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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) |
|---|---|---|---|---|---|
| CACI INTL INC | CL A | 127190304 | PUT | 200 shares | $14,000 |
| CAPITAL CITY BK GROUP INC | COM | 139674105 | — | 1,004 shares | $14,000 |
| CARDIOME PHARMA CORP | COM NO PAR | 14159U301 | — | 1,550 shares | $14,000 |
| CARDTRONICS INC | COM | 14161H108 | PUT | 400 shares | $14,000 |
| CECO ENVIRONMENTAL CORP | COM | 125141101 | — | 1,069 shares | $14,000 |
| CHEROKEE INC DEL NEW | COM | 16444H102 | — | 772 shares | $14,000 |
| CITIZENS CMNTY BANCORP INC M | COM | 174903104 | — | 1,607 shares | $14,000 |
| COLONY BANKCORP INC | COM | 19623P101 | — | 2,108 shares | $14,000 |
| COMPANHIA ENERGETICA DE MINA | SPONSORED ADR | 204409882 | — | 2,207 shares | $14,000 |
| CONATUS PHARMACEUTICALS INC | COM | 20600T108 | — | 2,344 shares | $14,000 |
| COVENANT TRANSN GROUP INC | CL A | 22284P105 | — | 750 shares | $14,000 |
| CSX CORP | DBCV 10/3 | 126408GA5 | — | 4,000 principal | $14,000 |
| DBX ETF TR | XTRAK MSCI BRAZL | 233051309 | — | 933 shares | $14,000 |
| DENDREON CORP | COM | 24823Q107 | PUT | 10,000 shares | $14,000 |
| DEUTSCHE BK AG LDN BRH | PS CMDT DL ETN | 25154H475 | — | 2,225 shares | $14,000 |
| DIGITALGLOBE INC | COM NEW | 25389M877 | PUT | 500 shares | $14,000 |
| DIREXION SHS ETF TR | DL FTSE BLL 3X | 25459W771 | CALL | 500 shares | $14,000 |
| DIREXION SHS ETF TR II | DLY GLD BEAR3X | 25490F209 | — | 284 shares | $14,000 |
| DUPONT FABROS TECHNOLOGY INC | COM | 26613Q106 | CALL | 500 shares | $14,000 |
| DYNAVAX TECHNOLOGIES CORP | COM | 268158102 | — | 10,000 shares | $14,000 |
| ENDO INTL PLC | SHS | G30401106 | CALL | 200 shares | $14,000 |
| ENERGY RECOVERY INC | COM | 29270J100 | CALL | 3,900 shares | $14,000 |
| ENI S P A | SPONSORED ADR | 26874R108 | PUT | 300 shares | $14,000 |
| ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | — | 3,500 shares | $14,000 |
| EPIZYME INC | COM | 29428V104 | — | 530 shares | $14,000 |
| EPLUS INC | COM | 294268107 | — | 252 shares | $14,000 |
| ESPERION THERAPEUTICS INC NE | COM | 29664W105 | — | 553 shares | $14,000 |
| EXAR CORP | COM | 300645108 | — | 1,600 shares | $14,000 |
| EXCHANGE TRADED CONCEPTS TR | YORK HIINC MLP | 301505103 | — | 800 shares | $14,000 |
| FERRO CORP | COM | 315405100 | PUT | 1,000 shares | $14,000 |
| FIFTH STREET FINANCE CORP | COM | 31678A103 | PUT | 1,500 shares | $14,000 |
| FIRST COMWLTH FINL CORP PA | COM | 319829107 | CALL | 1,700 shares | $14,000 |
| FIRST TR DIVIDEND INCOME FD | COM | 33731L100 | — | 1,534 shares | $14,000 |
| FIRST TR NASDAQ SMART PHONE | COM SHS | 33737K106 | — | 390 shares | $14,000 |
| FIRST UTD CORP | COM | 33741H107 | — | 1,797 shares | $14,000 |
| FLAMEL TECHNOLOGIES SA | SPONSORED ADR | 338488109 | CALL | 1,000 shares | $14,000 |
| FLEETMATICS GROUP PLC | COM | G35569105 | — | 452 shares | $14,000 |
| FORMFACTOR INC | COM | 346375108 | CALL | 2,000 shares | $14,000 |
| FRANKLIN COVEY CO | COM | 353469109 | — | 695 shares | $14,000 |
| GAMCO INVESTORS INC | COM | 361438104 | — | 196 shares | $14,000 |
| GFI GROUP INC | COM | 361652209 | — | 2,500 shares | $14,000 |
| GRAMERCY PPTY TR INC | COM | 38489R100 | CALL | 2,500 shares | $14,000 |
| GUGGENHEIM CR ALLOCATION FD | COM | 40168G108 | — | 595 shares | $14,000 |
| HERITAGE INS HLDGS INC | COM | 42727J102 | — | 946 shares | $14,000 |
| ICON PLC | SHS | G4705A100 | — | 252 shares | $14,000 |
| IDREAMSKY TECHNOLOGY LIMITED | SPONSORED ADS | 45173K101 | CALL | 800 shares | $14,000 |
| INSIGNIA SYS INC | COM | 45765Y105 | — | 4,527 shares | $14,000 |
| KNIGHT TRANSN INC | COM | 499064103 | CALL | 500 shares | $14,000 |
| KRONOS WORLDWIDE INC | COM | 50105F105 | — | 1,000 shares | $14,000 |
| LATTICE SEMICONDUCTOR CORP | COM | 518415104 | CALL | 1,800 shares | $14,000 |
| LIFELOCK INC | COM | 53224V100 | PUT | 1,000 shares | $14,000 |
| LIVEPERSON INC | COM | 538146101 | — | 1,134 shares | $14,000 |
| LORAL SPACE & COMMUNICATNS I | COM | 543881106 | CALL | 200 shares | $14,000 |
| MANPOWERGROUP INC | COM | 56418H100 | PUT | 200 shares | $14,000 |
| MCEWEN MNG INC | COM | 58039P107 | CALL | 7,200 shares | $14,000 |
| MEETME INC | COM | 585141104 | PUT | 7,200 shares | $14,000 |
| MERCER INTL INC | COM | 588056101 | — | 1,455 shares | $14,000 |
| MERU NETWORKS INC | COM | 59047Q103 | — | 3,792 shares | $14,000 |
| MOSYS INC | COM | 619718109 | — | 5,582 shares | $14,000 |
| NASDAQ PREM INCM & GRW FD IN | COM | 63110R105 | — | 741 shares | $14,000 |
| NAVIGANT CONSULTING INC | COM | 63935N107 | — | 1,000 shares | $14,000 |
| NETLIST INC | COM | 64118P109 | — | 11,830 shares | $14,000 |
| NL INDS INC | COM NEW | 629156407 | — | 1,917 shares | $14,000 |
| NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | PUT | 400 shares | $14,000 |
| OPOWER INC | COM | 68375Y109 | — | 739 shares | $14,000 |
| PC-TEL INC | COM | 69325Q105 | — | 1,865 shares | $14,000 |
| PERMIAN BASIN RTY TR | UNIT BEN INT | 714236106 | CALL | 1,000 shares | $14,000 |
| PHOTRONICS INC | COM | 719405102 | — | 1,731 shares | $14,000 |
| POSTROCK ENERGY CORP | COM | 737525105 | — | 12,284 shares | $14,000 |
| POZEN INC | COM | 73941U102 | — | 1,852 shares | $14,000 |
| QLOGIC CORP | COM | 747277101 | CALL | 1,500 shares | $14,000 |
| RAPTOR PHARMACEUTICAL CORP | COM | 75382F106 | — | 1,500 shares | $14,000 |
| ROCK CREEK PHARMACEUTICALS I | COM | 772081105 | — | 49,720 shares | $14,000 |
| RPM INTL INC | COM | 749685103 | CALL | 300 shares | $14,000 |
| RUSH ENTERPRISES INC | CL B | 781846308 | — | 482 shares | $14,000 |
| SELECT BANCORP INC NEW | COM | 81617L108 | — | 1,856 shares | $14,000 |
| SERVOTRONICS INC | COM | 817732100 | — | 1,819 shares | $14,000 |
| SHUTTERSTOCK INC | COM | 825690100 | CALL | 200 shares | $14,000 |
| SIGMA ALDRICH CORP | COM | 826552101 | PUT | 100 shares | $14,000 |
| SILGAN HOLDINGS INC | COM | 827048109 | — | 293 shares | $14,000 |
| SINOCOKING COAL & COKE CH IN | COM | 829357102 | CALL | 3,700 shares | $14,000 |
| SOUTHWEST GA FINL CORP | COM | 84502A104 | — | 1,033 shares | $14,000 |
| SPEED COMM INC | COM | 84764T106 | — | 5,000 shares | $14,000 |
| STEIN MART INC | COM | 858375108 | — | 1,240 shares | $14,000 |
| SWISHER HYGIENE INC | COM NEW | 870808300 | — | 4,638 shares | $14,000 |
| SYNTHESIS ENERGY SYS INC | COM | 871628103 | — | 12,068 shares | $14,000 |
| THRESHOLD PHARMACEUTICAL INC | COM NEW | 885807206 | CALL | 4,000 shares | $14,000 |
| TIMKENSTEEL CORP | COM | 887399103 | CALL | 300 shares | $14,000 |
| TOKAI PHARMACEUTICALS INC | COM | 88907J107 | — | 930 shares | $14,000 |
| TOR MINERALS INTL INC | COM NEW | 890878309 | — | 1,672 shares | $14,000 |
| TWO RIV BANCORP | COM | 90207C105 | — | 1,720 shares | $14,000 |
| UNDER ARMOUR INC | CL A | 904311107 | PUT | 200 shares | $14,000 |
| US ECOLOGY INC | COM | 91732J102 | — | 295 shares | $14,000 |
| UTSTARCOM HOLDINGS CORP | SHS NEW | G9310A114 | — | 4,703 shares | $14,000 |
| VEOLIA ENVIRONNEMENT | SPONSORED ADR | 92334N103 | PUT | 800 shares | $14,000 |
| VIRTUSA CORP | COM | 92827P102 | — | 393 shares | $14,000 |
| WISDOMTREE TR | US S CAP DIV GRW | 97717X651 | — | 500 shares | $14,000 |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | — | 6,485 shares | $14,000 |
| ZUMIEZ INC | COM | 989817101 | CALL | 500 shares | $14,000 |
| ADVANCED ENERGY INDS | COM | 007973100 | PUT | 700 shares | $13,000 |