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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) |
|---|---|---|---|---|---|
| FREESCALE SEMICONDUCTOR LTD | SHS | G3727Q101 | CALL | 400 shares | $8,000 |
| GENTEX CORP | COM | 371901109 | CALL | 300 shares | $8,000 |
| GLOBAL X FDS | NASDQ CHINA TECH | 37950E804 | — | 345 shares | $8,000 |
| GLOBANT S A | COM | L44385109 | — | 551 shares | $8,000 |
| GREAT LAKES DREDGE & DOCK CO | COM | 390607109 | CALL | 1,300 shares | $8,000 |
| GREAT NORTHN IRON ORE PPTYS | CTFS BEN INT | 391064102 | — | 385 shares | $8,000 |
| GS FIN CORP | ETN CLAYMORE37 | 362273104 | — | 460 shares | $8,000 |
| HEADWATERS INC | COM | 42210P102 | — | 648 shares | $8,000 |
| HERSHA HOSPITALITY TR | SH BEN INT A | 427825104 | — | 1,225 shares | $8,000 |
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | — | 1,054 shares | $8,000 |
| HIGHWAY HLDGS LTD | ORD | G4481U106 | — | 2,500 shares | $8,000 |
| HMS HLDGS CORP | COM | 40425J101 | PUT | 400 shares | $8,000 |
| HORSEHEAD HLDG CORP | COM | 440694305 | PUT | 500 shares | $8,000 |
| IDT CORP | CL B NEW | 448947507 | CALL | 500 shares | $8,000 |
| IF BANCORP INC | COM | 44951J105 | — | 495 shares | $8,000 |
| INTERNATIONAL TOWER HILL MIN | COM | 46050R102 | — | 16,838 shares | $8,000 |
| INTREPID POTASH INC | COM | 46121Y102 | CALL | 500 shares | $8,000 |
| INVESCO LTD | SHS | G491BT108 | PUT | 200 shares | $8,000 |
| ISHARES | MSCI SPAN CP ETF | 464286764 | CALL | 200 shares | $8,000 |
| ISSUER DIRECT CORPORATION | COM NEW | 46520M204 | — | 950 shares | $8,000 |
| JONES ENERGY INC | COM CL A | 48019R108 | — | 400 shares | $8,000 |
| K12 INC | COM | 48273U102 | — | 503 shares | $8,000 |
| KEARNY FINL CORP | COM | 487169104 | — | 636 shares | $8,000 |
| KEYW HLDG CORP | COM | 493723100 | — | 757 shares | $8,000 |
| KMG CHEMICALS INC | COM | 482564101 | — | 500 shares | $8,000 |
| KRATON PERFORMANCE POLYMERS | COM | 50077C106 | — | 467 shares | $8,000 |
| LANDAUER INC | COM | 51476K103 | — | 241 shares | $8,000 |
| LANDS END INC NEW | COM | 51509F105 | CALL | 200 shares | $8,000 |
| LEADING BRANDS INC | COM NEW | 52170U207 | — | 1,987 shares | $8,000 |
| LEADING BRANDS INC | COM NEW | 52170U207 | — | 2,100 shares | $8,000 |
| LIONS GATE ENTMT INC | NOTE 3.625% 3/1 | 53626YAA6 | — | 2,000 principal | $8,000 |
| LITHIA MTRS INC | CL A | 536797103 | CALL | 100 shares | $8,000 |
| LOCAL CORP | COM | 53954W104 | — | 3,893 shares | $8,000 |
| MACROGENICS INC | COM | 556099109 | — | 405 shares | $8,000 |
| MANTECH INTL CORP | CL A | 564563104 | CALL | 300 shares | $8,000 |
| M D C HLDGS INC | COM | 552676108 | PUT | 300 shares | $8,000 |
| MERCER INTL INC | COM | 588056101 | CALL | 800 shares | $8,000 |
| MERCHANTS BANCSHARES | COM | 588448100 | — | 284 shares | $8,000 |
| MESABI TR | CTF BEN INT | 590672101 | PUT | 400 shares | $8,000 |
| MFC INDL LTD | COM | 55278T105 | — | 1,138 shares | $8,000 |
| MIDDLEFIELD BANC CORP | COM NEW | 596304204 | — | 242 shares | $8,000 |
| MIDSTATES PETE CO INC | COM | 59804T100 | — | 1,594 shares | $8,000 |
| M/I HOMES INC | COM | 55305B101 | — | 419 shares | $8,000 |
| MITCHAM INDS INC | COM | 606501104 | CALL | 700 shares | $8,000 |
| MITEK SYS INC | COM NEW | 606710200 | — | 3,500 shares | $8,000 |
| MITEL NETWORKS CORP | COM | 60671Q104 | — | 843 shares | $8,000 |
| NAM TAI PPTY INC | SHS | G63907102 | — | 1,350 shares | $8,000 |
| NATIONAL SEC GROUP INC | COM | 637546102 | — | 647 shares | $8,000 |
| NAUTILUS INC | COM | 63910B102 | — | 679 shares | $8,000 |
| NEOVASC INC | COM | 64065J106 | — | 1,369 shares | $8,000 |
| NL INDS INC | COM NEW | 629156407 | — | 1,111 shares | $8,000 |
| NORTHEAST BANCORP | COM NEW | 663904209 | — | 834 shares | $8,000 |
| NUTRACEUTICAL INTL CORP | COM | 67060Y101 | — | 400 shares | $8,000 |
| NUVEEN QUALITY MUN FD INC | COM | 67062N103 | — | 618 shares | $8,000 |
| OCEAN PWR TECHNOLOGIES INC | COM NEW | 674870308 | — | 7,017 shares | $8,000 |
| ON ASSIGNMENT INC | COM | 682159108 | CALL | 300 shares | $8,000 |
| OPHTHOTECH CORP | COM | 683745103 | — | 199 shares | $8,000 |
| ORBITAL SCIENCES CORP | COM | 685564106 | PUT | 300 shares | $8,000 |
| OVASCIENCE INC | COM | 69014Q101 | — | 509 shares | $8,000 |
| PARTNER COMMUNICATIONS CO LT | ADR | 70211M109 | — | 1,160 shares | $8,000 |
| PERCEPTRON INC | COM | 71361F100 | — | 821 shares | $8,000 |
| PERFECT WORLD CO LTD | SPON ADR REP B | 71372U104 | — | 381 shares | $8,000 |
| PERFORMANT FINL CORP | COM | 71377E105 | — | 1,000 shares | $8,000 |
| PLEXUS CORP | COM | 729132100 | — | 222 shares | $8,000 |
| POWERSHS DB MULTI SECT COMM | DB PREC MTLS | 73936B200 | CALL | 200 shares | $8,000 |
| PRIMA BIOMED LTD | SPON ADR LVL II | 74154B203 | — | 8,039 shares | $8,000 |
| PROSHARES TR | PSHS ULTRUSS2000 | 74347R842 | CALL | 100 shares | $8,000 |
| PROSHARES TR | ULTRA FNCLS NEW | 74347X633 | — | 60 shares | $8,000 |
| PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | CALL | 100 shares | $8,000 |
| PZENA INVESTMENT MGMT INC | CLASS A | 74731Q103 | — | 875 shares | $8,000 |
| QUINSTREET INC | COM | 74874Q100 | — | 2,000 shares | $8,000 |
| RADIO ONE INC | CL D NON VTG | 75040P405 | — | 2,553 shares | $8,000 |
| REEDS INC | COM | 758338107 | — | 1,288 shares | $8,000 |
| REGAL ENTMT GROUP | CL A | 758766109 | CALL | 400 shares | $8,000 |
| REMY INTL INC | COM | 759663107 | — | 384 shares | $8,000 |
| RESTORATION HARDWARE HLDGS I | COM | 761283100 | PUT | 100 shares | $8,000 |
| RETAILMENOT INC | COM SER 1 | 76132B106 | PUT | 500 shares | $8,000 |
| RLI CORP | COM | 749607107 | — | 178 shares | $8,000 |
| ROCKWOOD HLDGS INC | COM | 774415103 | CALL | 100 shares | $8,000 |
| ROSS STORES INC | COM | 778296103 | CALL | 100 shares | $8,000 |
| SCHMITT INDS INC ORE | COM NEW | 806870200 | — | 2,375 shares | $8,000 |
| SCHNITZER STL INDS | CL A | 806882106 | — | 334 shares | $8,000 |
| SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | CALL | 500 shares | $8,000 |
| SIGA TECHNOLOGIES INC | COM | 826917106 | — | 5,411 shares | $8,000 |
| SILICOM LTD | ORD | M84116108 | — | 280 shares | $8,000 |
| SILVER SPRING NETWORKS INC | COM | 82817Q103 | — | 811 shares | $8,000 |
| SOLARWINDS INC | COM | 83416B109 | CALL | 200 shares | $8,000 |
| SPDR SER TR | SHRT TRSRY ETF | 78468R101 | — | 271 shares | $8,000 |
| SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 848574109 | PUT | 200 shares | $8,000 |
| S & T BANCORP INC | COM | 783859101 | — | 331 shares | $8,000 |
| STERLING CONSTRUCTION CO INC | COM | 859241101 | CALL | 1,100 shares | $8,000 |
| STMICROELECTRONICS N V | NY REGISTRY | 861012102 | — | 1,000 shares | $8,000 |
| STONEGATE MTG CORP | COM | 86181Q300 | — | 603 shares | $8,000 |
| SUPERIOR DRILLING PRODS INC | COM | 868153107 | — | 1,266 shares | $8,000 |
| SUPERNUS PHARMACEUTICALS INC | COM | 868459108 | CALL | 900 shares | $8,000 |
| T2 BIOSYSTEMS INC | COM | 89853L104 | — | 450 shares | $8,000 |
| TAL INTL GROUP INC | COM | 874083108 | PUT | 200 shares | $8,000 |
| TANGOE INC | COM | 87582Y108 | CALL | 600 shares | $8,000 |
| TAYLOR MORRISON HOME CORP | CL A | 87724P106 | PUT | 500 shares | $8,000 |
| TEJON RANCH CO | *W EXP 08/31/201 | 879080133 | — | 3,927 shares | $8,000 |