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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
  1. SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares: $5,234,289,000
  2. SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares · PUT: $2,805,798,000
  3. UBS AG · SHS NEW · H89231338 · shares: $1,708,821,000
  4. APPLE INC · COM · 037833100 · shares: $1,698,006,000
  5. MICROSOFT CORP · COM · 594918104 · shares: $1,309,238,000
  6. JOHNSON & JOHNSON · COM · 478160104 · shares: $1,175,481,000
  7. ISHARES TR · MSCI EMG MKT ETF · 464287234 · shares · PUT: $1,076,819,000
  8. SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares · CALL: $1,069,771,000
  9. INTEL CORP · COM · 458140100 · shares: $969,358,000
  10. 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
IssuerClassCUSIPTypeShares / principalReported value (USD)
TENGASCO INCCOM NEW88033R205 — 16,266 shares $8,000
TGC INDS INCCOM NEW872417308 — 2,083 shares $8,000
TIMBERLAND BANCORP INCCOM887098101 — 748 shares $8,000
TIMBERLINE RES CORPCOM887133106 — 100,000 shares $8,000
TRAVELCENTERS OF AMERICA LLCCOM894174101 PUT 800 shares $8,000
TRIBUNE PUBG COCOM896082104 — 410 shares $8,000
TUESDAY MORNING CORPCOM NEW899035505 CALL 400 shares $8,000
UMPQUA HLDGS CORPCOM904214103 PUT 500 shares $8,000
UNICO AMERN CORPCOM904607108 — 665 shares $8,000
UNITED INS HLDGS CORPCOM910710102 PUT 500 shares $8,000
UNITED STATIONERS INCCOM913004107 — 220 shares $8,000
UQM TECHNOLOGIES INCCOM903213106 — 5,907 shares $8,000
USA TRUCK INCCOM902925106 — 448 shares $8,000
VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835 CALL 100 shares $8,000
VARIAN MED SYS INCCOM92220P105 CALL 100 shares $8,000
VSE CORPCOM918284100 — 162 shares $8,000
WAVE SYSTEMS CORPCL A PAR $0.01943526400 — 7,651 shares $8,000
WESTBURY BANCORP INCCOM95727P106 — 537 shares $8,000
WESTERN ASSET HIGH INCM FD ICOM95766J102 — 864 shares $8,000
WESTERN GAS EQUITY PARTNERSCOMUNT LTD PT95825R103 — 130 shares $8,000
WESTERN GAS PARTNERS LPCOM UNIT LP IN958254104 CALL 100 shares $8,000
WIX COM LTDSHSM98068105 PUT 500 shares $8,000
XENCOR INCCOM98401F105 — 850 shares $8,000
ZOGENIX INCCOM98978L105 CALL 6,700 shares $8,000
A10 NETWORKS INCCOM002121101 — 732 shares $7,000
AAON INCCOM PAR $0.004000360206 — 430 shares $7,000
ACCURIDE CORP NEWCOM NEW00439T206 CALL 1,800 shares $7,000
ALLIANCE FIBER OPTIC PRODS ICOM NEW018680306 PUT 600 shares $7,000
ALZA CORPSDCV 7/202261WAB5 — 5,000 principal $7,000
AMERICAN SUPERCONDUCTOR CORPCOM030111108 CALL 4,900 shares $7,000
AMERICAN WOODMARK CORPCOM030506109 — 200 shares $7,000
AMERISERV FINL INCCOM03074A102 — 2,000 shares $7,000
ANIKA THERAPEUTICS INCCOM035255108 PUT 200 shares $7,000
APPLIED MICRO CIRCUITS CORPCOM NEW03822W406 — 1,000 shares $7,000
ARC DOCUMENT SOLUTIONS INCCOM00191G103 — 836 shares $7,000
ARM HLDGS PLCSPONSORED ADR042068106 — 160 shares $7,000
ARRHYTHMIA RESH TECHNOLOGY ICOM PAR $0.01042698308 — 1,011 shares $7,000
ASA GOLD AND PRECIOUS MTLS LSHSG3156P103 — 613 shares $7,000
ASTEC INDS INCCOM046224101 — 200 shares $7,000
ASTROTECH CORPCOM046484101 — 2,333 shares $7,000
ATLANTIC AMERN CORPCOM048209100 — 1,828 shares $7,000
AUDIOCODES LTDORDM15342104 — 1,500 shares $7,000
BANC CALIF INCCOM05990K106 — 561 shares $7,000
BARCLAYS BANK PLCETN DJUBS TIN 3806739H198 — 152 shares $7,000
BARRETT BUSINESS SERVICES INCOM068463108 — 165 shares $7,000
BIO PATH HOLDINGS INCCOM09057N102 — 3,330 shares $7,000
BIOTELEMETRY INCCOM090672106 PUT 1,000 shares $7,000
BLACK BOX CORP DELCOM091826107 — 300 shares $7,000
BLOOMIN BRANDS INCCOM094235108 CALL 400 shares $7,000
BNC BANCORPCOM05566T101 — 441 shares $7,000
BOLT TECHNOLOGY CORPCOM097698104 — 322 shares $7,000
BROOKFIELD MTG OPP INC FD INCOM112792106 — 396 shares $7,000
BRYN MAWR BK CORPCOM117665109 — 247 shares $7,000
CAMBRIDGE CAP ACQUISITION COUNIT 03/17/201413215Q205 — 700 shares $7,000
CANADIAN NATL RY COCOM136375102 CALL 100 shares $7,000
CENTRAL FED CORPCOM NEW15346Q202 — 4,948 shares $7,000
CENTRAL GARDEN & PET COCL A NON-VTG153527205 — 887 shares $7,000
CHINA ADVANCED CONSTR MATLSCOM NEW169365202 — 1,869 shares $7,000
CHINA BAK BATTERY INCCOM NEW16936Y209 CALL 2,200 shares $7,000
CHINA FIN ONLINE CO LTDSPONSORED ADR169379104 PUT 1,000 shares $7,000
CHINA NATURAL RESOURCES INCCOMG2110U109 — 2,005 shares $7,000
CHRISTOPHER & BANKS CORPCOM171046105 — 700 shares $7,000
CHURCH & DWIGHT INCCOM171340102 PUT 100 shares $7,000
CHYRONHEGO CORPCOM171607104 — 2,261 shares $7,000
CITIGROUP INC*W EXP 10/28/201172967234 — 200,000 shares $7,000
COMTECH TELECOMMUNICATIONS CCOM NEW205826209 — 187 shares $7,000
CROSS CTRY HEALTHCARE INCCOM227483104 — 700 shares $7,000
CUMBERLAND PHARMACEUTICALS ICOM230770109 — 1,500 shares $7,000
CVR PARTNERS LPCOM126633106 PUT 500 shares $7,000
DEUTSCHE BK AG LONDON BRHMTLS LNG ETN3825154K825 — 371 shares $7,000
DICERNA PHARMACEUTICALS INCCOM253031108 — 542 shares $7,000
DIREXION SHS ETF TRDLY JR GMNR BEAR25459Y561 CALL 400 shares $7,000
DIREXION SHS ETF TRTL BD MKT BEAR25459Y306 — 204 shares $7,000
DOMINION DIAMOND CORPCOM257287102 — 500 shares $7,000
DOMINION RES BLACK WARRIOR TUNITS BEN INT25746Q108 — 945 shares $7,000
DONEGAL GROUP INCCL B257701300 — 296 shares $7,000
DREW INDS INCCOM NEW26168L205 — 177 shares $7,000
DYNAVAX TECHNOLOGIES CORPCOM268158102 — 4,961 shares $7,000
EATON VANCE N J MUN BD FDCOM27828R103 — 594 shares $7,000
EBIX INCCOM NEW278715206 CALL 500 shares $7,000
ECA MARCELLUS TR ICOM UNIT26827L109 — 1,250 shares $7,000
ECHO GLOBAL LOGISTICS INCCOM27875T101 — 312 shares $7,000
EL POLLO LOCO HLDGS INCCOM268603107 — 184 shares $7,000
EP ENERGY CORPCL A268785102 — 405 shares $7,000
EQUIFAX INCCOM294429105 CALL 100 shares $7,000
EXAMWORKS GROUP INCCOM30066A105 CALL 200 shares $7,000
FBR & COCOM NEW30247C400 — 246 shares $7,000
FIRST BANCORP N CCOM318910106 — 450 shares $7,000
FIRST TR EXCHANGE TRADED FDCBOE S&P500VIX33733E609 — 284 shares $7,000
FIRST TR EXCHANGE TRADED FDINCOME INDEX FD33738R209 — 323 shares $7,000
FLUOR CORP NEWNOTE 1.500% 2/1343412AA0 — 3,000 principal $7,000
FORD MTR CO DELNOTE 4.250%11/1345370CN8 — 4,000 principal $7,000
FORT DEARBORN INCOME SECS INCOM347200107 — 500 shares $7,000
FORWARD INDS INC N YCOM NEW349862300 — 5,204 shares $7,000
FRANCESCAS HLDGS CORPCOM351793104 — 500 shares $7,000
FUTUREFUEL CORPORATIONCOM36116M106 CALL 600 shares $7,000
FX ENERGY INC9.25% PFD SER B302695309 — 268 shares $7,000
GAIAM INCCL A36268Q103 — 927 shares $7,000
GALECTIN THERAPEUTICS INCCOM NEW363225202 — 1,487 shares $7,000
GENERAL MOLY INCCOM370373102 — 10,000 shares $7,000