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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) |
|---|---|---|---|---|---|
| NORTH ATLANTIC DRILLING LTD | COM | G6613P202 | CALL | 4,600 shares | $31,000 |
| NOVA LIFESTYLE INC | COM | 66979P102 | — | 7,232 shares | $31,000 |
| ODYSSEY MARINE EXPLORATION I | COM | 676118102 | — | 34,147 shares | $31,000 |
| OLD REP INTL CORP | COM | 680223104 | CALL | 2,200 shares | $31,000 |
| ONEBEACON INSURANCE GROUP LT | CL A | G67742109 | — | 1,986 shares | $31,000 |
| POWERSHARES ETF TR II | S&P SMCP CONSU | 73937B605 | — | 605 shares | $31,000 |
| POWERSHARES ETF TR II | S&P SMCP UTI P | 73937B837 | — | 924 shares | $31,000 |
| POWERSHARES ETF TRUST II | GLOB GLD&P ETF | 73936Q876 | — | 1,696 shares | $31,000 |
| PROSHARES TR | ULSH 20YRTRE NEW | 74348A491 | — | 551 shares | $31,000 |
| PROSHARES TR II | VIX MDTRM FUTR | 74347W684 | — | 1,968 shares | $31,000 |
| PRUDENTIAL GLB SHT DUR HG YL | COM | 74433A109 | — | 1,876 shares | $31,000 |
| SPECTRA ENERGY CORP | COM | 847560109 | — | 799 shares | $31,000 |
| STRATEGIC HOTELS & RESORTS I | COM | 86272T106 | — | 2,679 shares | $31,000 |
| SUNSHINE HEART INC | COM | 86782U106 | CALL | 5,500 shares | $31,000 |
| TARO PHARMACEUTICAL INDS LTD | SHS | M8737E108 | CALL | 200 shares | $31,000 |
| TECHTARGET INC | COM | 87874R100 | — | 3,559 shares | $31,000 |
| THESTREET INC | COM | 88368Q103 | — | 13,865 shares | $31,000 |
| TRACTOR SUPPLY CO | COM | 892356106 | PUT | 500 shares | $31,000 |
| USANA HEALTH SCIENCES INC | COM | 90328M107 | — | 422 shares | $31,000 |
| VEOLIA ENVIRONNEMENT | SPONSORED ADR | 92334N103 | — | 1,742 shares | $31,000 |
| WESTMORELAND COAL CO | PFD DP A CV1/4 | 960878304 | — | 478 shares | $31,000 |
| AARONS INC | COM PAR $0.50 | 002535300 | — | 1,231 shares | $30,000 |
| ACACIA RESH CORP | ACACIA TCH COM | 003881307 | — | 1,938 shares | $30,000 |
| ANGIODYNAMICS INC | COM | 03475V101 | — | 2,157 shares | $30,000 |
| BARCLAYS BANK PLC | ETN DJUBSALUMI38 | 06739H321 | — | 1,568 shares | $30,000 |
| BARCLAYS BK PLC | ETN DJUBS COPR37 | 06739F101 | — | 837 shares | $30,000 |
| BARCLAYS BK PLC | ETN DJUBS IND MT | 06738G407 | — | 1,039 shares | $30,000 |
| BROADWIND ENERGY INC | COM NEW | 11161T207 | — | 3,953 shares | $30,000 |
| BROOKFIELD RESIDENTIAL PPTYS | COM | 11283W104 | — | 1,575 shares | $30,000 |
| CAMBRIA ETF TR | CAMBRIA FGN SHR | 132061300 | — | 1,207 shares | $30,000 |
| CARDTRONICS INC | COM | 14161H108 | — | 845 shares | $30,000 |
| CHINA YUCHAI INTL LTD | COM | G21082105 | — | 1,642 shares | $30,000 |
| COLUMBIA LABS INC | COM NEW | 197779200 | — | 5,080 shares | $30,000 |
| COMPANHIA ENERGETICA DE MINA | SP ADR N-V PFD | 204409601 | CALL | 4,800 shares | $30,000 |
| COMPANHIA PARANAENSE ENERG C | SPON ADR PFD | 20441B407 | — | 2,191 shares | $30,000 |
| COTY INC | COM CL A | 222070203 | — | 1,818 shares | $30,000 |
| DELAWARE ENHANCED GBL DIV & | COM | 246060107 | — | 2,525 shares | $30,000 |
| DIGITAL RIV INC | COM | 25388B104 | — | 2,059 shares | $30,000 |
| EATON VANCE ENHANCED EQ INC | COM | 278274105 | — | 2,151 shares | $30,000 |
| EATON VANCE OHIO MUN BD FD | COM | 27828L106 | — | 2,378 shares | $30,000 |
| ENGILITY HLDGS INC | COM | 29285W104 | — | 974 shares | $30,000 |
| ESSENT GROUP LTD | COM | G3198U102 | — | 1,417 shares | $30,000 |
| FASTENAL CO | COM | 311900104 | — | 664 shares | $30,000 |
| GENTHERM INC | COM | 37253A103 | CALL | 700 shares | $30,000 |
| GLADSTONE CAPITAL CORP | COM | 376535100 | — | 3,400 shares | $30,000 |
| GLOBAL INDEMNITY PLC | SHS | G39319101 | — | 1,185 shares | $30,000 |
| GLOBAL X FDS | CHINA CONS ETF | 37950E408 | — | 2,212 shares | $30,000 |
| HAMPDEN BANCORP INC | COM | 40867E107 | — | 1,745 shares | $30,000 |
| HAWAIIAN HOLDINGS INC | COM | 419879101 | — | 2,204 shares | $30,000 |
| HILL INTERNATIONAL INC | COM | 431466101 | CALL | 7,500 shares | $30,000 |
| HOMETRUST BANCSHARES INC | COM | 437872104 | — | 2,046 shares | $30,000 |
| INDIA FD INC | COM | 454089103 | PUT | 1,100 shares | $30,000 |
| INTREXON CORP | COM | 46122T102 | CALL | 1,600 shares | $30,000 |
| LADDER CAP CORP | CL A | 505743104 | — | 1,563 shares | $30,000 |
| LA Z BOY INC | COM | 505336107 | CALL | 1,500 shares | $30,000 |
| LINDSAY CORP | COM | 535555106 | PUT | 400 shares | $30,000 |
| LITHIA MTRS INC | CL A | 536797103 | PUT | 400 shares | $30,000 |
| LUMENIS LTD | SHS CL B | M6778Q121 | — | 3,328 shares | $30,000 |
| MAGICJACK VOCALTEC LTD | SHS | M6787E101 | PUT | 3,000 shares | $30,000 |
| MAGNUM HUNTER RES CORP DEL | COM | 55973B102 | PUT | 5,400 shares | $30,000 |
| MARTIN MIDSTREAM PRTNRS L P | UNIT L P INT | 573331105 | CALL | 800 shares | $30,000 |
| MERCHANTS BANCSHARES | COM | 588448100 | — | 1,050 shares | $30,000 |
| MISONIX INC | COM | 604871103 | — | 2,535 shares | $30,000 |
| MOVADO GROUP INC | COM | 624580106 | PUT | 900 shares | $30,000 |
| MWI VETERINARY SUPPLY INC | COM | 55402X105 | CALL | 200 shares | $30,000 |
| NAVIDEA BIOPHARMACEUTICALS I | COM | 63937X103 | — | 22,600 shares | $30,000 |
| NEVSUN RES LTD | COM | 64156L101 | — | 8,200 shares | $30,000 |
| NUVEEN VA PREM INCOME MUN FD | COM | 67064R102 | — | 2,279 shares | $30,000 |
| PARK STERLING CORP | COM | 70086Y105 | — | 4,590 shares | $30,000 |
| PATRICK INDS INC | COM | 703343103 | — | 700 shares | $30,000 |
| PEOPLES FINL CORP MISS | COM | 71103B102 | — | 2,279 shares | $30,000 |
| PERFUMANIA HLDGS INC | COM NEW | 71376C100 | — | 4,708 shares | $30,000 |
| PFIZER INC | COM | 717081103 | — | 1,000 shares | $30,000 |
| PITNEY BOWES INC | COM | 724479100 | PUT | 1,200 shares | $30,000 |
| PROSHARES TR | MSCI EMRG ETF | 74347X302 | CALL | 400 shares | $30,000 |
| PROSHARES TR | SHT MSCI NEW | 74347X575 | — | 1,604 shares | $30,000 |
| QLOGIC CORP | COM | 747277101 | — | 3,290 shares | $30,000 |
| RECON TECHNOLOGY LTD | SHS | G7415M108 | — | 6,310 shares | $30,000 |
| REPUBLIC BANCORP KY | CL A | 760281204 | — | 1,260 shares | $30,000 |
| S L INDS INC | COM | 784413106 | — | 616 shares | $30,000 |
| SPARTON CORP | COM | 847235108 | CALL | 1,200 shares | $30,000 |
| STARTEK INC | COM | 85569C107 | — | 3,932 shares | $30,000 |
| TAIWAN FD INC | COM | 874036106 | — | 1,580 shares | $30,000 |
| TEMPLETON RUS AND EAST EUR F | COM | 88022F105 | — | 2,395 shares | $30,000 |
| TEXAS CAPITAL BANCSHARES INC | COM | 88224Q107 | — | 519 shares | $30,000 |
| TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | PUT | 300 shares | $30,000 |
| UNITED FIRE GROUP INC | COM | 910340108 | — | 1,075 shares | $30,000 |
| VTTI ENERGY PARTNERS LP | COM UNIT RP LT | Y9384M101 | — | 1,200 shares | $30,000 |
| WASHINGTON REAL ESTATE INVT | SH BEN INT | 939653101 | PUT | 1,200 shares | $30,000 |
| WELLESLEY BANCORP INC | COM | 949485106 | — | 1,599 shares | $30,000 |
| WESTERN ASSET MTG CAP CORP | COM | 95790D105 | PUT | 2,000 shares | $30,000 |
| WILSHIRE BANCORP INC | COM | 97186T108 | — | 3,242 shares | $30,000 |
| WISDOMTREE TR | MID EAST DIVD | 97717X305 | — | 1,223 shares | $30,000 |
| ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | PUT | 600 shares | $29,000 |
| ADVANCED MICRO DEVICES INC | NOTE 6.000% 5/0 | 007903AL1 | — | 28,000 principal | $29,000 |
| ALBANY INTL CORP | CL A | 012348108 | — | 861 shares | $29,000 |
| AMERICAS CAR MART INC | COM | 03062T105 | — | 745 shares | $29,000 |
| ANCHOR BANCORP WA | COM | 032838104 | — | 1,429 shares | $29,000 |
| BCB BANCORP INC | COM | 055298103 | — | 2,204 shares | $29,000 |
| BLUE HILLS BANCORP INC | COM | 095573101 | — | 2,224 shares | $29,000 |