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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) |
|---|---|---|---|---|---|
| STANLEY BLACK & DECKER INC | UNIT 99/99/9999 | 854502309 | — | 149 shares | $20,000 |
| STARWOOD PPTY TR INC | COM | 85571B105 | CALL | 900 shares | $20,000 |
| STARZ | COM SER A | 85571Q102 | CALL | 600 shares | $20,000 |
| STRATEGIC HOTELS & RESORTS I | COM | 86272T106 | — | 1,729 shares | $20,000 |
| SUNCOKE ENERGY INC | COM | 86722A103 | — | 893 shares | $20,000 |
| SUPERIOR ENERGY SVCS INC | COM | 868157108 | CALL | 600 shares | $20,000 |
| SURMODICS INC | COM | 868873100 | — | 1,090 shares | $20,000 |
| TANGOE INC | COM | 87582Y108 | PUT | 1,500 shares | $20,000 |
| TANZANIAN ROYALTY EXPL CORP | COM | 87600U104 | — | 9,478 shares | $20,000 |
| TEAM INC | COM | 878155100 | — | 526 shares | $20,000 |
| TELEFONICA BRASIL SA | SPONSORED ADR | 87936R106 | — | 992 shares | $20,000 |
| TRIANGLE CAP CORP | COM | 895848109 | PUT | 800 shares | $20,000 |
| UNILEVER N V | N Y SHS NEW | 904784709 | PUT | 500 shares | $20,000 |
| U S GLOBAL INVS INC | CL A | 902952100 | — | 5,756 shares | $20,000 |
| UTSTARCOM HOLDINGS CORP | SHS NEW | G9310A114 | — | 6,714 shares | $20,000 |
| VALE S A | ADR REPSTG PFD | 91912E204 | — | 2,102 shares | $20,000 |
| VISIONCHINA MEDIA INC | SPON ADR NEW | 92833U202 | — | 1,790 shares | $20,000 |
| WEB COM GROUP INC | COM | 94733A104 | PUT | 1,000 shares | $20,000 |
| WESTWOOD HLDGS GROUP INC | COM | 961765104 | — | 350 shares | $20,000 |
| ACETO CORP | COM | 004446100 | CALL | 1,000 shares | $19,000 |
| ACI WORLDWIDE INC | COM | 004498101 | PUT | 1,000 shares | $19,000 |
| APCO OIL & GAS INTERNATIONAL | SHS | G0471F109 | — | 1,500 shares | $19,000 |
| APOLLO SR FLOATING RATE FD I | COM | 037636107 | — | 1,083 shares | $19,000 |
| AQUA AMERICA INC | COM | 03836W103 | CALL | 800 shares | $19,000 |
| BALDWIN & LYONS INC | CL B | 057755209 | — | 760 shares | $19,000 |
| BENEFICIAL MUTUAL BANCORP IN | COM | 08173R104 | — | 1,469 shares | $19,000 |
| BIG 5 SPORTING GOODS CORP | COM | 08915P101 | — | 2,000 shares | $19,000 |
| BIOANALYTICAL SYS INC | COM | 09058M103 | — | 8,438 shares | $19,000 |
| BJS RESTAURANTS INC | COM | 09180C106 | — | 539 shares | $19,000 |
| BOB EVANS FARMS INC | COM | 096761101 | — | 394 shares | $19,000 |
| CARA THERAPEUTICS INC | COM | 140755109 | — | 2,266 shares | $19,000 |
| CARNIVAL PLC | ADR | 14365C103 | — | 474 shares | $19,000 |
| CENTRAL PAC FINL CORP | COM NEW | 154760409 | — | 1,079 shares | $19,000 |
| CGG | SPONSORED ADR | 12531Q105 | — | 2,083 shares | $19,000 |
| COMERICA INC | *W EXP 11/14/201 | 200340115 | — | 912 shares | $19,000 |
| COMPANHIA PARANAENSE ENERG C | SPON ADR PFD | 20441B407 | — | 1,368 shares | $19,000 |
| COSTCO WHSL CORP NEW | COM | 22160K105 | — | 155 shares | $19,000 |
| DIREXION SHS ETF TR | 7-10YR TR BEAR | 25459Y108 | — | 585 shares | $19,000 |
| DIREXION SHS ETF TR | DLY ENRGY BULL3X | 25459W888 | PUT | 200 shares | $19,000 |
| DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | CALL | 500 shares | $19,000 |
| DURATA THERAPEUTICS INC | COM | 26658A107 | — | 1,465 shares | $19,000 |
| EGA EMERGING GLOBAL SHS TR | LOW VOL EM DIV | 268461654 | — | 1,171 shares | $19,000 |
| ELONG INC | SPONSORED ADR | 290138205 | — | 928 shares | $19,000 |
| ENPHASE ENERGY INC | COM | 29355A107 | — | 1,244 shares | $19,000 |
| ENTERPRISE BANCORP INC MASS | COM | 293668109 | — | 987 shares | $19,000 |
| EVERTEC INC | COM | 30040P103 | — | 870 shares | $19,000 |
| FBL FINL GROUP INC | CL A | 30239F106 | — | 435 shares | $19,000 |
| FEMALE HEALTH CO | COM | 314462102 | — | 5,451 shares | $19,000 |
| FIRST BANK WILLIAMSTOWN NJ | COM | 31931U102 | — | 3,122 shares | $19,000 |
| FIRST CONN BANCORP INC MD | COM | 319850103 | — | 1,305 shares | $19,000 |
| FISERV INC | COM | 337738108 | CALL | 300 shares | $19,000 |
| FREQUENCY ELECTRS INC | COM | 358010106 | — | 1,789 shares | $19,000 |
| GENESEE & WYO INC | CL A | 371559105 | CALL | 200 shares | $19,000 |
| GENTIVA HEALTH SERVICES INC | COM | 37247A102 | — | 1,132 shares | $19,000 |
| GEOPARK LTD | USD SHS | G38327105 | — | 1,976 shares | $19,000 |
| GETTY RLTY CORP NEW | COM | 374297109 | — | 1,095 shares | $19,000 |
| GLOBAL X FDS | BRAZIL MID CAP | 37950E788 | — | 1,589 shares | $19,000 |
| GOLDMAN SACHS MLP ENERGY REN | COM | 38148G107 | — | 930 shares | $19,000 |
| HERCULES OFFSHORE INC | COM | 427093109 | — | 8,600 shares | $19,000 |
| HHGREGG INC | COM | 42833L108 | — | 2,957 shares | $19,000 |
| HIGHWOODS PPTYS INC | COM | 431284108 | — | 477 shares | $19,000 |
| HOPFED BANCORP INC | COM | 439734104 | — | 1,620 shares | $19,000 |
| HURCO COMPANIES INC | COM | 447324104 | — | 500 shares | $19,000 |
| INNOSPEC INC | COM | 45768S105 | — | 518 shares | $19,000 |
| INTERNATIONAL FLAVORS&FRAGRA | COM | 459506101 | PUT | 200 shares | $19,000 |
| ISHARES | MSCI AUST ETF | 464286103 | PUT | 800 shares | $19,000 |
| ISHARES TR | TRS FLT RT BD | 46434V860 | — | 377 shares | $19,000 |
| JINPAN INTL LTD | ORD | G5138L100 | — | 2,404 shares | $19,000 |
| KINDER MORGAN MANAGEMENT LLC | SHS | 49455U100 | CALL | 200 shares | $19,000 |
| KNOWLES CORP | COM | 49926D109 | CALL | 700 shares | $19,000 |
| LADDER CAP CORP | CL A | 505743104 | — | 1,000 shares | $19,000 |
| LCNB CORP | COM | 50181P100 | — | 1,282 shares | $19,000 |
| LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | — | 35,000 principal | $19,000 |
| LIMELIGHT NETWORKS INC | COM | 53261M104 | — | 8,282 shares | $19,000 |
| LIQUID HLDGS GROUP INC | COM | 53633A101 | — | 13,635 shares | $19,000 |
| LIQUIDITY SERVICES INC | COM | 53635B107 | CALL | 1,400 shares | $19,000 |
| LYDALL INC DEL | COM | 550819106 | PUT | 700 shares | $19,000 |
| MAD CATZ INTERACTIVE INC | COM | 556162105 | — | 47,092 shares | $19,000 |
| MAG SILVER CORP | COM | 55903Q104 | CALL | 2,500 shares | $19,000 |
| MAGYAR BANCORP INC | COM | 55977T109 | — | 2,275 shares | $19,000 |
| MANAGED DURATION INVT GRD FU | COM | 56165R103 | — | 1,435 shares | $19,000 |
| MARKET VECTORS ETF TR | RETAIL ETF | 57060U225 | PUT | 300 shares | $19,000 |
| MERITAGE HOMES CORP | COM | 59001A102 | — | 546 shares | $19,000 |
| MFS HIGH INCOME MUN TR | SH BEN INT | 59318D104 | — | 3,906 shares | $19,000 |
| MORGAN STANLEY CHINA A SH FD | COM | 617468103 | — | 798 shares | $19,000 |
| NOVO-NORDISK A S | ADR | 670100205 | PUT | 400 shares | $19,000 |
| OCULAR THERAPEUTIX INC | COM | 67576A100 | — | 1,272 shares | $19,000 |
| OPEXA THERAPEUTICS INC | COM NEW | 68372T202 | — | 19,478 shares | $19,000 |
| OWENS RLTY MTG INC | COM | 690828108 | — | 1,329 shares | $19,000 |
| PATTERN ENERGY GROUP INC | CL A | 70338P100 | — | 600 shares | $19,000 |
| PEREGRINE SEMICONDUCTOR CORP | COM | 71366R703 | — | 1,556 shares | $19,000 |
| PETMED EXPRESS INC | COM | 716382106 | CALL | 1,400 shares | $19,000 |
| PROSHARES TR | PSHS CONSMRGOODS | 74347R768 | — | 222 shares | $19,000 |
| PROSHARES TR | PSHS UL1000NEW | 74348A624 | — | 831 shares | $19,000 |
| PROSHARES TR | UL RUS1000VA NEW | 74348A483 | — | 567 shares | $19,000 |
| REALD INC | COM | 75604L105 | PUT | 2,000 shares | $19,000 |
| RENREN INC | SPONSORED ADR | 759892102 | CALL | 5,600 shares | $19,000 |
| RENTECH NITROGEN PARTNERS L | COM UNIT | 760113100 | PUT | 1,500 shares | $19,000 |
| REX ENERGY CORPORATION | COM | 761565100 | CALL | 1,500 shares | $19,000 |
| SANDRIDGE MISSISSIPPIAN TR I | SH BEN INT | 80007V106 | — | 2,991 shares | $19,000 |