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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) |
|---|---|---|---|---|---|
| PROSHARES TR | PSHS ULT MCP VAL | 74347R495 | — | 258 shares | $22,000 |
| PROSHARES TR II | PSHS ULSSLVR NEW | 74347W114 | CALL | 200 shares | $22,000 |
| PSIVIDA CORP | COM | 74440J101 | CALL | 5,000 shares | $22,000 |
| RHINO RESOURCE PARTNERS LP | COM UNIT REPST | 76218Y103 | — | 1,848 shares | $22,000 |
| RIGNET INC | COM | 766582100 | — | 542 shares | $22,000 |
| ROCKWELL MED INC | COM | 774374102 | PUT | 2,400 shares | $22,000 |
| RYDEX ETF TRUST | GUG S&P SC600 PG | 78355W809 | — | 295 shares | $22,000 |
| SANFILIPPO JOHN B & SON INC | COM | 800422107 | — | 675 shares | $22,000 |
| SAN JUAN BASIN RTY TR | UNIT BEN INT | 798241105 | — | 1,144 shares | $22,000 |
| SONIC CORP | COM | 835451105 | PUT | 1,000 shares | $22,000 |
| SOUTHERN CO | COM | 842587107 | — | 509 shares | $22,000 |
| STATOIL ASA | SPONSORED ADR | 85771P102 | CALL | 800 shares | $22,000 |
| STEIN MART INC | COM | 858375108 | — | 1,900 shares | $22,000 |
| STMICROELECTRONICS N V | NY REGISTRY | 861012102 | — | 2,901 shares | $22,000 |
| SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | PUT | 500 shares | $22,000 |
| SYNALLOY CP DEL | COM | 871565107 | — | 1,286 shares | $22,000 |
| TCW STRATEGIC INCOME FUND IN | COM | 872340104 | — | 3,921 shares | $22,000 |
| TELEFONICA BRASIL SA | SPONSORED ADR | 87936R106 | PUT | 1,100 shares | $22,000 |
| TEXAS ROADHOUSE INC | COM | 882681109 | CALL | 800 shares | $22,000 |
| TRANSCEPT PHARMACEUTICALS IN | COM | 89354M106 | — | 10,805 shares | $22,000 |
| TRAVELCENTERS OF AMERICA LLC | COM | 894174101 | — | 2,201 shares | $22,000 |
| U M H PROPERTIES INC | CV RED PFD-A | 903002202 | — | 826 shares | $22,000 |
| UNIFIRST CORP MASS | COM | 904708104 | — | 231 shares | $22,000 |
| UNITED STS GASOLINE FD LP | UNITS | 91201T102 | CALL | 400 shares | $22,000 |
| UNIVERSAL CORP VA | COM | 913456109 | CALL | 500 shares | $22,000 |
| VOXX INTL CORP | CL A | 91829F104 | PUT | 2,400 shares | $22,000 |
| WELLS FARGO ADVANTAGE INCOME | COM SHS | 94987B105 | — | 2,387 shares | $22,000 |
| WESTERN ASSET HGH YLD DFNDFD | COM | 95768B107 | — | 1,308 shares | $22,000 |
| WEST PHARMACEUTICAL SVSC INC | COM | 955306105 | CALL | 500 shares | $22,000 |
| WISDOMTREE TR | GLB NAT RES FD | 97717W711 | — | 1,097 shares | $22,000 |
| WVS FINL CORP | COM | 929358109 | — | 1,985 shares | $22,000 |
| XERIUM TECHNOLOGIES INC | COM NEW | 98416J118 | — | 1,524 shares | $22,000 |
| XOMA CORP DEL | COM | 98419J107 | PUT | 5,200 shares | $22,000 |
| ZOES KITCHEN INC | COM | 98979J109 | CALL | 700 shares | $22,000 |
| ABERDEEN AUSTRALIA EQTY FD I | COM | 003011103 | — | 2,692 shares | $21,000 |
| ADCARE HEALTH SYSTEMS INC | COM NEW | 00650W300 | — | 4,520 shares | $21,000 |
| AEGEAN MARINE PETROLEUM NETW | SHS | Y0017S102 | — | 2,277 shares | $21,000 |
| ALEXANDRIA REAL ESTATE EQ IN | COM | 015271109 | — | 278 shares | $21,000 |
| ALIMERA SCIENCES INC | COM | 016259103 | PUT | 3,900 shares | $21,000 |
| ARES CAP CORP | COM | 04010L103 | PUT | 1,300 shares | $21,000 |
| ARGAN INC | COM | 04010E109 | — | 640 shares | $21,000 |
| ATA INC | SPONS ADR | 00211V106 | — | 4,661 shares | $21,000 |
| BIND THERAPEUTICS INC | COM | 05548N107 | — | 2,500 shares | $21,000 |
| BLACKROCK MUNIVEST FD INC | COM | 09253R105 | — | 2,226 shares | $21,000 |
| BLUEBIRD BIO INC | COM | 09609G100 | — | 575 shares | $21,000 |
| BOISE CASCADE CO DEL | COM | 09739D100 | PUT | 700 shares | $21,000 |
| BOS BETTER ONLINE SOLUTIONS | SHS NEW NIS 80 | M20115180 | — | 4,857 shares | $21,000 |
| BROADSOFT INC | COM | 11133B409 | — | 989 shares | $21,000 |
| BROWN & BROWN INC | COM | 115236101 | — | 639 shares | $21,000 |
| CAPITAL SR LIVING CORP | COM | 140475104 | CALL | 1,000 shares | $21,000 |
| CAROLINA FINL CORP NEW | COM | 143873107 | — | 806 shares | $21,000 |
| CENTURY ALUM CO | COM | 156431108 | CALL | 800 shares | $21,000 |
| CHECK POINT SOFTWARE TECH LT | ORD | M22465104 | PUT | 300 shares | $21,000 |
| CHINA LIFE INS CO LTD | SPON ADR REP H | 16939P106 | PUT | 500 shares | $21,000 |
| CHINA PETE & CHEM CORP | SPON ADR H SHS | 16941R108 | — | 240 shares | $21,000 |
| COMMUNITY FINL CORP MD | COM | 20368X101 | — | 992 shares | $21,000 |
| COURIER CORP | COM | 222660102 | — | 1,693 shares | $21,000 |
| CYS INVTS INC | COM | 12673A108 | PUT | 2,500 shares | $21,000 |
| DEUTSCHE BK AG LONDON BRH | US INFLATN ETN | 25154W225 | — | 470 shares | $21,000 |
| DIREXION SHS ETF TR | DLY RUSSIA BUL | 25459Y645 | PUT | 1,800 shares | $21,000 |
| DIREXION SHS ETF TR | INDIA BULL 3X SH | 25459Y330 | — | 230 shares | $21,000 |
| DONEGAL GROUP INC | CL B | 257701300 | — | 908 shares | $21,000 |
| EMPIRE RES INC DEL | COM | 29206E100 | — | 4,030 shares | $21,000 |
| ENDURO RTY TR | TR UNIT | 29269K100 | — | 1,821 shares | $21,000 |
| FARMER BROS CO | COM | 307675108 | — | 716 shares | $21,000 |
| FARMERS CAP BK CORP | COM | 309562106 | — | 910 shares | $21,000 |
| FRESH DEL MONTE PRODUCE INC | ORD | G36738105 | — | 647 shares | $21,000 |
| GASTAR EXPL INC NEW | COM | 36729W202 | CALL | 3,600 shares | $21,000 |
| GERMAN AMERN BANCORP INC | COM | 373865104 | — | 805 shares | $21,000 |
| GLOBAL X FDS | GLBLX CEN ASIA | 37950E317 | — | 1,557 shares | $21,000 |
| GULF ISLAND FABRICATION INC | COM | 402307102 | — | 1,243 shares | $21,000 |
| HEIDRICK & STRUGGLES INTL IN | COM | 422819102 | — | 1,000 shares | $21,000 |
| HERCULES OFFSHORE INC | COM | 427093109 | CALL | 9,600 shares | $21,000 |
| HOME FED BANCORP INC LA NEW | COM | 43708L108 | — | 1,095 shares | $21,000 |
| INLAND REAL ESTATE CORP | COM NEW | 457461200 | — | 2,089 shares | $21,000 |
| INOVIO PHARMACEUTICALS INC | COM NEW | 45773H201 | CALL | 2,100 shares | $21,000 |
| INTERMOUNTAIN CMNTY BANCORP | COM NEW | 45881M308 | — | 1,110 shares | $21,000 |
| INTERNATIONAL BANCSHARES COR | COM | 459044103 | — | 851 shares | $21,000 |
| INVACARE CORP | COM | 461203101 | — | 1,798 shares | $21,000 |
| INVESTAR HLDG CORP | COM | 46134L105 | — | 1,564 shares | $21,000 |
| INVESTMENT TECHNOLOGY GRP NE | COM | 46145F105 | — | 1,345 shares | $21,000 |
| IRIDIUM COMMUNICATIONS INC | PERP PFD CNV B | 46269C409 | — | 63 shares | $21,000 |
| ISHARES | GL TIMB FORE ETF | 464288174 | — | 420 shares | $21,000 |
| ITAU UNIBANCO HLDG SA | SPON ADR REP PFD | 465562106 | PUT | 1,500 shares | $21,000 |
| KONAMI CORP | SPONSORED ADR | 50046R101 | — | 988 shares | $21,000 |
| MANNATECH INC | COM NEW | 563771203 | — | 1,350 shares | $21,000 |
| MARSH & MCLENNAN COS INC | COM | 571748102 | CALL | 400 shares | $21,000 |
| MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | — | 2,290 shares | $21,000 |
| MOLINA HEALTHCARE INC | COM | 60855R100 | PUT | 500 shares | $21,000 |
| MONARCH CASINO & RESORT INC | COM | 609027107 | — | 1,796 shares | $21,000 |
| MONSTER WORLDWIDE INC | COM | 611742107 | CALL | 3,800 shares | $21,000 |
| NEUBERGER BERMAN INTER MUNI | COM | 64124P101 | — | 1,392 shares | $21,000 |
| NEURALSTEM INC | COM | 64127R302 | — | 6,525 shares | $21,000 |
| NORTEL INVERSORA S A | SPON ADR PFD B | 656567401 | — | 943 shares | $21,000 |
| NUMEREX CORP PA | CL A | 67053A102 | — | 2,000 shares | $21,000 |
| PARAMOUNT GOLD & SILVER CORP | COM | 69924P102 | — | 23,628 shares | $21,000 |
| PARK STERLING CORP | COM | 70086Y105 | — | 3,219 shares | $21,000 |
| PARSLEY ENERGY INC | CL A | 701877102 | PUT | 1,000 shares | $21,000 |
| PEGASYSTEMS INC | COM | 705573103 | PUT | 1,100 shares | $21,000 |
| PENNS WOODS BANCORP INC | COM | 708430103 | — | 500 shares | $21,000 |