses transaction code J, described as another type of acquisition or disposition, and the summary characterizes it as an "other" restructuring-type transaction involving Auction Preferred Stock.

How many Auction Preferred Stock shares were involved in UBS Group AG’s EFR filing?

The filing reports 1,973 shares of Auction Preferred Stock on an aggregated basis. These shares relate to a series of Auction Preferred Stock identified in the table, and the transaction left no shares reported as held after completion.

What price per share is associated with UBS Group AG’s Auction Preferred Stock in EFR?

The transaction values the Auction Preferred Stock at $24,500 per share. This price applies to the 1,973 aggregated shares involved in the "other" transaction reported in the Form 4 for Eaton Vance Senior Floating-Rate Trust.

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

The securities are held indirectly through UBS Group AG subsidiaries, including UBS Securities LLC and UBS Financial Services Inc. UBS Group AG filed the statement for their benefit and on their behalf, reflecting delegated performance obligations related to Auction Rate Securities Rights.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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

X

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 Senior Floating-Rate Trust [ EFR ]

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)
			Code	V	Amount	(A) or (D)	Price
Auction Preferred Stock(1)	05/29/2026		J		1,973	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. CUSIP Nos. 27828Q204, 27828Q303, 27828Q402, 27828Q501

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)