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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) |
|---|---|---|---|---|---|
| PHOTOMEDEX INC | COM PAR $0.01 | 719358301 | — | 3,418 shares | $21,000 |
| POPULAR INC | COM NEW | 733174700 | PUT | 700 shares | $21,000 |
| POWERSHARES ETF TR II | S&P500 LOW VOL | 73937B779 | PUT | 600 shares | $21,000 |
| PROPHASE LABS INC | COM | 74345W108 | — | 15,164 shares | $21,000 |
| PROSHARES TR | PSHS SHRT S&P500 | 74347R503 | PUT | 900 shares | $21,000 |
| PROSHARES TR | S&P 500 ARISTO | 74348A467 | — | 455 shares | $21,000 |
| PROSHARES TR | ULTRA HIGH YLD | 74348A707 | — | 371 shares | $21,000 |
| Q2 HLDGS INC | COM | 74736L109 | — | 1,484 shares | $21,000 |
| REX ENERGY CORPORATION | COM | 761565100 | — | 1,655 shares | $21,000 |
| ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | — | 2,438 shares | $21,000 |
| RPX CORP | COM | 74972G103 | CALL | 1,500 shares | $21,000 |
| RUTHS HOSPITALITY GROUP INC | COM | 783332109 | — | 1,917 shares | $21,000 |
| SABRE CORP | COM | 78573M104 | — | 1,171 shares | $21,000 |
| SANDRIDGE MISSISSIPPIAN TR I | SH BEN INT | 80007V106 | — | 3,300 shares | $21,000 |
| SENECA FOODS CORP NEW | CL B | 817070105 | — | 681 shares | $21,000 |
| SUPERIOR INDS INTL INC | COM | 868168105 | PUT | 1,200 shares | $21,000 |
| TALMER BANCORP INC | COM | 87482X101 | — | 1,500 shares | $21,000 |
| THRESHOLD PHARMACEUTICAL INC | COM NEW | 885807206 | — | 5,864 shares | $21,000 |
| U M H PROPERTIES INC | CV RED PFD-A | 903002202 | — | 800 shares | $21,000 |
| UNILEVER PLC | SPON ADR NEW | 904767704 | PUT | 500 shares | $21,000 |
| UNILIFE CORP NEW | COM | 90478E103 | — | 9,115 shares | $21,000 |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | — | 2,000 shares | $21,000 |
| VIRTUS TOTAL RETURN FD | COM | 92829A103 | — | 4,622 shares | $21,000 |
| WSFS FINL CORP | COM | 929328102 | — | 300 shares | $21,000 |
| YUMA ENERGY INC | COM | 98872E108 | — | 4,976 shares | $21,000 |
| ZEBRA TECHNOLOGIES CORP | CL A | 989207105 | CALL | 300 shares | $21,000 |
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | CALL | 1,500 shares | $20,000 |
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | PUT | 1,500 shares | $20,000 |
| AQUINOX PHARMACEUTICALS INC | COM | 03842B101 | — | 2,933 shares | $20,000 |
| ARBOR RLTY TR INC | COM | 038923108 | — | 2,966 shares | $20,000 |
| ARCTIC CAT INC | COM | 039670104 | — | 582 shares | $20,000 |
| ARLINGTON ASSET INVT CORP | CL A NEW | 041356205 | PUT | 800 shares | $20,000 |
| ARMADA HOFFLER PPTYS INC | COM | 04208T108 | PUT | 2,200 shares | $20,000 |
| ARTS WAY MFG INC | COM | 043168103 | — | 3,963 shares | $20,000 |
| ASCENA RETAIL GROUP INC | COM | 04351G101 | — | 1,477 shares | $20,000 |
| BANCO BRADESCO S A | SP ADR PFD NEW | 059460303 | — | 1,418 shares | $20,000 |
| BANCO SANTANDER BRASIL S A | ADS REP 1 UNIT | 05967A107 | — | 3,069 shares | $20,000 |
| BANCO SANTANDER BRASIL S A | ADS REP 1 UNIT | 05967A107 | — | 3,085 shares | $20,000 |
| BARCLAYS BK PLC | IPT COFFEE ETN | 06740P148 | — | 844 shares | $20,000 |
| BEAZER HOMES USA INC | COM NEW | 07556Q881 | PUT | 1,200 shares | $20,000 |
| CABOT CORP | COM | 127055101 | CALL | 400 shares | $20,000 |
| CANTEL MEDICAL CORP | COM | 138098108 | — | 592 shares | $20,000 |
| CAVCO INDS INC DEL | COM | 149568107 | — | 288 shares | $20,000 |
| CBL & ASSOC PPTYS INC | COM | 124830100 | CALL | 1,100 shares | $20,000 |
| CHARTER FINL CORP MD | COM | 16122W108 | — | 1,900 shares | $20,000 |
| CHINA FIN ONLINE CO LTD | SPONSORED ADR | 169379104 | CALL | 2,900 shares | $20,000 |
| COEUR MNG INC | NOTE 3.250% 3/1 | 192108AR9 | — | 20,000 principal | $20,000 |
| COGNEX CORP | COM | 192422103 | PUT | 500 shares | $20,000 |
| COMERICA INC | COM | 200340107 | CALL | 400 shares | $20,000 |
| CYTOKINETICS INC | COM NEW | 23282W605 | — | 5,595 shares | $20,000 |
| DEMANDWARE INC | COM | 24802Y105 | PUT | 400 shares | $20,000 |
| D R HORTON INC | COM | 23331A109 | — | 955 shares | $20,000 |
| EAGLE MATERIALS INC | COM | 26969P108 | CALL | 200 shares | $20,000 |
| ENBRIDGE INC | COM | 29250N105 | — | 410 shares | $20,000 |
| ENERNOC INC | COM | 292764107 | CALL | 1,200 shares | $20,000 |
| ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | — | 5,155 shares | $20,000 |
| FIRST FINL BANKSHARES | COM | 32020R109 | — | 721 shares | $20,000 |
| FIRST W VA BANCORP INC | COM | 337493100 | — | 1,075 shares | $20,000 |
| FLEXION THERAPEUTICS INC | COM | 33938J106 | — | 1,122 shares | $20,000 |
| FORMFACTOR INC | COM | 346375108 | — | 2,850 shares | $20,000 |
| GRAND CANYON ED INC | COM | 38526M106 | CALL | 500 shares | $20,000 |
| GREEN PLAINS INC | COM | 393222104 | — | 530 shares | $20,000 |
| HARTE-HANKS INC | COM | 416196103 | — | 3,147 shares | $20,000 |
| HCP INC | COM | 40414L109 | PUT | 500 shares | $20,000 |
| HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | — | 1,867 shares | $20,000 |
| INDEPENDENCE RLTY TR INC | COM | 45378A106 | — | 2,111 shares | $20,000 |
| INNOVATIVE SOLUTIONS & SUPPO | COM | 45769N105 | — | 3,800 shares | $20,000 |
| INSMED INC | COM PAR $.01 | 457669307 | CALL | 1,500 shares | $20,000 |
| INTERDIGITAL INC | COM | 45867G101 | PUT | 500 shares | $20,000 |
| INTERNAP NETWORK SVCS CORP | COM PAR $.001 | 45885A300 | — | 2,831 shares | $20,000 |
| ISHARES TR | CORE S&P500 ETF | 464287200 | CALL | 100 shares | $20,000 |
| JACKSONVILLE BANCORP INC MD | COM | 46924R106 | — | 900 shares | $20,000 |
| JUST ENERGY GROUP INC | COM | 48213W101 | — | 4,310 shares | $20,000 |
| KINDRED HEALTHCARE INC | COM | 494580103 | — | 1,015 shares | $20,000 |
| KRANESHARES TR | CSI NW CHINA ETF | 500767207 | — | 302 shares | $20,000 |
| LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | — | 2,100 shares | $20,000 |
| LEMAITRE VASCULAR INC | COM | 525558201 | — | 2,881 shares | $20,000 |
| LIFEWAY FOODS INC | COM | 531914109 | — | 1,468 shares | $20,000 |
| LIMONEIRA CO | COM | 532746104 | — | 862 shares | $20,000 |
| LSB FINL CORP | COM | 501925101 | — | 507 shares | $20,000 |
| MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | — | 2,173 shares | $20,000 |
| MORGAN STANLEY | LNG EURO ETN20 | 617480272 | — | 811 shares | $20,000 |
| NEW GERMANY FD INC | COM | 644465106 | — | 1,220 shares | $20,000 |
| NEWSTAR FINANCIAL INC | COM | 65251F105 | — | 1,752 shares | $20,000 |
| NUVEEN PERFORMANCE PLUS MUN | COM | 67062P108 | — | 1,391 shares | $20,000 |
| OILTANKING PARTNERS L P | UNIT LTD | 678049107 | PUT | 400 shares | $20,000 |
| ORBITZ WORLDWIDE INC | COM | 68557K109 | — | 2,564 shares | $20,000 |
| ORITANI FINL CORP DEL | COM | 68633D103 | — | 1,422 shares | $20,000 |
| OXFORD IMMUNOTEC GLOBAL PLC | ORD SHS | G6855A103 | — | 1,311 shares | $20,000 |
| PIONEER HIGH INCOME TR | COM | 72369H106 | — | 1,159 shares | $20,000 |
| POST HLDGS INC | COM | 737446104 | CALL | 600 shares | $20,000 |
| POWERSHARES ETF TRUST | CON STAPLE SEC | 73935X393 | — | 428 shares | $20,000 |
| PROOFPOINT INC | COM | 743424103 | — | 528 shares | $20,000 |
| PROSHARES TR | ULTRASHRT TIPS | 74347X336 | — | 726 shares | $20,000 |
| PROSHARES TR II | ULTRASHRT NEW | 74347W395 | CALL | 200 shares | $20,000 |
| RADNET INC | COM | 750491102 | — | 3,000 shares | $20,000 |
| RAPTOR PHARMACEUTICAL CORP | COM | 75382F106 | CALL | 2,100 shares | $20,000 |
| SINO MERCURY ACQUISITION COR | UNIT 99/99/9999 | 82936K201 | — | 1,965 shares | $20,000 |
| SMART TECHNOLOGIES INC | COM SHS | 83172R108 | — | 12,000 shares | $20,000 |
| SPDR INDEX SHS FDS | LATIN AMER ETF | 78463X707 | — | 330 shares | $20,000 |