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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) |
|---|---|---|---|---|---|
| HUMANA INC | COM | 444859102 | — | 290 shares | $38,000 |
| ISHARES TR | MSCI ACAS SC ETF | 46429B622 | — | 631 shares | $38,000 |
| JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | CALL | 4,100 shares | $38,000 |
| JPMORGAN CHINA REGION FD INC | COM | 48126T104 | — | 2,516 shares | $38,000 |
| MEDIDATA SOLUTIONS INC | COM | 58471A105 | — | 867 shares | $38,000 |
| NANOSPHERE INC | COM | 63009F105 | — | 67,116 shares | $38,000 |
| NEWBRIDGE BANCORP | CL A NO PAR | 65080T102 | — | 4,984 shares | $38,000 |
| NEW YORK CMNTY CAP TR V | UNIT 11/01/2051 | 64944P307 | — | 751 shares | $38,000 |
| OPUS BK IRVINE CALIF | COM | 684000102 | — | 1,241 shares | $38,000 |
| ORACLE CORP | COM | 68389X105 | PUT | 1,000 shares | $38,000 |
| PROGENICS PHARMACEUTICALS IN | COM | 743187106 | — | 7,244 shares | $38,000 |
| REVOLUTION LIGHTING TECHNOLO | COM | 76155G107 | — | 22,500 shares | $38,000 |
| RIO ALTO MNG LTD NEW | COM | 76689T104 | — | 15,653 shares | $38,000 |
| SAFETY INS GROUP INC | COM | 78648T100 | CALL | 700 shares | $38,000 |
| SOTHERLY HOTELS INC | COM | 83600C103 | — | 4,855 shares | $38,000 |
| SWIFT ENERGY CO | COM | 870738101 | — | 3,938 shares | $38,000 |
| TEUCRIUM COMMODITY TR | SOYBEAN FD | 88166A607 | — | 2,000 shares | $38,000 |
| TG THERAPEUTICS INC | COM | 88322Q108 | CALL | 3,600 shares | $38,000 |
| UNIVERSAL FST PRODS INC | COM | 913543104 | — | 896 shares | $38,000 |
| VIACOM INC NEW | CL A | 92553P102 | — | 492 shares | $38,000 |
| WISDOMTREE TR | COMM COUNTRY EQ | 97717W752 | — | 1,319 shares | $38,000 |
| ACE LTD | SHS | H0023R105 | — | 355 shares | $37,000 |
| ALLIED MOTION TECHNOLOGIES I | COM | 019330109 | — | 2,639 shares | $37,000 |
| AMARIN CORP PLC | SPONS ADR NEW | 023111206 | — | 34,198 shares | $37,000 |
| AMERIPRISE FINL INC | COM | 03076C106 | PUT | 300 shares | $37,000 |
| ANNIES INC | COM | 03600T104 | — | 811 shares | $37,000 |
| ATLANTIC PWR CORP | COM NEW | 04878Q863 | — | 15,695 shares | $37,000 |
| AUDIOCODES LTD | ORD | M15342104 | — | 7,710 shares | $37,000 |
| BARCLAYS BK PLC | TRES 5YR BEAR | 06740P643 | — | 976 shares | $37,000 |
| COMCAST CORP NEW | CL A SPL | 20030N200 | CALL | 700 shares | $37,000 |
| CORNERSTONE PROGRESSIVE RTN | COM | 21925C101 | — | 9,031 shares | $37,000 |
| CREDIT SUISSE AG NASSAU BRH | EXCH TRAD SPVXSP | 22539T100 | — | 1,594 shares | $37,000 |
| CURRENCYSHARES EURO TR | EURO SHS | 23130C108 | — | 298 shares | $37,000 |
| CURRENCYSHARES SINGAPORE DLR | SHS | 23130K100 | — | 470 shares | $37,000 |
| CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | PUT | 3,700 shares | $37,000 |
| DARDEN RESTAURANTS INC | COM | 237194105 | — | 715 shares | $37,000 |
| DENNYS CORP | COM | 24869P104 | — | 5,220 shares | $37,000 |
| DIREXION SHS ETF TR | DLY S&P500 2XS | 25459Y256 | — | 865 shares | $37,000 |
| DIREXION SHS ETF TR | INDIA BULL 3X SH | 25459Y330 | CALL | 400 shares | $37,000 |
| ENERNOC INC | COM | 292764107 | — | 2,178 shares | $37,000 |
| ENSTAR GROUP LIMITED | SHS | G3075P101 | — | 275 shares | $37,000 |
| ENVESTNET INC | COM | 29404K106 | — | 816 shares | $37,000 |
| EXCEL TR INC | COM | 30068C109 | — | 3,166 shares | $37,000 |
| FAIRPOINT COMMUNICATIONS INC | COM NEW | 305560302 | — | 2,412 shares | $37,000 |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | — | 1,544 shares | $37,000 |
| FIRST MERCHANTS CORP | COM | 320817109 | — | 1,830 shares | $37,000 |
| FORRESTER RESH INC | COM | 346563109 | — | 1,001 shares | $37,000 |
| FRANKLIN LTD DURATION INC TR | COM | 35472T101 | — | 2,989 shares | $37,000 |
| GOLD STD VENTURES CORP | COM | 380738104 | — | 56,100 shares | $37,000 |
| HUNTINGTON INGALLS INDS INC | COM | 446413106 | — | 355 shares | $37,000 |
| INPHI CORP | COM | 45772F107 | PUT | 2,600 shares | $37,000 |
| INTERACTIVE BROKERS GROUP IN | COM | 45841N107 | PUT | 1,500 shares | $37,000 |
| ISHARES | 10-20 YR TRS ETF | 464288653 | — | 287 shares | $37,000 |
| KADANT INC | COM | 48282T104 | — | 942 shares | $37,000 |
| KELLY SVCS INC | CL A | 488152208 | — | 2,354 shares | $37,000 |
| KITE PHARMA INC | COM | 49803L109 | — | 1,300 shares | $37,000 |
| LATIN AMERN DISCOVERY FD INC | COM | 51828C106 | — | 2,817 shares | $37,000 |
| MARKET VECTORS ETF TR | HG YLD MUN ETF | 57060U878 | PUT | 1,200 shares | $37,000 |
| METHODE ELECTRS INC | COM | 591520200 | PUT | 1,000 shares | $37,000 |
| MFA FINL INC | COM | 55272X102 | CALL | 4,800 shares | $37,000 |
| NAVIOS MARITIME HLDGS INC | SPN ADR RP PFD G | 63938Y100 | — | 1,461 shares | $37,000 |
| NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | — | 908 shares | $37,000 |
| NUVEEN CONN PREM INCOME MUN | COM | 67060D107 | — | 2,966 shares | $37,000 |
| PACIFIC COAST OIL TR | UNIT BEN INT | 694103102 | CALL | 3,600 shares | $37,000 |
| PIMCO ETF TR | 7-15 YR US TRS | 72201R700 | — | 442 shares | $37,000 |
| PLY GEM HLDGS INC | COM | 72941W100 | — | 3,368 shares | $37,000 |
| PNC FINL SVCS GROUP INC | *W EXP 12/31/201 | 693475121 | — | 1,600 shares | $37,000 |
| POWERSHARES ETF TRUST | INDL SECT PORT | 73935X369 | — | 809 shares | $37,000 |
| PROSENSA HLDG N V | SHS USD | N71546100 | — | 4,353 shares | $37,000 |
| RAMBUS INC DEL | COM | 750917106 | — | 2,974 shares | $37,000 |
| REPROS THERAPEUTICS INC | COM NEW | 76028H209 | — | 3,749 shares | $37,000 |
| SEATTLE GENETICS INC | COM | 812578102 | PUT | 1,000 shares | $37,000 |
| SENECA FOODS CORP NEW | CL A | 817070501 | — | 1,288 shares | $37,000 |
| STANDEX INTL CORP | COM | 854231107 | CALL | 500 shares | $37,000 |
| TEUCRIUM COMMODITY TR | WTI CRUDE OIL | 88166A300 | — | 923 shares | $37,000 |
| ABB LTD | SPONSORED ADR | 000375204 | CALL | 1,600 shares | $36,000 |
| ALPHA NATURAL RESOURCES INC | NOTE 3.750%12/1 | 02076XAE2 | — | 50,000 principal | $36,000 |
| ALPS ETF TR | BARRONS 400 ETF | 00162Q726 | — | 1,177 shares | $36,000 |
| ASSOCIATED BANC CORP | COM | 045487105 | — | 2,058 shares | $36,000 |
| ASSOCIATED ESTATES RLTY CORP | COM | 045604105 | — | 2,065 shares | $36,000 |
| BARCLAYS BANK PLC | IPATH AS GLF CUR | 06739H420 | — | 716 shares | $36,000 |
| BARCLAYS BK PLC | IPATH GEMS ASIA8 | 06738G878 | — | 826 shares | $36,000 |
| BHP BILLITON LTD | SPONSORED ADR | 088606108 | — | 615 shares | $36,000 |
| CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | CALL | 1,300 shares | $36,000 |
| CAROLINA TR BK LINCOLNTON NC | COM | 144200102 | — | 7,292 shares | $36,000 |
| CBS OUTDOOR AMERS INC | COM | 14987J106 | PUT | 1,200 shares | $36,000 |
| CHINA FD INC | COM | 169373107 | — | 1,733 shares | $36,000 |
| CHINA GREEN AGRICULTURE INC | COM | 16943W105 | PUT | 18,200 shares | $36,000 |
| CONVERGYS CORP | COM | 212485106 | PUT | 2,000 shares | $36,000 |
| CST BRANDS INC | COM | 12646R105 | — | 1,010 shares | $36,000 |
| DEUTSCHE GLOBAL HIGH INCOME | COM | 25158V108 | — | 4,463 shares | $36,000 |
| DIREXION SHS ETF TR | DLY JR GL MNR 3X | 25459Y611 | — | 3,071 shares | $36,000 |
| DIREXION SHS ETF TR | DLY SCOND 3XBU | 25459W458 | — | 321 shares | $36,000 |
| DONNELLEY R R & SONS CO | COM | 257867101 | PUT | 2,200 shares | $36,000 |
| DOW CHEM CO | COM | 260543103 | — | 695 shares | $36,000 |
| ECOLOGY & ENVIRONMENT INC | CL A | 278878103 | — | 3,743 shares | $36,000 |
| ELECTRONICS FOR IMAGING INC | COM | 286082102 | — | 819 shares | $36,000 |
| ENDOCYTE INC | COM | 29269A102 | — | 6,000 shares | $36,000 |
| ESSEX PPTY TR INC | COM | 297178105 | PUT | 200 shares | $36,000 |
| FIRST TR STOXX EURO DIV FD | COMMON SHS | 33735T109 | — | 2,694 shares | $36,000 |