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UBS AG
Period ended Sep 30, 2014 · Latest filing Nov 12, 2014
These quarterly holdings are delayed and may not include all assets or short positions.
Values are from the reporting date, not current prices or purchase costs.
The same security may appear in multiple rows.
Source: SEC
Reported portfolio value
Quarter-end reported holdings; not current value or investment performance.
View reported values
- Sep 30, 2014: $135,582,726,000
More quarters will appear as history becomes available.
Top holdings
Top 10 at Sep 30, 2014. Matching entries are combined; security classes and options remain separate. Shares exclude principal amounts; option shares reflect the reported underlying amount.
View top holdings values
- SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares: $5,234,289,000
- SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares · PUT: $2,805,798,000
- UBS AG · SHS NEW · H89231338 · shares: $1,708,821,000
- APPLE INC · COM · 037833100 · shares: $1,698,006,000
- MICROSOFT CORP · COM · 594918104 · shares: $1,309,238,000
- JOHNSON & JOHNSON · COM · 478160104 · shares: $1,175,481,000
- ISHARES TR · MSCI EMG MKT ETF · 464287234 · shares · PUT: $1,076,819,000
- SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares · CALL: $1,069,771,000
- INTEL CORP · COM · 458140100 · shares: $969,358,000
- ISHARES TR · RUSSELL 2000 ETF · 464287655 · shares: $897,841,000
Filing totals differ
The filing summary reports $135,582,726,000, while the holdings entries total $135,582,744,000.
Reported holdings
15,317 reported entries| Issuer | Class | CUSIP | Type | Shares / principal | Reported value (USD) |
|---|---|---|---|---|---|
| POWERSHARES ETF TRUST | FND PUR SMLCR PT | 73935X435 | — | 1,550 shares | $51,000 |
| POWERSHARES ETF TRUST II | INTL CORP BOND | 73936Q835 | — | 1,763 shares | $51,000 |
| PROSHARES TR | PSHS ULDOW30 NEW | 74348A590 | PUT | 2,100 shares | $51,000 |
| RENTECH NITROGEN PARTNERS L | COM UNIT | 760113100 | — | 4,077 shares | $51,000 |
| SINOPEC SHANGHAI PETROCHEMIC | SPON ADR H | 82935M109 | — | 1,543 shares | $51,000 |
| STATE AUTO FINL CORP | COM | 855707105 | — | 2,500 shares | $51,000 |
| STERLING BANCORP DEL | COM | 85917A100 | — | 3,966 shares | $51,000 |
| TABLEAU SOFTWARE INC | CL A | 87336U105 | PUT | 700 shares | $51,000 |
| TEUCRIUM COMMODITY TR | WHEAT FD | 88166A508 | CALL | 4,700 shares | $51,000 |
| TIM PARTICIPACOES S A | SPONSORED ADR | 88706P205 | — | 1,965 shares | $51,000 |
| TOWNEBANK PORTSMOUTH VA | COM | 89214P109 | — | 3,773 shares | $51,000 |
| TRINA SOLAR LIMITED | SPON ADR | 89628E104 | — | 4,200 shares | $51,000 |
| V F CORP | COM | 918204108 | — | 775 shares | $51,000 |
| WELLS FARGO ADV GLB DIV OPP | COM | 94987C103 | — | 6,370 shares | $51,000 |
| WELLS FARGO & CO NEW | *W EXP 10/28/201 | 949746119 | — | 2,538 shares | $51,000 |
| WILLIS LEASE FINANCE CORP | COM | 970646105 | — | 2,500 shares | $51,000 |
| ACADIA PHARMACEUTICALS INC | COM | 004225108 | — | 2,000 shares | $50,000 |
| ACTIVISION BLIZZARD INC | COM | 00507V109 | — | 2,415 shares | $50,000 |
| ALERE INC | COM | 01449J105 | — | 1,281 shares | $50,000 |
| ALPS ETF TR | GLB COMMOD EQTY | 00162Q304 | — | 1,180 shares | $50,000 |
| ALTISOURCE PORTFOLIO SOLNS S | REG SHS | L0175J104 | PUT | 500 shares | $50,000 |
| ALTISOURCE RESIDENTIAL CORP | CL B | 02153W100 | — | 2,101 shares | $50,000 |
| AMERICAN SUPERCONDUCTOR CORP | COM | 030111108 | — | 35,665 shares | $50,000 |
| AUTOHOME INC | SP ADR RP CL A | 05278C107 | CALL | 1,200 shares | $50,000 |
| BARCLAYS BK PLC | IPT COPPER ETN | 06740P189 | — | 1,487 shares | $50,000 |
| BIOLIFE SOLUTIONS INC | COM NEW | 09062W204 | — | 23,897 shares | $50,000 |
| BRF SA | SPONSORED ADR | 10552T107 | — | 2,087 shares | $50,000 |
| CATALENT INC | COM | 148806102 | — | 2,000 shares | $50,000 |
| CENTENE CORP DEL | COM | 15135B101 | PUT | 600 shares | $50,000 |
| DORCHESTER MINERALS LP | COM UNIT | 25820R105 | — | 1,694 shares | $50,000 |
| DREYFUS HIGH YIELD STRATEGIE | SH BEN INT | 26200S101 | — | 13,435 shares | $50,000 |
| EATON VANCE FLTING RATE INC | COM | 278279104 | — | 3,444 shares | $50,000 |
| GLOBAL DEFENSE & NATL SEC SY | COM | 37953N108 | — | 4,854 shares | $50,000 |
| GRAFTECH INTL LTD | COM | 384313102 | — | 11,000 shares | $50,000 |
| INSPIREMD INC | COM NEW | 45779A309 | — | 22,750 shares | $50,000 |
| ISHARES | MSCI AUST ETF | 464286103 | CALL | 2,100 shares | $50,000 |
| ISHARES | TRGT DT 2010 ETF | 464289206 | — | 1,372 shares | $50,000 |
| ISHARES TR | FINCLS BOND ETF | 46429B259 | — | 949 shares | $50,000 |
| ISRAMCO INC | COM NEW | 465141406 | — | 406 shares | $50,000 |
| KCG HLDGS INC | CL A | 48244B100 | — | 4,958 shares | $50,000 |
| MFS HIGH INCOME MUN TR | SH BEN INT | 59318D104 | — | 10,592 shares | $50,000 |
| MILLER HERMAN INC | COM | 600544100 | — | 1,690 shares | $50,000 |
| NEW HOME CO INC | COM | 645370107 | — | 3,682 shares | $50,000 |
| NTELOS HLDGS CORP | COM NEW | 67020Q305 | — | 4,704 shares | $50,000 |
| PROSHARES TR | ULTRA 20YR TRE | 74347R172 | — | 734 shares | $50,000 |
| SEMGROUP CORP | CL A | 81663A105 | CALL | 600 shares | $50,000 |
| SMITH & WESSON HLDG CORP | COM | 831756101 | CALL | 5,300 shares | $50,000 |
| SPDR SERIES TRUST | SPDR S&P1500VL | 78464A128 | — | 600 shares | $50,000 |
| STARRETT L S CO | CL A | 855668109 | — | 3,616 shares | $50,000 |
| TD AMERITRADE HLDG CORP | COM | 87236Y108 | PUT | 1,500 shares | $50,000 |
| TERADYNE INC | COM | 880770102 | PUT | 2,600 shares | $50,000 |
| WERNER ENTERPRISES INC | COM | 950755108 | — | 1,995 shares | $50,000 |
| WISDOMTREE TR | ASIA LC DBT FD | 97717X842 | — | 1,050 shares | $50,000 |
| WISDOMTREE TR | AUSTRALIA DIV FD | 97717W810 | — | 899 shares | $50,000 |
| ZIMMER HLDGS INC | COM | 98956P102 | CALL | 500 shares | $50,000 |
| ALASKA COMMUNICATIONS SYS GR | COM | 01167P101 | — | 31,100 shares | $49,000 |
| ALLIANCEBERNSTEIN HOLDING LP | UNIT LTD PARTN | 01881G106 | PUT | 1,900 shares | $49,000 |
| ALLIED NEVADA GOLD CORP | COM | 019344100 | — | 14,788 shares | $49,000 |
| AMERICA MOVIL SAB DE CV | SPON ADR L SHS | 02364W105 | — | 1,925 shares | $49,000 |
| BARCLAYS BK PLC | IPATH LN ENHAN | 06741K486 | — | 1,290 shares | $49,000 |
| BARNES & NOBLE INC | COM | 067774109 | CALL | 2,500 shares | $49,000 |
| BELLATRIX EXPLORATION LTD | COM | 078314101 | — | 7,992 shares | $49,000 |
| BIGLARI HLDGS INC | COM | 08986R101 | — | 144 shares | $49,000 |
| BIRNER DENTAL MGMT SERVICES | COM NEW | 091283200 | — | 2,910 shares | $49,000 |
| CAESARS ENTMT CORP | COM | 127686103 | — | 3,875 shares | $49,000 |
| CATALENT INC | COM | 148806102 | — | 1,973 shares | $49,000 |
| CENTER COAST MLP & INFRSTR F | COM SHS | 151461100 | — | 2,521 shares | $49,000 |
| CHENIERE ENERGY PARTNERS LP | COM UNIT | 16411Q101 | PUT | 1,500 shares | $49,000 |
| CONTROLADORA VUELA CIA DE AV | SPON ADR RP 10 | 21240E105 | — | 5,588 shares | $49,000 |
| EATON VANCE ENH EQTY INC FD | COM | 278277108 | — | 3,582 shares | $49,000 |
| EPAM SYS INC | COM | 29414B104 | — | 1,126 shares | $49,000 |
| EXTENDED STAY AMER INC | UNIT 99/99/9999B | 30224P200 | — | 2,071 shares | $49,000 |
| FIRST TRUST MORTGAGE INCM FD | COM SHS | 33734E103 | — | 3,218 shares | $49,000 |
| FLEXSHARES TR | IBOXX 3R TARGT | 33939L506 | — | 1,987 shares | $49,000 |
| FLEXSHARES TR | INTL QLTDV DEF | 33939L811 | — | 1,904 shares | $49,000 |
| FORTUNA SILVER MINES INC | COM | 349915108 | — | 12,106 shares | $49,000 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 | — | 265 shares | $49,000 |
| HEALTHSTREAM INC | COM | 42222N103 | — | 2,050 shares | $49,000 |
| HERITAGE CRYSTAL CLEAN INC | COM | 42726M106 | — | 3,268 shares | $49,000 |
| HEXCEL CORP NEW | COM | 428291108 | — | 1,235 shares | $49,000 |
| ICICI BK LTD | ADR | 45104G104 | — | 1,000 shares | $49,000 |
| IDREAMSKY TECHNOLOGY LIMITED | SPONSORED ADS | 45173K101 | PUT | 2,900 shares | $49,000 |
| INFINERA CORPORATION | COM | 45667G103 | PUT | 4,600 shares | $49,000 |
| KINDRED BIOSCIENCES INC | COM | 494577109 | — | 5,325 shares | $49,000 |
| KOHLS CORP | COM | 500255104 | PUT | 800 shares | $49,000 |
| MGP INGREDIENTS INC NEW | COM | 55303J106 | — | 3,732 shares | $49,000 |
| NIPPON TELEG & TEL CORP | SPONSORED ADR | 654624105 | — | 1,570 shares | $49,000 |
| NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | — | 1,347 shares | $49,000 |
| OLD REP INTL CORP | COM | 680223104 | PUT | 3,400 shares | $49,000 |
| PEABODY ENERGY CORP | SDCV 4.750%12/1 | 704549AG9 | — | 71,000 principal | $49,000 |
| PENNSYLVANIA RL ESTATE INVT | SH BEN INT | 709102107 | — | 2,479 shares | $49,000 |
| PIMCO NEW YORK MUN FD II | COM | 72200Y102 | — | 4,321 shares | $49,000 |
| PIXELWORKS INC | COM NEW | 72581M305 | — | 7,539 shares | $49,000 |
| ROADRUNNER TRNSN SVCS HLDG I | COM | 76973Q105 | — | 2,136 shares | $49,000 |
| ROYAL BK OF SCOTLAND PLC | RBS NASD LKD41 | 78009P143 | — | 1,253 shares | $49,000 |
| SILVER STD RES INC | COM | 82823L106 | PUT | 8,100 shares | $49,000 |
| SPDR SERIES TRUST | NUVN S&P VRDO MN | 78464A318 | — | 1,648 shares | $49,000 |
| SPRINT CORP | COM SER 1 | 85207U105 | PUT | 7,800 shares | $49,000 |
| STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | CALL | 1,900 shares | $49,000 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | CALL | 400 shares | $49,000 |