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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) |
|---|---|---|---|---|---|
| RESOURCE CAP CORP | COM | 76120W302 | — | 5,503 shares | $27,000 |
| SASOL LTD | SPONSORED ADR | 803866300 | PUT | 500 shares | $27,000 |
| SEABRIDGE GOLD INC | COM | 811916105 | PUT | 3,400 shares | $27,000 |
| SEACOAST BKG CORP FLA | COM NEW | 811707801 | — | 2,463 shares | $27,000 |
| SENECA FOODS CORP NEW | CL A | 817070501 | — | 938 shares | $27,000 |
| SPECTRA ENERGY PARTNERS LP | COM | 84756N109 | CALL | 500 shares | $27,000 |
| STARRETT L S CO | CL A | 855668109 | — | 1,944 shares | $27,000 |
| TC PIPELINES LP | UT COM LTD PRT | 87233Q108 | CALL | 400 shares | $27,000 |
| TESSERA TECHNOLOGIES INC | COM | 88164L100 | — | 998 shares | $27,000 |
| TRANSPORTADORA DE GAS SUR | SPON ADR B | 893870204 | — | 8,000 shares | $27,000 |
| UBS AG JERSEY BRH | ALERIAN INFRST | 902641646 | — | 600 shares | $27,000 |
| WEYERHAEUSER CO | PREF CONV SER A | 962166872 | — | 500 shares | $27,000 |
| ZWEIG FD | COM NEW | 989834205 | — | 1,786 shares | $27,000 |
| ADVANCE AUTO PARTS INC | COM | 00751Y106 | CALL | 200 shares | $26,000 |
| ALEXANDRIA REAL ESTATE EQ IN | COM | 015271109 | — | 350 shares | $26,000 |
| ALLEGHENY TECHNOLOGIES INC | COM | 01741R102 | — | 700 shares | $26,000 |
| ALLIANCE FIBER OPTIC PRODS I | COM NEW | 018680306 | CALL | 2,100 shares | $26,000 |
| AMERIS BANCORP | COM | 03076K108 | — | 1,178 shares | $26,000 |
| ARRAY BIOPHARMA INC | COM | 04269X105 | CALL | 7,300 shares | $26,000 |
| ARTISAN PARTNERS ASSET MGMT | CL A | 04316A108 | CALL | 500 shares | $26,000 |
| BALTIC TRADING LIMITED | COM | Y0553W103 | CALL | 6,300 shares | $26,000 |
| BARCLAYS BK PLC | BARC ETN EUR50 | 06742C129 | — | 218 shares | $26,000 |
| BLACKROCK FLA MUN 2020 TERM | COM SHS | 09250M109 | — | 1,703 shares | $26,000 |
| BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | — | 1,850 shares | $26,000 |
| BON-TON STORES INC | COM | 09776J101 | — | 3,050 shares | $26,000 |
| CARDIOVASCULAR SYS INC DEL | COM | 141619106 | CALL | 1,100 shares | $26,000 |
| CHEMICAL FINL CORP | COM | 163731102 | — | 962 shares | $26,000 |
| CITIZENS & NORTHN CORP | COM | 172922106 | — | 1,354 shares | $26,000 |
| CLEARFIELD INC | COM | 18482P103 | — | 2,080 shares | $26,000 |
| COMMSCOPE HLDG CO INC | COM | 20337X109 | CALL | 1,100 shares | $26,000 |
| COMMSCOPE HLDG CO INC | COM | 20337X109 | PUT | 1,100 shares | $26,000 |
| CONSTELLATION ENERGY PRTNR L | COM UNIT LLC B | 21038E101 | — | 7,346 shares | $26,000 |
| CVR PARTNERS LP | COM | 126633106 | CALL | 1,900 shares | $26,000 |
| DAKOTA PLAINS HLDGS INC | COM | 234255107 | — | 11,000 shares | $26,000 |
| D R HORTON INC | COM | 23331A109 | — | 1,250 shares | $26,000 |
| DTF TAX-FREE INCOME INC | COM | 23334J107 | — | 1,748 shares | $26,000 |
| ENZO BIOCHEM INC | COM | 294100102 | CALL | 5,000 shares | $26,000 |
| FIRST FED NORTHN MICH BANCOR | COM | 32021X105 | — | 4,902 shares | $26,000 |
| FIRST TR EXCH TRD ALPHA FD I | BRAZIL ALPHA | 33737J133 | — | 1,461 shares | $26,000 |
| FORBES ENERGY SVCS LTD | COM | 345143101 | — | 6,405 shares | $26,000 |
| FREESCALE SEMICONDUCTOR LTD | SHS | G3727Q101 | — | 1,312 shares | $26,000 |
| GOLD FIELDS LTD NEW | SPONSORED ADR | 38059T106 | CALL | 6,700 shares | $26,000 |
| GRANITE CONSTR INC | COM | 387328107 | — | 822 shares | $26,000 |
| GUGGENHEIM EQ WEIGHT ENHANC | COM SH BEN INT | 40167M106 | — | 1,306 shares | $26,000 |
| HIBBETT SPORTS INC | COM | 428567101 | CALL | 600 shares | $26,000 |
| IMPERIAL HLDGS INC | COM | 452834104 | — | 4,000 shares | $26,000 |
| INGLES MKTS INC | CL A | 457030104 | CALL | 1,100 shares | $26,000 |
| INGRAM MICRO INC | CL A | 457153104 | PUT | 1,000 shares | $26,000 |
| ISHARES | GL NUCLE ENE ETF | 464288232 | — | 717 shares | $26,000 |
| ISHARES | MSCI FAREAST ETF | 464289214 | — | 912 shares | $26,000 |
| ISHARES | SHRT TRS BD ETF | 464288679 | — | 233 shares | $26,000 |
| ISHARES TR | INTL PFD STK ETF | 46429B135 | — | 1,078 shares | $26,000 |
| LEVY ACQUISITION CORP | UNIT 99/99/9999 | 52748T203 | — | 2,600 shares | $26,000 |
| MEASUREMENT SPECIALTIES INC | COM | 583421102 | CALL | 300 shares | $26,000 |
| METRO BANCORP INC PA | COM | 59161R101 | — | 1,070 shares | $26,000 |
| METTLER TOLEDO INTERNATIONAL | COM | 592688105 | CALL | 100 shares | $26,000 |
| METTLER TOLEDO INTERNATIONAL | COM | 592688105 | PUT | 100 shares | $26,000 |
| NORTEK INC | COM NEW | 656559309 | — | 347 shares | $26,000 |
| NORTHROP GRUMMAN CORP | COM | 666807102 | PUT | 200 shares | $26,000 |
| OGE ENERGY CORP | COM | 670837103 | CALL | 700 shares | $26,000 |
| ONE LIBERTY PPTYS INC | COM | 682406103 | PUT | 1,300 shares | $26,000 |
| ORAMED PHARM INC | COM NEW | 68403P203 | — | 3,145 shares | $26,000 |
| PACIFIC ETHANOL INC | COM PAR $.001 | 69423U305 | — | 1,868 shares | $26,000 |
| PARKE BANCORP INC | COM | 700885106 | — | 2,439 shares | $26,000 |
| POWERSHARES ETF TR II | S&P SMCP IND P | 73937B878 | — | 632 shares | $26,000 |
| PRICESMART INC | COM | 741511109 | PUT | 300 shares | $26,000 |
| PROSPECT CAPITAL CORPORATION | NOTE 5.500% 8/1 | 74348TAD4 | — | 25,000 principal | $26,000 |
| PRUDENTIAL PLC | ADR | 74435K204 | — | 595 shares | $26,000 |
| REALNETWORKS INC | COM NEW | 75605L708 | — | 3,728 shares | $26,000 |
| RENAISSANCERE HOLDINGS LTD | COM | G7496G103 | — | 255 shares | $26,000 |
| ROADRUNNER TRNSN SVCS HLDG I | COM | 76973Q105 | — | 1,141 shares | $26,000 |
| ROLLINS INC | COM | 775711104 | — | 894 shares | $26,000 |
| RYDER SYS INC | COM | 783549108 | — | 285 shares | $26,000 |
| SILVER STD RES INC | COM | 82823L106 | — | 4,337 shares | $26,000 |
| SINOVAC BIOTECH LTD | SHS | P8696W104 | — | 5,389 shares | $26,000 |
| SMART & FINAL STORES INC | COM | 83190B101 | — | 1,796 shares | $26,000 |
| SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | — | 150 shares | $26,000 |
| STATE INVS BANCORP INC | COM | 857030100 | — | 1,644 shares | $26,000 |
| SYSTEMAX INC | COM | 871851101 | — | 2,065 shares | $26,000 |
| TAMINCO CORP | COM | 87509U106 | — | 1,006 shares | $26,000 |
| TELECOM ITALIA S P A NEW | SPON ADR ORD | 87927Y102 | CALL | 2,300 shares | $26,000 |
| TESSCO TECHNOLOGIES INC | COM | 872386107 | — | 889 shares | $26,000 |
| TEUCRIUM COMMODITY TR | NATURAL GAS FD | 88166A201 | — | 2,206 shares | $26,000 |
| THERAVANCE INC | COM | 88338T104 | — | 1,526 shares | $26,000 |
| THORATEC CORP | COM NEW | 885175307 | — | 985 shares | $26,000 |
| TITAN MACHY INC | COM | 88830R101 | PUT | 2,000 shares | $26,000 |
| TOMPKINS FINANCIAL CORPORATI | COM | 890110109 | — | 580 shares | $26,000 |
| TRANSOCEAN LTD | REG SHS | H8817H100 | — | 820 shares | $26,000 |
| TUTOR PERINI CORP | COM | 901109108 | CALL | 1,000 shares | $26,000 |
| VANGUARD SCOTTSDALE FDS | VNG RUS3000IDX | 92206C599 | — | 292 shares | $26,000 |
| WASHINGTONFIRST BANKSHARES I | COM | 940730104 | — | 1,721 shares | $26,000 |
| WINDSTREAM HLDGS INC | COM | 97382A101 | CALL | 2,400 shares | $26,000 |
| XINYUAN REAL ESTATE CO LTD | SPONS ADR | 98417P105 | CALL | 9,000 shares | $26,000 |
| BANK OF MARIN BANCORP | COM | 063425102 | — | 542 shares | $25,000 |
| BELLATRIX EXPLORATION LTD | COM | 078314101 | — | 4,000 shares | $25,000 |
| BLACKROCK MASS TAX-EXEMPT TR | SH BEN INT | 09258E109 | — | 1,800 shares | $25,000 |
| BLACKROCK MUNIHLDNGS QLTY II | COM | 09254C107 | — | 1,870 shares | $25,000 |
| BLACKROCK MUNI INCOME INV QL | COM | 09250G102 | — | 1,780 shares | $25,000 |
| BRIGHTCOVE INC | COM | 10921T101 | — | 4,500 shares | $25,000 |
| CAREDX INC | COM | 14167L103 | — | 3,528 shares | $25,000 |