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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) |
|---|---|---|---|---|---|
| RUBICON PROJ INC | COM | 78112V102 | — | 800 shares | $9,000 |
| SCANSOURCE INC | COM | 806037107 | — | 254 shares | $9,000 |
| SIGMA DESIGNS INC | COM | 826565103 | CALL | 2,000 shares | $9,000 |
| SIGMATRON INTL INC | COM | 82661L101 | — | 1,260 shares | $9,000 |
| SILVER SPRING NETWORKS INC | COM | 82817Q103 | CALL | 900 shares | $9,000 |
| SMITH A O | COM | 831865209 | CALL | 200 shares | $9,000 |
| SPDR INDEX SHS FDS | S&P INTL ETF | 78463X772 | CALL | 200 shares | $9,000 |
| SPX CORP | COM | 784635104 | CALL | 100 shares | $9,000 |
| STATE AUTO FINL CORP | COM | 855707105 | — | 456 shares | $9,000 |
| STEMCELLS INC | COM NEW | 85857R204 | — | 6,924 shares | $9,000 |
| STONE ENERGY CORP | COM | 861642106 | — | 296 shares | $9,000 |
| STREAMLINE HEALTH SOLUTIONS | COM | 86323X106 | — | 1,921 shares | $9,000 |
| STR HLDGS INC | COM | 78478V100 | — | 6,506 shares | $9,000 |
| SUNTRUST BKS INC | *W EXP 12/31/201 | 867914129 | — | 967 shares | $9,000 |
| SUPERCONDUCTOR TECHNOLOGIES | COM PAR $0.001 | 867931404 | CALL | 3,200 shares | $9,000 |
| SUPERNUS PHARMACEUTICALS INC | COM | 868459108 | — | 1,067 shares | $9,000 |
| SUTRON CORP | COM | 869380105 | — | 1,721 shares | $9,000 |
| SWEDISH EXPT CR CORP | MLCX GRN ETN23 | 870297215 | — | 1,968 shares | $9,000 |
| TC PIPELINES LP | UT COM LTD PRT | 87233Q108 | — | 137 shares | $9,000 |
| TEARLAB CORP | COM | 878193101 | — | 2,508 shares | $9,000 |
| TEEKAY OFFSHORE PARTNERS L P | PARTNERSHIP UN | Y8565J101 | — | 277 shares | $9,000 |
| THERAVANCE BIOPHARMA INC | COM | G8807B106 | — | 374 shares | $9,000 |
| THOR INDS INC | COM | 885160101 | — | 171 shares | $9,000 |
| TITAN INTL INC ILL | COM | 88830M102 | PUT | 800 shares | $9,000 |
| TRANSACT TECHNOLOGIES INC | COM | 892918103 | — | 1,407 shares | $9,000 |
| TRANSCONTINENTAL RLTY INVS | COM NEW | 893617209 | — | 905 shares | $9,000 |
| TRANSGENOMIC INC | COM NEW | 89365K305 | — | 2,483 shares | $9,000 |
| TRANSGLOBE ENERGY CORP | COM | 893662106 | — | 1,500 shares | $9,000 |
| TRECORA RES | COM | 894648104 | — | 708 shares | $9,000 |
| TREDEGAR CORP | COM | 894650100 | PUT | 500 shares | $9,000 |
| TRIBUNE PUBG CO | COM | 896082104 | — | 430 shares | $9,000 |
| TRISTATE CAP HLDGS INC | COM | 89678F100 | — | 1,000 shares | $9,000 |
| UNITED CMNTY BKS BLAIRSVLE G | COM | 90984P303 | — | 538 shares | $9,000 |
| U.S. AUTO PARTS NETWORK INC | COM | 90343C100 | — | 3,289 shares | $9,000 |
| US ECOLOGY INC | COM | 91732J102 | CALL | 200 shares | $9,000 |
| US ECOLOGY INC | COM | 91732J102 | PUT | 200 shares | $9,000 |
| U S GLOBAL INVS INC | CL A | 902952100 | — | 2,550 shares | $9,000 |
| VAIL RESORTS INC | COM | 91879Q109 | PUT | 100 shares | $9,000 |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | CALL | 900 shares | $9,000 |
| VANGUARD BD INDEX FD INC | LONG TERM BOND | 921937793 | — | 100 shares | $9,000 |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 92206C664 | — | 100 shares | $9,000 |
| VERMILLION INC | COM NEW | 92407M206 | — | 5,000 shares | $9,000 |
| VOLTARI CORP | COM NEW | 92870X309 | — | 6,037 shares | $9,000 |
| WATSCO INC | COM | 942622200 | PUT | 100 shares | $9,000 |
| WESCO AIRCRAFT HLDGS INC | COM | 950814103 | — | 508 shares | $9,000 |
| ZYNGA INC | CL A | 98986T108 | — | 3,500 shares | $9,000 |
| 1347 PPTY INS HLDGS INC | COM | 68244P107 | — | 1,000 shares | $8,000 |
| 1 800 FLOWERS COM | CL A | 68243Q106 | — | 1,055 shares | $8,000 |
| ABERDEEN GLOBAL INCOME FD IN | COM | 003013109 | — | 772 shares | $8,000 |
| ADVAXIS INC | COM NEW | 007624208 | CALL | 2,400 shares | $8,000 |
| ADVAXIS INC | COM NEW | 007624208 | PUT | 2,500 shares | $8,000 |
| ADVISORSHARES TR | PERITUS HG YLD | 00768Y503 | — | 158 shares | $8,000 |
| AEMETIS INC | COM NEW | 00770K202 | — | 890 shares | $8,000 |
| ALON BLUE SQUARE ISRAEL LTD | SPONSORED ADR | 02051Q106 | — | 2,701 shares | $8,000 |
| ASML HOLDING N V | N Y REGISTRY SHS | N07059210 | — | 79 shares | $8,000 |
| ATHERSYS INC | COM | 04744L106 | PUT | 5,500 shares | $8,000 |
| ATHERSYS INC | COM | 04744L106 | — | 5,600 shares | $8,000 |
| AUTHENTIDATE HLDG CORP | COM NEW | 052666203 | — | 12,230 shares | $8,000 |
| AZZ INC | COM | 002474104 | PUT | 200 shares | $8,000 |
| BALLY TECHNOLOGIES INC | COM | 05874B107 | CALL | 100 shares | $8,000 |
| BALTIC TRADING LIMITED | COM | Y0553W103 | — | 2,036 shares | $8,000 |
| BAR HBR BANKSHARES | COM | 066849100 | — | 262 shares | $8,000 |
| BAYLAKE CORP | COM | 072788102 | — | 700 shares | $8,000 |
| BIOCEPT INC | COM | 09072V105 | — | 3,098 shares | $8,000 |
| BIOLASE INC | COM | 090911108 | — | 3,057 shares | $8,000 |
| BLACKROCK MD MUNICIPAL BOND | COM | 09249L105 | — | 548 shares | $8,000 |
| BLACKROCK MUNIYIELD NJ QLTY | COM | 09255A100 | — | 563 shares | $8,000 |
| BLACKROCK MUNIYLD MICH QLTY | COM | 09254W103 | — | 655 shares | $8,000 |
| BOWL AMER INC | CL A | 102565108 | — | 555 shares | $8,000 |
| BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | CALL | 700 shares | $8,000 |
| CARDICA INC | COM | 14141R101 | — | 7,220 shares | $8,000 |
| CHEMBIO DIAGNOSTICS INC | COM NEW | 163572209 | — | 2,122 shares | $8,000 |
| CHICOPEE BANCORP INC | COM | 168565109 | — | 555 shares | $8,000 |
| CHINA XINIYA FASHION LTD | SPONSORED ADR | 16950W105 | — | 11,400 shares | $8,000 |
| CITIZENS HLDG CO MISS | COM | 174715102 | — | 416 shares | $8,000 |
| CONCORD MED SVCS HLDGS LTD | SPONSORED ADR | 206277105 | — | 1,168 shares | $8,000 |
| COUNTRY STYLE COOKING RESTAU | SPONSORED ADR | 22238M109 | — | 1,274 shares | $8,000 |
| CREDIT SUISSE NASSAU BRH | EQL WGT MLP LKD | 22542D852 | — | 224 shares | $8,000 |
| CROSSROADS SYS INC | COM NEW | 22765D209 | — | 2,811 shares | $8,000 |
| CUMBERLAND PHARMACEUTICALS I | COM | 230770109 | — | 1,581 shares | $8,000 |
| CYPRESS ENERGY PARTNERS LP | LTD PARTNER INT | 232751107 | — | 311 shares | $8,000 |
| DEHAIER MEDICAL SYSTEMS LIMI | SHS | G27010100 | — | 1,546 shares | $8,000 |
| DELEK LOGISTICS PARTNERS LP | COM UNT RP INT | 24664T103 | — | 207 shares | $8,000 |
| DENDREON CORP | NOTE 2.875% 1/1 | 24823QAC1 | — | 12,000 principal | $8,000 |
| DEPOMED INC | COM | 249908104 | PUT | 500 shares | $8,000 |
| DIREXION SHS ETF TR | DRX S&P500BULL | 25459W862 | — | 99 shares | $8,000 |
| DIREXION SHS ETF TR | SML CP BULL 2X | 25459Y231 | — | 200 shares | $8,000 |
| DOMINION RES BLACK WARRIOR T | UNITS BEN INT | 25746Q108 | — | 1,068 shares | $8,000 |
| DOVER CORP | COM | 260003108 | PUT | 100 shares | $8,000 |
| EASTMAN KODAK CO | *W EXP 09/03/201 | 277461133 | — | 1,072 shares | $8,000 |
| EMBRAER S A | SP ADR REP 4 COM | 29082A107 | CALL | 200 shares | $8,000 |
| EMPIRE ST RLTY OP L P | UNIT LTD PRTNSP | 292102100 | — | 573 shares | $8,000 |
| EMPLOYERS HOLDINGS INC | COM | 292218104 | — | 391 shares | $8,000 |
| ENPHASE ENERGY INC | COM | 29355A107 | PUT | 500 shares | $8,000 |
| EPIRUS BIOPHARMACEUTICALS IN | COM | 29428P107 | — | 1,112 shares | $8,000 |
| EVOLVING SYS INC | COM NEW | 30049R209 | — | 903 shares | $8,000 |
| FARMLAND PARTNERS INC | COM | 31154R109 | — | 724 shares | $8,000 |
| FEI CO | COM | 30241L109 | CALL | 100 shares | $8,000 |
| FIRST BANCORP N C | COM | 318910106 | — | 502 shares | $8,000 |
| FIRST BANCSHARES INC MS | COM | 318916103 | — | 546 shares | $8,000 |