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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) |
|---|---|---|---|---|---|
| CALAVO GROWERS INC | COM | 128246105 | CALL | 200 shares | $9,000 |
| CALUMET SPECIALTY PRODS PTNR | UT LTD PARTNER | 131476103 | — | 345 shares | $9,000 |
| CARBONITE INC | COM | 141337105 | — | 927 shares | $9,000 |
| CDW CORP | COM | 12514G108 | CALL | 300 shares | $9,000 |
| CHANNELADVISOR CORP | COM | 159179100 | — | 546 shares | $9,000 |
| CHINA COML CR INC | COM | 16891K103 | — | 2,939 shares | $9,000 |
| CHINA NEW BORUN CORP | ADR | 16890T105 | CALL | 5,000 shares | $9,000 |
| CIFC CORP | COM | 12547R105 | — | 985 shares | $9,000 |
| C&J ENERGY SVCS INC | COM | 12467B304 | CALL | 300 shares | $9,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUGG CHN TECH | 18383Q135 | — | 250 shares | $9,000 |
| COMMAND SEC CORP | COM | 20050L100 | — | 4,532 shares | $9,000 |
| COMPASS DIVERSIFIED HOLDINGS | SH BEN INT | 20451Q104 | CALL | 500 shares | $9,000 |
| CRAWFORD & CO | CL B | 224633107 | — | 1,061 shares | $9,000 |
| CREDIT SUISSE NASSAU BRH | EXCH NT LKD 20 | 22542D878 | — | 364 shares | $9,000 |
| CUBIC CORP | COM | 229669106 | CALL | 200 shares | $9,000 |
| CURRENCYSHARES CDN DLR TR | CDN DOLLAR SHS | 23129X105 | PUT | 100 shares | $9,000 |
| CYAN INC | COM | 23247W104 | — | 2,861 shares | $9,000 |
| DEUTSCHE BK AG LONDON | ELE MORN TTL22 | 25153Q708 | — | 402 shares | $9,000 |
| DEUTSCHE BK AG LONDON BRH | MTLS DBL ETN38 | 25154K841 | — | 1,042 shares | $9,000 |
| DIVERSIFIED REAL ASSET INC F | COM SHS | 25533B108 | — | 489 shares | $9,000 |
| DIVIDEND & INCOME FUND | COM NEW | 25538A204 | — | 517 shares | $9,000 |
| DONEGAL GROUP INC | CL A | 257701201 | — | 593 shares | $9,000 |
| DREW INDS INC | COM NEW | 26168L205 | — | 215 shares | $9,000 |
| EASTMAN KODAK CO | COM NEW | 277461406 | — | 400 shares | $9,000 |
| EATON VANCE TAX MNGED BUY WR | COM | 27828X100 | — | 584 shares | $9,000 |
| ECA MARCELLUS TR I | COM UNIT | 26827L109 | — | 1,598 shares | $9,000 |
| ECHO GLOBAL LOGISTICS INC | COM | 27875T101 | CALL | 400 shares | $9,000 |
| E FUTURE INFORMATION TECH IN | SHS | G29438101 | — | 2,002 shares | $9,000 |
| ELLSWORTH FUND LTD | COM | 289074106 | — | 1,068 shares | $9,000 |
| ENDEAVOUR SILVER CORP | COM | 29258Y103 | CALL | 2,100 shares | $9,000 |
| ENZO BIOCHEM INC | COM | 294100102 | — | 1,756 shares | $9,000 |
| EP ENERGY CORP | CL A | 268785102 | CALL | 500 shares | $9,000 |
| EVOLVING SYS INC | COM NEW | 30049R209 | — | 1,000 shares | $9,000 |
| FEDERATED INVS INC PA | CL B | 314211103 | PUT | 300 shares | $9,000 |
| FEDERATED PREM MUN INC FD | COM | 31423P108 | — | 600 shares | $9,000 |
| FIRST POTOMAC RLTY TR | COM | 33610F109 | — | 804 shares | $9,000 |
| FLAMEL TECHNOLOGIES SA | SPONSORED ADR | 338488109 | — | 649 shares | $9,000 |
| FLEXSHARES TR | STOXX GLOBR INF | 33939L795 | — | 206 shares | $9,000 |
| FOSTER WHEELER AG | COM | H27178104 | CALL | 300 shares | $9,000 |
| FOX CHASE BANCORP INC NEW | COM | 35137T108 | — | 532 shares | $9,000 |
| GENESCO INC | COM | 371532102 | — | 122 shares | $9,000 |
| GIGAMON INC | COM | 37518B102 | — | 866 shares | $9,000 |
| GLOBAL X FDS | GURU INTL IDX | 37950E176 | — | 562 shares | $9,000 |
| GOVERNMENT PPTYS INCOME TR | COM SHS BEN INT | 38376A103 | CALL | 400 shares | $9,000 |
| HARMONIC INC | COM | 413160102 | — | 1,466 shares | $9,000 |
| HELIX ENERGY SOLUTIONS GRP I | COM | 42330P107 | CALL | 400 shares | $9,000 |
| HOOKER FURNITURE CORP | COM | 439038100 | — | 613 shares | $9,000 |
| HOWARD BANCORP INC | COM | 442496105 | — | 832 shares | $9,000 |
| IMPAX LABORATORIES INC | COM | 45256B101 | CALL | 400 shares | $9,000 |
| ITERIS INC | COM | 46564T107 | — | 5,401 shares | $9,000 |
| JONES ENERGY INC | COM CL A | 48019R108 | CALL | 500 shares | $9,000 |
| JUST ENERGY GROUP INC | COM | 48213W101 | CALL | 2,000 shares | $9,000 |
| LAWSON PRODS INC | COM | 520776105 | — | 425 shares | $9,000 |
| LEAR CORP | COM NEW | 521865204 | PUT | 100 shares | $9,000 |
| LGL GROUP INC | COM | 50186A108 | — | 2,386 shares | $9,000 |
| LIBERTY MEDIA CORP DELAWARE | CL A | 531229102 | PUT | 200 shares | $9,000 |
| LIN MEDIA LLC | CL A COM | 532771102 | — | 393 shares | $9,000 |
| LMI AEROSPACE INC | COM | 502079106 | — | 691 shares | $9,000 |
| LPL FINL HLDGS INC | COM | 50212V100 | CALL | 200 shares | $9,000 |
| MAGIC SOFTWARE ENTERPRISES L | ORD | 559166103 | — | 1,321 shares | $9,000 |
| MAGNA INTL INC | COM | 559222401 | CALL | 100 shares | $9,000 |
| MARINE PRODS CORP | COM | 568427108 | — | 1,130 shares | $9,000 |
| MASTEC INC | COM | 576323109 | CALL | 300 shares | $9,000 |
| MAXWELL TECHNOLOGIES INC | COM | 577767106 | PUT | 1,000 shares | $9,000 |
| MCG CAPITAL CORP | COM | 58047P107 | — | 2,580 shares | $9,000 |
| MEDASSETS INC | COM | 584045108 | — | 413 shares | $9,000 |
| MEDICINES CO | COM | 584688105 | CALL | 400 shares | $9,000 |
| MINCO GOLD CORPORATION | COM | 60254D108 | — | 22,891 shares | $9,000 |
| MOKO SOCIAL MEDIA LTD | SPONSORED ADR NE | 608458204 | — | 1,449 shares | $9,000 |
| MONOLITHIC PWR SYS INC | COM | 609839105 | CALL | 200 shares | $9,000 |
| MORGAN STANLEY INDIA INVS FD | COM | 61745C105 | — | 349 shares | $9,000 |
| MUELLER WTR PRODS INC | COM SER A | 624758108 | — | 1,099 shares | $9,000 |
| NATIONAL PENN BANCSHARES INC | COM | 637138108 | — | 904 shares | $9,000 |
| NATUS MEDICAL INC DEL | COM | 639050103 | — | 311 shares | $9,000 |
| NEKTAR THERAPEUTICS | COM | 640268108 | — | 767 shares | $9,000 |
| NETLIST INC | COM | 64118P109 | — | 7,500 shares | $9,000 |
| NETSUITE INC | COM | 64118Q107 | CALL | 100 shares | $9,000 |
| NIDEC CORP | SPONSORED ADR | 654090109 | — | 508 shares | $9,000 |
| NORANDA ALUM HLDG CORP | COM | 65542W107 | PUT | 2,000 shares | $9,000 |
| NORTH AMERN ENERGY PARTNERS | COM | 656844107 | — | 1,371 shares | $9,000 |
| NUVEEN BUILD AMER BD OPPTNY | COM | 67074Q102 | — | 444 shares | $9,000 |
| NUVEEN EQUITY PREM & GROWTH | COM | 6706EW100 | — | 653 shares | $9,000 |
| NUVEEN NEW JERSEY MUN VALUE | COM | 670702109 | — | 650 shares | $9,000 |
| OHR PHARMACEUTICAL INC | COM NEW | 67778H200 | CALL | 1,300 shares | $9,000 |
| PHILIPPINE LONG DISTANCE TEL | SPONSORED ADR | 718252604 | — | 129 shares | $9,000 |
| PHOTOMEDEX INC | COM PAR $0.01 | 719358301 | CALL | 1,400 shares | $9,000 |
| POWERSHARES ETF TR II | S&P400 LOVL PT | 73937B647 | — | 300 shares | $9,000 |
| PRANA BIOTECHNOLOGY LTD | SPONSORED ADR | 739727105 | CALL | 4,300 shares | $9,000 |
| PROSHARES TR II | ULTRA SILVER NEW | 74347W353 | PUT | 200 shares | $9,000 |
| PSIVIDA CORP | COM | 74440J101 | — | 2,086 shares | $9,000 |
| QEP RES INC | COM | 74733V100 | PUT | 300 shares | $9,000 |
| RAND CAP CORP | COM | 752185108 | — | 2,994 shares | $9,000 |
| RAYONIER INC | COM | 754907103 | CALL | 300 shares | $9,000 |
| RCS CAP CORP | COM CL A | 74937W102 | — | 406 shares | $9,000 |
| REACHLOCAL INC | COM | 75525F104 | — | 2,550 shares | $9,000 |
| REALNETWORKS INC | COM NEW | 75605L708 | — | 1,313 shares | $9,000 |
| REGIONAL MGMT CORP | COM | 75902K106 | — | 500 shares | $9,000 |
| REPUBLIC AWYS HLDGS INC | COM | 760276105 | PUT | 800 shares | $9,000 |
| REPUBLIC FIRST BANCORP INC | COM | 760416107 | — | 2,222 shares | $9,000 |
| ROADRUNNER TRNSN SVCS HLDG I | COM | 76973Q105 | CALL | 400 shares | $9,000 |