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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) |
|---|---|---|---|---|---|
| BOK FINL CORP | COM NEW | 05561Q201 | — | 430 shares | $29,000 |
| BOX SHIPS INCORPORATED | SHS | Y09675102 | — | 24,090 shares | $29,000 |
| CHEGG INC | COM | 163092109 | PUT | 4,600 shares | $29,000 |
| CITY OFFICE REIT INC | COM | 178587101 | — | 2,109 shares | $29,000 |
| COHEN & STEERS INC | COM | 19247A100 | — | 758 shares | $29,000 |
| COMMUNITY BK SHS IND INC | COM | 203599105 | — | 1,108 shares | $29,000 |
| CON-WAY INC | COM | 205944101 | — | 616 shares | $29,000 |
| COSI INC | COM NEW | 22122P200 | — | 12,965 shares | $29,000 |
| CRAY INC | COM NEW | 225223304 | CALL | 1,100 shares | $29,000 |
| CURIS INC | COM | 231269101 | — | 20,724 shares | $29,000 |
| DB-X EXCHANGE-TRADED FDS INC | XTRAK 2040TGT DT | 233052406 | — | 991 shares | $29,000 |
| DENALI FD INC | COM | 24823A102 | — | 1,321 shares | $29,000 |
| DEXCOM INC | COM | 252131107 | — | 732 shares | $29,000 |
| DIREXION SHS ETF TR | 7 10YR TRES BEAR | 25459W557 | — | 1,393 shares | $29,000 |
| DNB FINL CORP | COM | 233237106 | — | 1,331 shares | $29,000 |
| ELLINGTON FINANCIAL LLC | COM | 288522303 | PUT | 1,300 shares | $29,000 |
| EMPIRE RESORTS INC | COM NEW | 292052206 | — | 4,299 shares | $29,000 |
| FACTSET RESH SYS INC | COM | 303075105 | — | 238 shares | $29,000 |
| FAIR ISAAC CORP | COM | 303250104 | — | 525 shares | $29,000 |
| FIRST BUS FINL SVCS INC WIS | COM | 319390100 | — | 652 shares | $29,000 |
| FIRST TR EXCNGE TRD ALPHADEX | MEGA CAP ALPHA | 33737M508 | — | 1,102 shares | $29,000 |
| HARDINGE INC | COM | 412324303 | — | 2,627 shares | $29,000 |
| HHGREGG INC | COM | 42833L108 | PUT | 4,600 shares | $29,000 |
| HOME PROPERTIES INC | COM | 437306103 | CALL | 500 shares | $29,000 |
| JOHNSON CTLS INC | COM | 478366107 | — | 660 shares | $29,000 |
| KEWAUNEE SCIENTIFIC CORP | COM | 492854104 | — | 1,627 shares | $29,000 |
| KNOLL INC | COM NEW | 498904200 | — | 1,697 shares | $29,000 |
| MANDALAY DIGITAL GROUP INC | COM NEW | 562562207 | — | 6,262 shares | $29,000 |
| MESA LABS INC | COM | 59064R109 | — | 500 shares | $29,000 |
| MFS SPL VALUE TR | SH BEN INT | 55274E102 | — | 3,764 shares | $29,000 |
| NEPTUNE TECHNOLOGIES BIORESO | COM | 64077P108 | — | 14,946 shares | $29,000 |
| NOVACOPPER INC | COM | 66988K102 | — | 30,750 shares | $29,000 |
| PEAPACK-GLADSTONE FINL CORP | COM | 704699107 | — | 1,658 shares | $29,000 |
| PINNACLE FOODS INC DEL | COM | 72348P104 | CALL | 900 shares | $29,000 |
| POWERSECURE INTL INC | COM | 73936N105 | — | 3,040 shares | $29,000 |
| PROSHARES TR | ULTRAPRO SHORT S | 74348A442 | — | 640 shares | $29,000 |
| PROSHARES TR II | ULTRA SILVER NEW | 74347W353 | — | 626 shares | $29,000 |
| RADCOM LTD | SHS NEW | M81865111 | — | 4,887 shares | $29,000 |
| REGIS CORP MINN | COM | 758932107 | — | 1,811 shares | $29,000 |
| RENEWABLE ENERGY GROUP INC | COM NEW | 75972A301 | CALL | 2,900 shares | $29,000 |
| RICHARDSON ELECTRS LTD | COM | 763165107 | — | 2,951 shares | $29,000 |
| SOUFUN HLDGS LTD | ADR | 836034108 | PUT | 2,900 shares | $29,000 |
| SPDR SERIES TRUST | BRC CNV SECS ETF | 78464A359 | — | 588 shares | $29,000 |
| STEMLINE THERAPEUTICS INC | COM | 85858C107 | — | 2,350 shares | $29,000 |
| SURMODICS INC | COM | 868873100 | — | 1,589 shares | $29,000 |
| VANGUARD WORLD FD | EXTENDED DUR | 921910709 | — | 269 shares | $29,000 |
| VERA BRADLEY INC | COM | 92335C106 | — | 1,400 shares | $29,000 |
| VISHAY INTERTECHNOLOGY INC | COM | 928298108 | — | 2,000 shares | $29,000 |
| WORLD ENERGY SOLUTIONS INC D | COM NEW | 98145W208 | — | 6,000 shares | $29,000 |
| ACETO CORP | COM | 004446100 | — | 1,456 shares | $28,000 |
| ALCATEL-LUCENT | SPONSORED ADR | 013904305 | — | 9,151 shares | $28,000 |
| ALCOBRA LTD | SHS | M2239P109 | PUT | 1,800 shares | $28,000 |
| ALLIED NEVADA GOLD CORP | COM | 019344100 | PUT | 8,400 shares | $28,000 |
| AMGEN INC | COM | 031162100 | PUT | 200 shares | $28,000 |
| ANGIES LIST INC | COM | 034754101 | CALL | 4,400 shares | $28,000 |
| APOLLO ED GROUP INC | CL A | 037604105 | PUT | 1,100 shares | $28,000 |
| ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | — | 1,623 shares | $28,000 |
| ARMADA HOFFLER PPTYS INC | COM | 04208T108 | — | 3,065 shares | $28,000 |
| ARROW ELECTRS INC | COM | 042735100 | CALL | 500 shares | $28,000 |
| ARROW ELECTRS INC | COM | 042735100 | PUT | 500 shares | $28,000 |
| AVG TECHNOLOGIES N V | SHS | N07831105 | CALL | 1,700 shares | $28,000 |
| AVX CORP NEW | COM | 002444107 | — | 2,090 shares | $28,000 |
| BOTTOMLINE TECH DEL INC | COM | 101388106 | — | 1,027 shares | $28,000 |
| BROOKS AUTOMATION INC | COM | 114340102 | CALL | 2,700 shares | $28,000 |
| CARMAX INC | COM | 143130102 | CALL | 600 shares | $28,000 |
| CELGENE CORP | COM | 151020104 | PUT | 300 shares | $28,000 |
| CHATHAM LODGING TR | COM | 16208T102 | — | 1,200 shares | $28,000 |
| CHERRY HILL MTG INVT CORP | COM | 164651101 | — | 1,512 shares | $28,000 |
| CUSTOMERS BANCORP INC | COM | 23204G100 | — | 1,559 shares | $28,000 |
| DEALERTRACK TECHNOLOGIES INC | COM | 242309102 | — | 644 shares | $28,000 |
| DIREXION SHS ETF TR | DL FTSE BLL 3X | 25459W771 | — | 1,006 shares | $28,000 |
| ERIE INDTY CO | CL A | 29530P102 | — | 363 shares | $28,000 |
| EXELIXIS INC | COM | 30161Q104 | PUT | 18,100 shares | $28,000 |
| FEDFIRST FINL CORP NEW | COM | 31429C101 | — | 1,288 shares | $28,000 |
| FINISAR CORP | COM NEW | 31787A507 | PUT | 1,700 shares | $28,000 |
| FLEETCOR TECHNOLOGIES INC | COM | 339041105 | PUT | 200 shares | $28,000 |
| FOOT LOCKER INC | COM | 344849104 | CALL | 500 shares | $28,000 |
| FORTEGRA FINL CORP | COM | 34954W104 | — | 2,827 shares | $28,000 |
| FORTRESS INVESTMENT GROUP LL | CL A | 34958B106 | PUT | 4,000 shares | $28,000 |
| GLOBAL X FDS | GBLX GLDEXPL NEW | 37950E283 | — | 2,238 shares | $28,000 |
| GLOBAL X FDS | GLBX MSCI NORW | 37950E747 | — | 1,716 shares | $28,000 |
| GLOBAL X FDS | GLB X PERMETF | 37950E358 | — | 1,176 shares | $28,000 |
| GOPRO INC | CL A | 38268T103 | PUT | 300 shares | $28,000 |
| GREIF INC | CL A | 397624107 | — | 637 shares | $28,000 |
| GRUPO FINANCIERO GALICIA S A | SP ADR 10 SH B | 399909100 | — | 1,964 shares | $28,000 |
| HOMEAWAY INC | COM | 43739Q100 | PUT | 800 shares | $28,000 |
| IMPRIVATA INC | COM | 45323J103 | — | 1,820 shares | $28,000 |
| INGERSOLL-RAND PLC | SHS | G47791101 | CALL | 500 shares | $28,000 |
| IPC THE HOSPITALIST CO INC | COM | 44984A105 | — | 635 shares | $28,000 |
| ISHARES | IBOXX HI YD ETF | 464288513 | CALL | 300 shares | $28,000 |
| ISHARES | IND RL ES CP ETF | 464288554 | — | 893 shares | $28,000 |
| ISHARES TR | LATN AMER 40 ETF | 464287390 | — | 770 shares | $28,000 |
| ISTAR FINL INC | COM | 45031U101 | CALL | 2,100 shares | $28,000 |
| JOY GLOBAL INC | COM | 481165108 | — | 505 shares | $28,000 |
| KEY TECHNOLOGY INC | COM | 493143101 | — | 2,125 shares | $28,000 |
| LDR HLDG CORP | COM | 50185U105 | — | 889 shares | $28,000 |
| LIGAND PHARMACEUTICALS INC | COM NEW | 53220K504 | CALL | 600 shares | $28,000 |
| MAIN STREET CAPITAL CORP | COM | 56035L104 | CALL | 900 shares | $28,000 |
| MANPOWERGROUP INC | COM | 56418H100 | CALL | 400 shares | $28,000 |
| MARKET VECTORS ETF TR | CHINAAMC A S ETF | 57060U597 | — | 856 shares | $28,000 |