← Back to Discover
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) |
|---|---|---|---|---|---|
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | — | 1,528 shares | $12,000 |
| HONG KONG TELEVISION NETWK L | SPONSORED ADR | 43858G107 | — | 1,993 shares | $12,000 |
| HOUSTON AMERN ENERGY CORP | COM | 44183U100 | — | 38,245 shares | $12,000 |
| HYPERDYNAMICS CORP | COM NEW | 448954206 | CALL | 6,700 shares | $12,000 |
| IDEXX LABS INC | COM | 45168D104 | PUT | 100 shares | $12,000 |
| IGNYTA INC | COM | 451731103 | — | 1,493 shares | $12,000 |
| IMRIS INC | COM | 45322N105 | — | 20,098 shares | $12,000 |
| INTEGRATED ELECTRICAL SVC | COM | 45811E301 | — | 1,495 shares | $12,000 |
| INTELIQUENT INC | COM | 45825N107 | CALL | 1,000 shares | $12,000 |
| IPG PHOTONICS CORP | COM | 44980X109 | — | 170 shares | $12,000 |
| IRIDEX CORP | COM | 462684101 | — | 1,650 shares | $12,000 |
| KANSAS CITY SOUTHERN | COM NEW | 485170302 | CALL | 100 shares | $12,000 |
| KANSAS CITY SOUTHERN | COM NEW | 485170302 | PUT | 100 shares | $12,000 |
| KAYNE ANDERSON MLP INVT CO | COM | 486606106 | PUT | 300 shares | $12,000 |
| KEMET CORP | COM NEW | 488360207 | — | 2,857 shares | $12,000 |
| KINDRED HEALTHCARE INC | COM | 494580103 | CALL | 600 shares | $12,000 |
| KOPIN CORP | COM | 500600101 | — | 3,645 shares | $12,000 |
| LAS VEGAS SANDS CORP | COM | 517834107 | PUT | 200 shares | $12,000 |
| MALIBU BOATS INC | COM CL A | 56117J100 | — | 651 shares | $12,000 |
| MARKET VECTORS ETF TR | VECTRS POL ETF | 57060U571 | — | 543 shares | $12,000 |
| MAST THERAPEUTICS INC | COM | 576314108 | CALL | 21,100 shares | $12,000 |
| MONTPELIER RE HOLDINGS LTD | SHS | G62185106 | — | 400 shares | $12,000 |
| NEONODE INC | COM NEW | 64051M402 | — | 5,656 shares | $12,000 |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | PUT | 1,000 shares | $12,000 |
| NEW SOURCE ENERGY PARTNERS L | CM UNT LTD PRT | 64881E109 | — | 500 shares | $12,000 |
| NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | — | 1,663 shares | $12,000 |
| NOW INC | COM | 67011P100 | PUT | 400 shares | $12,000 |
| NUVEEN CAL AMT-FREE MUN INC | COM | 670651108 | — | 873 shares | $12,000 |
| OAK VALLEY BANCORP OAKDALE C | COM | 671807105 | — | 1,189 shares | $12,000 |
| ONEIDA FINL CORP MD | COM | 682479100 | — | 925 shares | $12,000 |
| ORCHIDS PAPER PRODS CO DEL | COM | 68572N104 | — | 498 shares | $12,000 |
| OXFORD INDS INC | COM | 691497309 | — | 201 shares | $12,000 |
| PACHOLDER HIGH YIELD FD INC | COM | 693742108 | — | 1,551 shares | $12,000 |
| PANHANDLE OIL AND GAS INC | CL A | 698477106 | — | 208 shares | $12,000 |
| PBF ENERGY INC | CL A | 69318G106 | PUT | 500 shares | $12,000 |
| PETROLEUM & RES CORP | COM | 716549100 | — | 400 shares | $12,000 |
| PROSHARES TR | PSHS ULTRA DOW30 | 74347R305 | CALL | 100 shares | $12,000 |
| PROSHARES TR | SHT INV GRD CP | 74347R123 | — | 400 shares | $12,000 |
| PROSHARES TR | SHT KBW REGBNK | 74347X476 | — | 410 shares | $12,000 |
| PROSHARES TR | ULT FTSE CHIN 50 | 74347X880 | CALL | 200 shares | $12,000 |
| QAD INC | CL A | 74727D306 | — | 638 shares | $12,000 |
| QUALYS INC | COM | 74758T303 | — | 439 shares | $12,000 |
| QUANTUM CORP | COM DSSG | 747906204 | — | 10,188 shares | $12,000 |
| QUANTUM FUEL SYS TECH WORLDW | COM PAR $0.02 | 74765E307 | CALL | 3,100 shares | $12,000 |
| REALTY INCOME CORP | COM | 756109104 | CALL | 300 shares | $12,000 |
| REGADO BIOSCIENCES INC | COM | 75874Q107 | — | 10,316 shares | $12,000 |
| RENASANT CORP | COM | 75970E107 | — | 450 shares | $12,000 |
| REPUBLIC SVCS INC | COM | 760759100 | PUT | 300 shares | $12,000 |
| ROCKWELL MED INC | COM | 774374102 | — | 1,299 shares | $12,000 |
| SELECTIVE INS GROUP INC | COM | 816300107 | — | 520 shares | $12,000 |
| SHARPS COMPLIANCE CORP | COM | 820017101 | — | 2,687 shares | $12,000 |
| SHAW COMMUNICATIONS INC | CL B CONV | 82028K200 | CALL | 500 shares | $12,000 |
| SNAP ON INC | COM | 833034101 | CALL | 100 shares | $12,000 |
| STARZ | COM SER B | 85571Q201 | — | 373 shares | $12,000 |
| SUNOPTA INC | COM | 8676EP108 | CALL | 1,000 shares | $12,000 |
| SYNERGETICS USA INC | COM | 87160G107 | — | 3,379 shares | $12,000 |
| SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | CALL | 4,200 shares | $12,000 |
| TRANSGLOBE ENERGY CORP | COM | 893662106 | — | 2,000 shares | $12,000 |
| TWO RIV BANCORP | COM | 90207C105 | — | 1,511 shares | $12,000 |
| UNITED BANCORP INC OHIO | COM | 909911109 | — | 1,442 shares | $12,000 |
| UNITED NAT FOODS INC | COM | 911163103 | PUT | 200 shares | $12,000 |
| VAALCO ENERGY INC | COM NEW | 91851C201 | CALL | 1,400 shares | $12,000 |
| VERSAR INC | COM | 925297103 | — | 3,757 shares | $12,000 |
| YINGLI GREEN ENERGY HLDG CO | ADR | 98584B103 | CALL | 3,800 shares | $12,000 |
| ZAZA ENERGY CORP | COM NEW | 98919T407 | — | 3,204 shares | $12,000 |
| ZUMIEZ INC | COM | 989817101 | — | 430 shares | $12,000 |
| ZWEIG FD | COM NEW | 989834205 | — | 774 shares | $12,000 |
| ALICO INC | COM | 016230104 | — | 300 shares | $11,000 |
| ALLIQUA INC | COM NEW | 019621200 | — | 2,296 shares | $11,000 |
| ALTERA CORP | COM | 021441100 | CALL | 300 shares | $11,000 |
| ANDATEE CHINA MARINE FUEL SV | COM | 67086W105 | — | 3,394 shares | $11,000 |
| ARCBEST CORP | COM | 03937C105 | PUT | 300 shares | $11,000 |
| ARCOS DORADOS HOLDINGS INC | SHS CLASS -A - | G0457F107 | CALL | 1,900 shares | $11,000 |
| ARMSTRONG WORLD INDS INC NEW | COM | 04247X102 | CALL | 200 shares | $11,000 |
| ARUBA NETWORKS INC | COM | 043176106 | PUT | 500 shares | $11,000 |
| ASB BANCORP INC N C | COM | 00213T109 | — | 534 shares | $11,000 |
| ASSOCIATED ESTATES RLTY CORP | COM | 045604105 | PUT | 600 shares | $11,000 |
| AXCELIS TECHNOLOGIES INC | COM | 054540109 | — | 5,555 shares | $11,000 |
| BANCORP NEW JERSEY INC NEW | COM | 059915108 | — | 1,000 shares | $11,000 |
| BBVA BANCO FRANCES S A | SPONSORED ADR | 07329M100 | — | 868 shares | $11,000 |
| BECTON DICKINSON & CO | COM | 075887109 | CALL | 100 shares | $11,000 |
| BHP BILLITON PLC | SPONSORED ADR | 05545E209 | PUT | 200 shares | $11,000 |
| BIO RAD LABS INC | CL A | 090572207 | CALL | 100 shares | $11,000 |
| BIOTIME INC | COM | 09066L105 | — | 3,500 shares | $11,000 |
| BLUEBIRD BIO INC | COM | 09609G100 | PUT | 300 shares | $11,000 |
| BORGWARNER INC | COM | 099724106 | CALL | 200 shares | $11,000 |
| BOULDER BRANDS INC | COM | 101405108 | — | 790 shares | $11,000 |
| BPZ RESOURCES INC | COM | 055639108 | — | 6,000 shares | $11,000 |
| BRIGHTCOVE INC | COM | 10921T101 | CALL | 1,900 shares | $11,000 |
| BRITISH AMERN TOB PLC | SPONSORED ADR | 110448107 | CALL | 100 shares | $11,000 |
| BROADSOFT INC | COM | 11133B409 | CALL | 500 shares | $11,000 |
| CALAMOS GLOBAL TOTAL RETURN | COM SH BEN INT | 128118106 | — | 793 shares | $11,000 |
| CAMTEK LTD | ORD | M20791105 | — | 2,826 shares | $11,000 |
| CANTERBURY PARK HOLDING CORP | COM | 13811E101 | — | 1,100 shares | $11,000 |
| CAPITAL SR LIVING CORP | COM | 140475104 | PUT | 500 shares | $11,000 |
| CARRIZO OIL & GAS INC | COM | 144577103 | PUT | 200 shares | $11,000 |
| CASTLE BRANDS INC | COM | 148435100 | — | 8,431 shares | $11,000 |
| CBOE HLDGS INC | COM | 12503M108 | PUT | 200 shares | $11,000 |
| CHECKPOINT SYS INC | COM | 162825103 | — | 879 shares | $11,000 |
| CHINA NEPSTAR CHAIN DRUGSTOR | SPONSORED ADR | 16943C109 | — | 5,274 shares | $11,000 |