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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) |
|---|---|---|---|---|---|
| SARATOGA INVT CORP | COM NEW | 80349A208 | — | 1,170 shares | $19,000 |
| SPARTANNASH CO | COM | 847215100 | — | 962 shares | $19,000 |
| SPDR INDEX SHS FDS | EMERG MKTS ETF | 78463X509 | — | 292 shares | $19,000 |
| SPOK HLDGS INC | COM | 84863T106 | — | 1,459 shares | $19,000 |
| SWISHER HYGIENE INC | COM NEW | 870808300 | — | 6,177 shares | $19,000 |
| TELECOM ITALIA S P A NEW | SPON ADR ORD | 87927Y102 | — | 1,647 shares | $19,000 |
| TRANSCAT INC | COM | 893529107 | — | 2,033 shares | $19,000 |
| TREMOR VIDEO INC | COM | 89484Q100 | — | 8,230 shares | $19,000 |
| TRINITY INDS INC | COM | 896522109 | PUT | 400 shares | $19,000 |
| VILLAGE SUPER MKT INC | CL A NEW | 927107409 | — | 828 shares | $19,000 |
| WHITING USA TR II | TR UNIT | 966388100 | — | 1,525 shares | $19,000 |
| 1347 PPTY INS HLDGS INC | COM | 68244P107 | — | 2,265 shares | $18,000 |
| ACTUANT CORP | CL A NEW | 00508X203 | PUT | 600 shares | $18,000 |
| ALUMINUM CORP CHINA LTD | SPON ADR H SHS | 022276109 | CALL | 1,800 shares | $18,000 |
| AMERICAN CARESOURCE HLDGS IN | COM NEW | 02505A202 | — | 6,000 shares | $18,000 |
| ANGIES LIST INC | COM | 034754101 | PUT | 2,900 shares | $18,000 |
| ARMSTRONG WORLD INDS INC NEW | COM | 04247X102 | — | 325 shares | $18,000 |
| BAZAARVOICE INC | COM | 073271108 | CALL | 2,500 shares | $18,000 |
| BLACKROCK NY MUNICIPAL BOND | COM | 09249P106 | — | 1,316 shares | $18,000 |
| BOULDER TOTAL RETURN FD INC | COM | 101541100 | — | 690 shares | $18,000 |
| BRANDYWINE RLTY TR | SH BEN INT NEW | 105368203 | CALL | 1,300 shares | $18,000 |
| BRIGGS & STRATTON CORP | COM | 109043109 | PUT | 1,000 shares | $18,000 |
| BROWN SHOE INC NEW | COM | 115736100 | — | 648 shares | $18,000 |
| CANTERBURY PARK HOLDING CORP | COM | 13811E101 | — | 1,745 shares | $18,000 |
| CAROLINA TR BK LINCOLNTON NC | COM | 144200102 | — | 3,563 shares | $18,000 |
| CDN IMPERIAL BK COMM TORONTO | COM | 136069101 | CALL | 200 shares | $18,000 |
| CDW CORP | COM | 12514G108 | — | 564 shares | $18,000 |
| CENTRAL PAC FINL CORP | COM NEW | 154760409 | PUT | 1,000 shares | $18,000 |
| CENTRAL VALLEY CMNTY BANCORP | COM | 155685100 | — | 1,608 shares | $18,000 |
| CHARLES RIV LABS INTL INC | COM | 159864107 | CALL | 300 shares | $18,000 |
| CHUBB CORP | COM | 171232101 | PUT | 200 shares | $18,000 |
| CLIFTON BANCORP INC | COM | 186873105 | — | 1,460 shares | $18,000 |
| COSTAMARE INC | SHS | Y1771G102 | — | 797 shares | $18,000 |
| CTS CORP | COM | 126501105 | — | 1,150 shares | $18,000 |
| CURRENCYSHARES AUSTRALIAN DL | AUSTRALIAN DOL | 23129U101 | PUT | 200 shares | $18,000 |
| CUSHING RTY & INCOME FD | COM SH BEN INT | 23164R104 | — | 1,000 shares | $18,000 |
| DELTIC TIMBER CORP | COM | 247850100 | — | 287 shares | $18,000 |
| DENISON MINES CORP | COM | 248356107 | — | 15,764 shares | $18,000 |
| DIAMOND HILL INVESTMENT GROU | COM NEW | 25264R207 | — | 150 shares | $18,000 |
| DIEBOLD INC | COM | 253651103 | PUT | 500 shares | $18,000 |
| DISNEY WALT CO | COM DISNEY | 254687106 | PUT | 200 shares | $18,000 |
| DOMTAR CORP | COM NEW | 257559203 | CALL | 500 shares | $18,000 |
| EATON VANCE MUNI INCOME TRUS | SH BEN INT | 27826U108 | — | 1,449 shares | $18,000 |
| ENERGOUS CORP | COM | 29272C103 | — | 1,560 shares | $18,000 |
| ESB FINL CORP | COM | 26884F102 | — | 1,537 shares | $18,000 |
| FEDERAL AGRIC MTG CORP | CL C | 313148306 | — | 559 shares | $18,000 |
| FEDERATED NATL HLDG CO | COM | 31422T101 | — | 641 shares | $18,000 |
| FORESIGHT ENERGY LP | COM UNT RP INT | 34552U104 | — | 1,000 shares | $18,000 |
| FOSTER L B CO | COM | 350060109 | — | 393 shares | $18,000 |
| GLEN BURNIE BANCORP | COM | 377407101 | — | 1,443 shares | $18,000 |
| GLOBAL BRASS & COPPR HLDGS I | COM | 37953G103 | — | 1,200 shares | $18,000 |
| GLOBAL X FDS | GBL X SASIA ETF | 37950E648 | — | 1,078 shares | $18,000 |
| HAWKINS INC | COM | 420261109 | — | 487 shares | $18,000 |
| H & E EQUIPMENT SERVICES INC | COM | 404030108 | — | 458 shares | $18,000 |
| HONDA MOTOR LTD | AMERN SHS | 438128308 | — | 531 shares | $18,000 |
| IGATE CORP | COM | 45169U105 | CALL | 500 shares | $18,000 |
| IKANOS COMMUNICATIONS | COM | 45173E105 | — | 50,460 shares | $18,000 |
| IKONICS CORP | COM | 45172K102 | — | 1,009 shares | $18,000 |
| INDUSTRIAL SVCS AMER INC FLA | COM | 456314103 | — | 3,000 shares | $18,000 |
| INTERVEST BANCSHARES CORP | COM | 460927106 | — | 1,845 shares | $18,000 |
| KING DIGITAL ENTMT PLC | ORD SHS | G5258J109 | CALL | 1,400 shares | $18,000 |
| LAYNE CHRISTENSEN CO | COM | 521050104 | — | 1,833 shares | $18,000 |
| LIONBRIDGE TECHNOLOGIES INC | COM | 536252109 | CALL | 4,000 shares | $18,000 |
| LOUISIANA PAC CORP | COM | 546347105 | — | 1,311 shares | $18,000 |
| LSB INDS INC | COM | 502160104 | — | 500 shares | $18,000 |
| MANAGED DURATION INVT GRD FU | COM | 56165R103 | — | 1,337 shares | $18,000 |
| MERIT MED SYS INC | COM | 589889104 | CALL | 1,500 shares | $18,000 |
| METABOLIX INC | COM | 591018809 | — | 20,101 shares | $18,000 |
| MORGAN STANLEY | RUPEE/USD ETN | 61747W265 | — | 531 shares | $18,000 |
| MYERS INDS INC | COM | 628464109 | — | 1,000 shares | $18,000 |
| NATIONAL RESH CORP | CL A | 637372202 | — | 1,366 shares | $18,000 |
| NEWS CORP NEW | CL A | 65249B109 | CALL | 1,100 shares | $18,000 |
| NORTHEAST BANCORP | COM NEW | 663904209 | — | 1,966 shares | $18,000 |
| NORTH EUROPEAN OIL RTY TR | SH BEN INT | 659310106 | — | 853 shares | $18,000 |
| NOW INC | COM | 67011P100 | CALL | 600 shares | $18,000 |
| NUVEEN PA INVT QUALITY MUN F | COM | 670972108 | — | 1,339 shares | $18,000 |
| OHR PHARMACEUTICAL INC | COM NEW | 67778H200 | — | 2,506 shares | $18,000 |
| ORIGIN AGRITECH LIMITED | SHS | G67828106 | — | 8,371 shares | $18,000 |
| ORION MARINE GROUP INC | COM | 68628V308 | — | 1,803 shares | $18,000 |
| PEP BOYS MANNY MOE & JACK | COM | 713278109 | — | 2,000 shares | $18,000 |
| PEREGRINE PHARMACEUTICALS IN | COM NEW | 713661304 | CALL | 13,400 shares | $18,000 |
| PIMCO ETF TR | 25YR+ ZERO U S | 72201R882 | — | 175 shares | $18,000 |
| PIMCO ETF TR | DIV INCOME ETF | 72201R726 | — | 358 shares | $18,000 |
| POINTS INTL LTD | COM NEW | 730843208 | — | 1,009 shares | $18,000 |
| POLYONE CORP | COM | 73179P106 | CALL | 500 shares | $18,000 |
| PROGRESSIVE CORP OHIO | COM | 743315103 | PUT | 700 shares | $18,000 |
| PROSHARES TR | SHRT RL EST FD | 74347X641 | — | 792 shares | $18,000 |
| PROSHARES TR | ULSH RUSS2000 VL | 74348A384 | — | 294 shares | $18,000 |
| PROSHARES TR | ULT MSCIMEX CAPP | 74347X179 | — | 935 shares | $18,000 |
| PROSHARES TR | ULTSHT FTSE EURO | 74348A434 | CALL | 300 shares | $18,000 |
| PROSHARES TR | ULTSHT FTSE EURO | 74348A434 | PUT | 300 shares | $18,000 |
| PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | — | 2,489 shares | $18,000 |
| QAD INC | CL B | 74727D207 | — | 1,149 shares | $18,000 |
| QUOTIENT LTD | SHS | G73268107 | — | 1,877 shares | $18,000 |
| REAL GOODS SOLAR INC | CL A | 75601N104 | — | 10,200 shares | $18,000 |
| RELM WIRELESS CORP | COM | 759525108 | — | 3,398 shares | $18,000 |
| RENT A CTR INC NEW | COM | 76009N100 | — | 589 shares | $18,000 |
| RENTRAK CORP | COM | 760174102 | PUT | 300 shares | $18,000 |
| RETAILMENOT INC | COM SER 1 | 76132B106 | CALL | 1,100 shares | $18,000 |
| RINGCENTRAL INC | CL A | 76680R206 | — | 1,400 shares | $18,000 |