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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) |
|---|---|---|---|---|---|
| UNITED SECURITY BANCSHARES C | COM | 911460103 | — | 1,223 shares | $7,000 |
| URANERZ ENERGY CORP | COM | 91688T104 | — | 6,011 shares | $7,000 |
| URANIUM ENERGY CORP | COM | 916896103 | CALL | 5,600 shares | $7,000 |
| VIDEO DISPLAY CORP | COM | 926555103 | — | 2,348 shares | $7,000 |
| VIMICRO INTL CORP | ADR | 92718N109 | CALL | 700 shares | $7,000 |
| WESTAR ENERGY INC | COM | 95709T100 | PUT | 200 shares | $7,000 |
| WESTERN ASSET MTG CAP CORP | COM | 95790D105 | CALL | 500 shares | $7,000 |
| WI-LAN INC | COM | 928972108 | — | 2,023 shares | $7,000 |
| WISDOMTREE TR | ASIA PAC EXJP FD | 97717W828 | — | 100 shares | $7,000 |
| WISDOMTREE TR | GLB NAT RES FD | 97717W711 | — | 357 shares | $7,000 |
| WUXI PHARMATECH CAYMAN INC | SPONS ADR SHS | 929352102 | CALL | 200 shares | $7,000 |
| XENCOR INC | COM | 98401F105 | — | 787 shares | $7,000 |
| ZOETIS INC | CL A | 98978V103 | PUT | 200 shares | $7,000 |
| ACCESS MIDSTREAM PARTNERS L | UNIT | 00434L109 | PUT | 100 shares | $6,000 |
| AEGEAN MARINE PETROLEUM NETW | SHS | Y0017S102 | CALL | 700 shares | $6,000 |
| ALBEMARLE CORP | COM | 012653101 | CALL | 100 shares | $6,000 |
| ALEXZA PHARMACEUTICALS INC | COM NEW | 015384209 | — | 2,620 shares | $6,000 |
| ALTO PALERMO S A | SPONSORED ADR | 02151P107 | — | 260 shares | $6,000 |
| AMEDICA CORP | COM | 023435100 | — | 4,000 shares | $6,000 |
| AMERCO | COM | 023586100 | — | 23 shares | $6,000 |
| AMERICAN RLTY INVS INC | COM | 029174109 | — | 1,184 shares | $6,000 |
| AMERICAN SOFTWARE INC | CL A | 029683109 | — | 725 shares | $6,000 |
| ANTHERA PHARMACEUTICALS INC | COM NEW | 03674U201 | — | 3,000 shares | $6,000 |
| ARGO GROUP INTL HLDGS LTD | COM | G0464B107 | — | 126 shares | $6,000 |
| ASHFORD HOSPITALITY TR INC | 9% CUM PFD SER E | 044103505 | — | 204 shares | $6,000 |
| ASHFORD HOSPITALITY TR INC | COM SHS | 044103109 | — | 554 shares | $6,000 |
| AWARE INC MASS | COM | 05453N100 | — | 1,500 shares | $6,000 |
| BACTERIN INTL HLDGS INC | COM NEW | 05644R200 | — | 1,425 shares | $6,000 |
| BALCHEM CORP | COM | 057665200 | CALL | 100 shares | $6,000 |
| BANC CALIF INC | COM | 05990K106 | PUT | 500 shares | $6,000 |
| BANCOLOMBIA S A | SPON ADR PREF | 05968L102 | — | 102 shares | $6,000 |
| BARCLAYS BANK PLC | ETN DJUBSALUMI38 | 06739H321 | — | 334 shares | $6,000 |
| BARCLAYS BK PLC | TRES 5YR BULL | 06740P650 | — | 100 shares | $6,000 |
| BCB BANCORP INC | COM | 055298103 | — | 424 shares | $6,000 |
| BELLATRIX EXPLORATION LTD | COM | 078314101 | PUT | 1,000 shares | $6,000 |
| BLACKROCK NJ MUNICIPAL BOND | COM | 09249A109 | — | 426 shares | $6,000 |
| BLOOMIN BRANDS INC | COM | 094235108 | — | 300 shares | $6,000 |
| BLUCORA INC | COM | 095229100 | CALL | 400 shares | $6,000 |
| BRIGHT HORIZONS FAM SOL IN D | COM | 109194100 | — | 133 shares | $6,000 |
| BROADVISION INC | COM PAR $.001 | 111412706 | — | 691 shares | $6,000 |
| BROADWAY FINL CORP DEL | COM | 111444105 | — | 3,909 shares | $6,000 |
| CAESARS ACQUISITION CO | CL A | 12768T103 | — | 603 shares | $6,000 |
| CAI INTERNATIONAL INC | COM | 12477X106 | — | 300 shares | $6,000 |
| CARRIZO OIL & GAS INC | COM | 144577103 | — | 111 shares | $6,000 |
| CARTESIAN INC | COM | 146534102 | — | 1,606 shares | $6,000 |
| CATALYST PHARM PARTNERS INC | COM | 14888U101 | PUT | 1,900 shares | $6,000 |
| CELESTICA INC | SUB VTG SHS | 15101Q108 | CALL | 600 shares | $6,000 |
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F203 | — | 2,659 shares | $6,000 |
| CELSION CORPORATION | COM PAR $0.01 | 15117N404 | — | 2,191 shares | $6,000 |
| CERNER CORP | COM | 156782104 | PUT | 100 shares | $6,000 |
| CHEGG INC | COM | 163092109 | — | 1,000 shares | $6,000 |
| CHEMOCENTRYX INC | COM | 16383L106 | — | 1,229 shares | $6,000 |
| CHIMERIX INC | COM | 16934W106 | — | 200 shares | $6,000 |
| CHINA BAK BATTERY INC | COM NEW | 16936Y209 | — | 2,144 shares | $6,000 |
| CHINA DISTANCE ED HLDGS LTD | SPONS ADR | 16944W104 | — | 450 shares | $6,000 |
| CHINA NEW BORUN CORP | ADR | 16890T105 | — | 3,583 shares | $6,000 |
| CHINA SUNERGY CO LTD | SPONSORED ADR NE | 16942X302 | — | 1,927 shares | $6,000 |
| CHINA UNICOM (HONG KONG) LTD | SPONSORED ADR | 16945R104 | CALL | 400 shares | $6,000 |
| CITIZENS FIRST CORP | COM | 17462Q107 | — | 569 shares | $6,000 |
| CIVITAS SOLUTIONS INC | COM | 17887R102 | — | 400 shares | $6,000 |
| CLICKSOFTWARE TECHNOLOGIES L | ORD | M25082104 | — | 737 shares | $6,000 |
| CLUBCORP HLDGS INC | COM | 18948M108 | CALL | 300 shares | $6,000 |
| CONTINENTAL BLDG PRODS INC | COM | 211171103 | — | 403 shares | $6,000 |
| CONTROL4 CORP | COM | 21240D107 | PUT | 500 shares | $6,000 |
| COVER-ALL TECHNOLOGIES INC | COM | 222892101 | — | 4,974 shares | $6,000 |
| COWEN GROUP INC NEW | CL A | 223622101 | CALL | 1,600 shares | $6,000 |
| CTI INDUSTRIES CORP | COM NEW | 125961300 | — | 1,470 shares | $6,000 |
| CYTRX CORP | COM PAR $.001 | 232828509 | PUT | 2,300 shares | $6,000 |
| DAKTRONICS INC | COM | 234264109 | CALL | 500 shares | $6,000 |
| DANAOS CORPORATION | SHS | Y1968P105 | — | 1,233 shares | $6,000 |
| DAXOR CORP | COM | 239467103 | — | 905 shares | $6,000 |
| DIGI INTL INC | COM | 253798102 | — | 766 shares | $6,000 |
| DIREXION SHS ETF TR | NAT GS BULL 3X | 25459W227 | — | 254 shares | $6,000 |
| DISCOVERY LABORATORIES INC N | COM NEW | 254668403 | — | 3,174 shares | $6,000 |
| DOCUMENT SEC SYS INC | COM | 25614T101 | CALL | 7,000 shares | $6,000 |
| EASTMAN KODAK CO | *W EXP 09/03/201 | 277461141 | — | 1,181 shares | $6,000 |
| EATON VANCE CALIF MUN BD FD | COM | 27828C106 | — | 500 shares | $6,000 |
| ECA MARCELLUS TR I | COM UNIT | 26827L109 | CALL | 1,100 shares | $6,000 |
| EDUCATION MGMT CORP NEW | COM | 28140M103 | — | 5,478 shares | $6,000 |
| EGALET CORP | COM | 28226B104 | — | 1,066 shares | $6,000 |
| EMAGIN CORP | COM NEW | 29076N206 | — | 2,700 shares | $6,000 |
| EMMIS COMMUNICATIONS CORP | CL A | 291525103 | — | 3,037 shares | $6,000 |
| ENTROPIC COMMUNICATIONS INC | COM | 29384R105 | — | 2,261 shares | $6,000 |
| ESCALERA RES CO | COM | 296064108 | — | 3,179 shares | $6,000 |
| EURO TECH HOLDINGS CO LTD | SHS NEW | G32030127 | — | 1,660 shares | $6,000 |
| EXACT SCIENCES CORP | COM | 30063P105 | PUT | 300 shares | $6,000 |
| FEDERATED NATL HLDG CO | COM | 31422T101 | — | 200 shares | $6,000 |
| FIBROCELL SCIENCE INC | COM NEW | 315721209 | — | 1,976 shares | $6,000 |
| FIRSTSERVICE CORP | SUB VTG SH | 33761N109 | — | 109 shares | $6,000 |
| FIRST TR ISE GLBL PLAT INDX | COM | 33737C104 | — | 500 shares | $6,000 |
| FOOT LOCKER INC | COM | 344849104 | PUT | 100 shares | $6,000 |
| FOREST OIL CORP | COM PAR $0.01 | 346091705 | — | 4,755 shares | $6,000 |
| FOREST OIL CORP | COM PAR $0.01 | 346091705 | — | 4,882 shares | $6,000 |
| GASLOG PARTNERS LP | UNIT LTD PTNRP | Y2687W108 | — | 202 shares | $6,000 |
| GERON CORP | COM | 374163103 | — | 2,823 shares | $6,000 |
| GSV CAP CORP | COM | 36191J101 | PUT | 600 shares | $6,000 |
| GWG HLDGS INC | COM | 36192A109 | — | 632 shares | $6,000 |
| HALLIBURTON CO | COM | 406216101 | PUT | 100 shares | $6,000 |
| HARVEST CAP CR CORP | COM | 41753F109 | — | 463 shares | $6,000 |
| HEALTH CARE REIT INC | PFD PER CON I | 42217K601 | — | 100 shares | $6,000 |