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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) |
|---|---|---|---|---|---|
| GENIE ENERGY LTD | CL B | 372284208 | CALL | 1,000 shares | $7,000 |
| GIBRALTAR INDS INC | COM | 374689107 | — | 541 shares | $7,000 |
| GLOBAL SOURCES LTD | ORD | G39300101 | — | 1,085 shares | $7,000 |
| GLOBAL X FDS | COPPER MNR ETF | 37950E861 | — | 798 shares | $7,000 |
| GREAT NORTHN IRON ORE PPTYS | CTFS BEN INT | 391064102 | — | 312 shares | $7,000 |
| HARVARD APPARATUS REGENER TE | COM | 41690A106 | — | 887 shares | $7,000 |
| HARVEST NATURAL RESOURCES IN | COM | 41754V103 | PUT | 1,800 shares | $7,000 |
| HCA HOLDINGS INC | COM | 40412C101 | PUT | 100 shares | $7,000 |
| HCI GROUP INC | COM | 40416E103 | PUT | 200 shares | $7,000 |
| HEALTHCARE RLTY TR | COM | 421946104 | CALL | 300 shares | $7,000 |
| HECLA MNG CO | COM | 422704106 | — | 3,000 shares | $7,000 |
| IAC INTERACTIVECORP | COM PAR $.001 | 44919P508 | PUT | 100 shares | $7,000 |
| IMMUNOCELLULAR THERAPEUTICS | COM | 452536105 | CALL | 8,000 shares | $7,000 |
| INDEXIQ ETF TR | AUST SM CP ETF | 45409B826 | — | 400 shares | $7,000 |
| INFINITY PHARMACEUTICALS INC | COM | 45665G303 | — | 500 shares | $7,000 |
| INNSUITES HOSPITALITY TR | SH BEN INT | 457919108 | — | 3,463 shares | $7,000 |
| ISHARES TR | SELECT DIVID ETF | 464287168 | PUT | 100 shares | $7,000 |
| JACK IN THE BOX INC | COM | 466367109 | PUT | 100 shares | $7,000 |
| KORN FERRY INTL | COM NEW | 500643200 | PUT | 300 shares | $7,000 |
| KT CORP | SPONSORED ADR | 48268K101 | — | 462 shares | $7,000 |
| LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | — | 700 shares | $7,000 |
| LIVE NATION ENTERTAINMENT IN | COM | 538034109 | PUT | 300 shares | $7,000 |
| LNB BANCORP INC | COM | 502100100 | — | 515 shares | $7,000 |
| LSB INDS INC | COM | 502160104 | CALL | 200 shares | $7,000 |
| MARINE PETE TR | UNIT BEN INT | 568423107 | — | 435 shares | $7,000 |
| MAST THERAPEUTICS INC | COM | 576314108 | — | 12,711 shares | $7,000 |
| MATTERSIGHT CORP | COM | 577097108 | — | 1,227 shares | $7,000 |
| MEXCO ENERGY CORP | COM | 592770101 | — | 987 shares | $7,000 |
| MICHAELS COS INC | COM | 59408Q106 | CALL | 400 shares | $7,000 |
| MICRONET ENERTEC TECH INC | COM | 595117102 | — | 2,069 shares | $7,000 |
| MOLYCORP INC DEL | NOTE 6.000% 9/0 | 608753AF6 | — | 20,000 principal | $7,000 |
| MOMENTA PHARMACEUTICALS INC | COM | 60877T100 | CALL | 600 shares | $7,000 |
| MUTUALFIRST FINL INC | COM | 62845B104 | — | 294 shares | $7,000 |
| MYOS CORP | COM NEW | 554051201 | — | 477 shares | $7,000 |
| NAM TAI PPTY INC | SHS | G63907102 | CALL | 1,100 shares | $7,000 |
| NATIONAL HEALTHCARE CORP | PFD CONV SER A | 635906209 | — | 477 shares | $7,000 |
| NATIONSTAR MTG HLDGS INC | COM | 63861C109 | — | 209 shares | $7,000 |
| NATURES SUNSHINE PRODUCTS IN | COM | 639027101 | — | 464 shares | $7,000 |
| NEPHROGENEX INC | COM | 640667101 | — | 1,466 shares | $7,000 |
| NEW CONCEPT ENERGY INC | COM | 643611106 | — | 4,616 shares | $7,000 |
| NEWPARK RES INC | NOTE 4.000%10/0 | 651718AC2 | — | 5,000 principal | $7,000 |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 65341B106 | — | 212 shares | $7,000 |
| NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | CALL | 600 shares | $7,000 |
| NORCRAFT COS INC | COM | 65557Y105 | — | 425 shares | $7,000 |
| NORTH ATLANTIC DRILLING LTD | COM | G6613P202 | PUT | 1,000 shares | $7,000 |
| NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | — | 800 shares | $7,000 |
| NUVEEN REAL ESTATE INCOME FD | COM | 67071B108 | — | 638 shares | $7,000 |
| NXP SEMICONDUCTORS N V | COM | N6596X109 | PUT | 100 shares | $7,000 |
| NYMOX PHARMACEUTICAL CORP | COM | 67076P102 | CALL | 1,500 shares | $7,000 |
| O2MICRO INTERNATIONAL LTD | SPONS ADR | 67107W100 | — | 2,553 shares | $7,000 |
| PARKER DRILLING CO | COM | 701081101 | — | 1,400 shares | $7,000 |
| PARKERVISION INC | COM | 701354102 | CALL | 6,500 shares | $7,000 |
| PARKWAY PPTYS INC | COM | 70159Q104 | — | 370 shares | $7,000 |
| PENFORD CORP | COM | 707051108 | — | 494 shares | $7,000 |
| PENSKE AUTOMOTIVE GRP INC | COM | 70959W103 | — | 179 shares | $7,000 |
| PERMIAN BASIN RTY TR | UNIT BEN INT | 714236106 | PUT | 500 shares | $7,000 |
| P & F INDS INC | CL A NEW | 692830508 | — | 849 shares | $7,000 |
| POWERSHARES GLOBAL ETF TRUST | ASIA PAC EX-JP | 73936T854 | — | 137 shares | $7,000 |
| PREMIERE GLOBAL SVCS INC | COM | 740585104 | — | 619 shares | $7,000 |
| PROOFPOINT INC | COM | 743424103 | CALL | 200 shares | $7,000 |
| PROSHARES TR | PSHS ULTRA O&G | 74347R719 | PUT | 100 shares | $7,000 |
| PROSHARES TR | ULTRA 20YR TRE | 74347R172 | CALL | 100 shares | $7,000 |
| PROSHARES TR | ULTRAPRO SH NW14 | 74348A418 | CALL | 200 shares | $7,000 |
| PROSHARES TR | ULTR RUSSL2000 | 74347X799 | PUT | 100 shares | $7,000 |
| PROSHARES TR II | SHT VIX ST TRM | 74347W627 | CALL | 100 shares | $7,000 |
| PROVECTUS BIOPHARMACEUTICALS | COM | 74373P108 | — | 7,140 shares | $7,000 |
| QUEST RARE MINERALS LTD | COM | 74836T101 | — | 46,000 shares | $7,000 |
| RAYONIER ADVANCED MATLS INC | COM | 75508B104 | CALL | 200 shares | $7,000 |
| REALOGY HLDGS CORP | COM | 75605Y106 | PUT | 200 shares | $7,000 |
| RECEPTOS INC | COM | 756207106 | — | 106 shares | $7,000 |
| RED LION HOTELS CORP | COM | 756764106 | — | 1,284 shares | $7,000 |
| RELIANCE STEEL & ALUMINUM CO | COM | 759509102 | CALL | 100 shares | $7,000 |
| RENTECH INC | COM | 760112102 | — | 3,820 shares | $7,000 |
| RETAILMENOT INC | COM SER 1 | 76132B106 | — | 460 shares | $7,000 |
| ROPER INDS INC NEW | FRNT 1/1 | 776696AA4 | — | 4,000 principal | $7,000 |
| RSP PERMIAN INC | COM | 74978Q105 | — | 281 shares | $7,000 |
| RUDOLPH TECHNOLOGIES INC | COM | 781270103 | — | 800 shares | $7,000 |
| RUSH ENTERPRISES INC | CL A | 781846209 | CALL | 200 shares | $7,000 |
| SANDSTORM GOLD LTD | COM NEW | 80013R206 | PUT | 1,700 shares | $7,000 |
| SCHNITZER STL INDS | CL A | 806882106 | PUT | 300 shares | $7,000 |
| SELECT INCOME REIT | COM SH BEN INT | 81618T100 | CALL | 300 shares | $7,000 |
| SIERRA BANCORP | COM | 82620P102 | — | 400 shares | $7,000 |
| SOUND FINL BANCORP INC | COM | 83607A100 | — | 383 shares | $7,000 |
| SOUTHWEST BANCORP INC OKLA | COM | 844767103 | — | 447 shares | $7,000 |
| SPDR INDEX SHS FDS | INTL TECH ETF | 78463X657 | — | 214 shares | $7,000 |
| SPDR SERIES TRUST | S&P DIVID ETF | 78464A763 | PUT | 100 shares | $7,000 |
| STEALTHGAS INC | SHS | Y81669106 | — | 739 shares | $7,000 |
| SUPREME INDS INC | CL A | 868607102 | — | 918 shares | $7,000 |
| SURMODICS INC | COM | 868873100 | CALL | 400 shares | $7,000 |
| SWIFT ENERGY CO | COM | 870738101 | CALL | 700 shares | $7,000 |
| SWS GROUP INC | COM | 78503N107 | — | 1,074 shares | $7,000 |
| TASEKO MINES LTD | COM | 876511106 | CALL | 4,000 shares | $7,000 |
| TEKMIRA PHARMACEUTICALS CORP | COM NEW | 87911B209 | — | 339 shares | $7,000 |
| TFS FINL CORP | COM | 87240R107 | — | 495 shares | $7,000 |
| THL CR SR LN FD | COM | 87244R103 | — | 382 shares | $7,000 |
| TONIX PHARMACEUTICALS HLDG C | COM NEW | 890260201 | — | 1,000 shares | $7,000 |
| TOP IMAGE SYSTEMS LTD | ORD | M87896102 | — | 1,821 shares | $7,000 |
| TREDEGAR CORP | COM | 894650100 | — | 384 shares | $7,000 |
| ULTRAPETROL BAHAMAS LTD | COM | P94398107 | — | 2,386 shares | $7,000 |
| UNITED CMNTY FINL CORP OHIO | COM | 909839102 | — | 1,595 shares | $7,000 |