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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) |
|---|---|---|---|---|---|
| GLATFELTER | COM | 377316104 | — | 1,542 shares | $34,000 |
| GLIMCHER RLTY TR | SH BEN INT | 379302102 | PUT | 2,500 shares | $34,000 |
| GLOBAL X FDS | CHINA FINL ETF | 37950E606 | — | 2,696 shares | $34,000 |
| GLOBAL X FDS | GLB X MLP ENRG I | 37950E226 | — | 1,723 shares | $34,000 |
| HANCOCK JOHN TAX-ADV DIV INC | COM | 41013V100 | — | 1,650 shares | $34,000 |
| INDEPENDENT BANK CORP MICH | COM NEW | 453838609 | — | 2,860 shares | $34,000 |
| INTREPID POTASH INC | COM | 46121Y102 | — | 2,172 shares | $34,000 |
| MARKET VECTORS ETF TR | COAL ETF | 57060U837 | CALL | 2,000 shares | $34,000 |
| MARKET VECTORS ETF TR | UNCVTL OIL GAS | 57060U159 | — | 1,135 shares | $34,000 |
| MATSON INC | COM | 57686G105 | — | 1,375 shares | $34,000 |
| MENTOR GRAPHICS CORP | COM | 587200106 | — | 1,670 shares | $34,000 |
| MEREDITH CORP | COM | 589433101 | PUT | 800 shares | $34,000 |
| MICROVISION INC DEL | COM NEW | 594960304 | CALL | 17,300 shares | $34,000 |
| MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | — | 530 shares | $34,000 |
| NATURES SUNSHINE PRODUCTS IN | COM | 639027101 | — | 2,291 shares | $34,000 |
| NAVIOS MARITIME HOLDINGS INC | COM | Y62196103 | PUT | 5,700 shares | $34,000 |
| NORTHERN OIL & GAS INC NEV | COM | 665531109 | CALL | 2,400 shares | $34,000 |
| NOVAGOLD RES INC | COM NEW | 66987E206 | — | 11,250 shares | $34,000 |
| NQ MOBILE INC | ADR REPSTG CL A | 64118U108 | PUT | 4,900 shares | $34,000 |
| NUVEEN NEW YORK MUN VALUE FD | COM | 670706100 | — | 2,327 shares | $34,000 |
| OCLARO INC | COM NEW | 67555N206 | — | 23,836 shares | $34,000 |
| PARKER HANNIFIN CORP | COM | 701094104 | CALL | 300 shares | $34,000 |
| PRICESMART INC | COM | 741511109 | CALL | 400 shares | $34,000 |
| PROSHARES TR | PSHS UL TELE ETF | 74347R263 | — | 365 shares | $34,000 |
| PROSHARES TR | UL PROSHTFIN NEW | 74348A517 | — | 1,165 shares | $34,000 |
| PUBLIC SVC ENTERPRISE GROUP | COM | 744573106 | CALL | 900 shares | $34,000 |
| RANGE RES CORP | COM | 75281A109 | CALL | 500 shares | $34,000 |
| ROYAL GOLD INC | COM | 780287108 | — | 518 shares | $34,000 |
| SOLARWINDS INC | COM | 83416B109 | PUT | 800 shares | $34,000 |
| SPDR INDEX SHS FDS | INTL TECH ETF | 78463X657 | — | 1,071 shares | $34,000 |
| SPDR SER TR | BARC 1-10YRTIP | 78468R861 | — | 1,724 shares | $34,000 |
| SPROTT PHYSICAL SILVER TR | TR UNIT | 85207K107 | — | 5,000 shares | $34,000 |
| STONEMOR PARTNERS L P | COM UNITS | 86183Q100 | PUT | 1,300 shares | $34,000 |
| TEJON RANCH CO | COM | 879080109 | — | 1,224 shares | $34,000 |
| TERRITORIAL BANCORP INC | COM | 88145X108 | — | 1,687 shares | $34,000 |
| TF FINL CORP | COM | 872391107 | — | 819 shares | $34,000 |
| WORLD ACCEP CORP DEL | COM | 981419104 | CALL | 500 shares | $34,000 |
| ZOGENIX INC | COM | 98978L105 | — | 29,727 shares | $34,000 |
| ACTUANT CORP | CL A NEW | 00508X203 | — | 1,085 shares | $33,000 |
| ALLEGHENY TECHNOLOGIES INC | COM | 01741R102 | — | 890 shares | $33,000 |
| ALLOT COMMUNICATIONS LTD | SHS | M0854Q105 | CALL | 2,900 shares | $33,000 |
| ASCENT CAP GROUP INC | COM SER A | 043632108 | — | 554 shares | $33,000 |
| ASTEC INDS INC | COM | 046224101 | — | 916 shares | $33,000 |
| AURICO GOLD INC | COM | 05155C105 | CALL | 9,500 shares | $33,000 |
| AZZ INC | COM | 002474104 | CALL | 800 shares | $33,000 |
| BARRACUDA NETWORKS INC | COM | 068323104 | — | 1,295 shares | $33,000 |
| BARRETT BILL CORP | COM | 06846N104 | — | 1,494 shares | $33,000 |
| BENCHMARK ELECTRS INC | COM | 08160H101 | CALL | 1,500 shares | $33,000 |
| BLACKROCK MUNIASSETS FD INC | COM | 09254J102 | — | 2,492 shares | $33,000 |
| BRIXMOR PPTY GROUP INC | COM | 11120U105 | — | 1,464 shares | $33,000 |
| CALIFORNIA FIRST NTNL BANCOR | COM | 130222102 | — | 2,249 shares | $33,000 |
| CAPITAL BK FINL CORP | CL A COM | 139794101 | — | 1,369 shares | $33,000 |
| CAPITAL SR LIVING CORP | COM | 140475104 | — | 1,534 shares | $33,000 |
| CASTLIGHT HEALTH INC | CL B | 14862Q100 | — | 2,560 shares | $33,000 |
| CASTLIGHT HEALTH INC | CL B | 14862Q100 | — | 2,561 shares | $33,000 |
| CU BANCORP CALIF | COM | 126534106 | — | 1,779 shares | $33,000 |
| DINEEQUITY INC | COM | 254423106 | — | 407 shares | $33,000 |
| DUCOMMUN INC DEL | COM | 264147109 | — | 1,200 shares | $33,000 |
| DURATA THERAPEUTICS INC | COM | 26658A107 | CALL | 2,600 shares | $33,000 |
| EATON VANCE N J MUN BD FD | COM | 27828R103 | — | 2,644 shares | $33,000 |
| EZCHIP SEMICONDUCTOR LIMITED | ORD | M4146Y108 | — | 1,372 shares | $33,000 |
| FIRST CASH FINL SVCS INC | COM | 31942D107 | — | 592 shares | $33,000 |
| FIRST TR ISE GLOBL COPPR IND | COM | 33733J103 | — | 1,543 shares | $33,000 |
| FIRST TR VALUE LINE DIVID IN | SHS | 33734H106 | — | 1,476 shares | $33,000 |
| GLACIER BANCORP INC NEW | COM | 37637Q105 | — | 1,293 shares | $33,000 |
| GLOBAL HIGH INCOME FUND INC | COM | 37933G108 | — | 3,364 shares | $33,000 |
| GUGGENHEIM ENHNCD EQTY INCM | COM | 40167B100 | — | 3,651 shares | $33,000 |
| HORIZON BANCORP IND | COM | 440407104 | — | 1,429 shares | $33,000 |
| INFINITY PPTY & CAS CORP | COM | 45665Q103 | — | 518 shares | $33,000 |
| INTERGROUP CORP | COM | 458685104 | — | 1,672 shares | $33,000 |
| INVESCO MUNI INCOME OPP TRST | COM | 46132X101 | — | 4,873 shares | $33,000 |
| ISHARES | FTSE CHINA ETF | 464288190 | — | 680 shares | $33,000 |
| MAGELLAN HEALTH INC | COM NEW | 559079207 | CALL | 600 shares | $33,000 |
| MALVERN BANCORP INC | COM | 561409103 | — | 2,889 shares | $33,000 |
| MFS GOVT MKTS INCOME TR | SH BEN INT | 552939100 | — | 5,842 shares | $33,000 |
| MULTIMEDIA GAMES HLDG CO INC | COM | 625453105 | — | 925 shares | $33,000 |
| NUVEEN MULTI MKT INCOME FD I | COM | 67075J107 | — | 4,318 shares | $33,000 |
| ORCHID IS CAP INC | COM | 68571X103 | — | 2,479 shares | $33,000 |
| PIMCO NEW YORK MUN FD II | COM | 72200Y102 | — | 2,900 shares | $33,000 |
| POAGE BANKSHARES INC | COM | 730206109 | — | 2,177 shares | $33,000 |
| POOL CORPORATION | COM | 73278L105 | — | 621 shares | $33,000 |
| PRGX GLOBAL INC | COM NEW | 69357C503 | — | 5,555 shares | $33,000 |
| PRIMEENERGY CORP | COM | 74158E104 | — | 504 shares | $33,000 |
| QCR HOLDINGS INC | COM | 74727A104 | — | 1,848 shares | $33,000 |
| QUAKER CHEM CORP | COM | 747316107 | — | 455 shares | $33,000 |
| RADWARE LTD | ORD | M81873107 | — | 1,848 shares | $33,000 |
| RCI HOSPITALITY HLDGS INC | COM | 74934Q108 | — | 2,949 shares | $33,000 |
| ROCK-TENN CO | CL A | 772739207 | CALL | 700 shares | $33,000 |
| ROWAN COMPANIES PLC | SHS CL A | G7665A101 | CALL | 1,300 shares | $33,000 |
| ROYAL BK OF SCOTLAND PLC | ROGR ENH INMET | 78009P218 | — | 1,449 shares | $33,000 |
| SANMINA CORPORATION | COM | 801056102 | CALL | 1,600 shares | $33,000 |
| SCIENTIFIC GAMES CORP | CL A | 80874P109 | — | 3,039 shares | $33,000 |
| SHARPS COMPLIANCE CORP | COM | 820017101 | — | 7,600 shares | $33,000 |
| SOUTHERN COPPER CORP | COM | 84265V105 | CALL | 1,100 shares | $33,000 |
| SOUTHERN FIRST BANCSHARES IN | COM | 842873101 | — | 2,371 shares | $33,000 |
| SPDR INDEX SHS FDS | MSCI EM50 ETF | 78463X467 | — | 682 shares | $33,000 |
| SPDR INDEX SHS FDS | S&P GBLINF ETF | 78463X855 | — | 684 shares | $33,000 |
| SPDR SER TR | SPDR RUSSEL 2000 | 78468R853 | — | 495 shares | $33,000 |
| STIFEL FINL CORP | COM | 860630102 | — | 709 shares | $33,000 |
| STILLWATER MNG CO | COM | 86074Q102 | PUT | 2,200 shares | $33,000 |