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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) |
|---|---|---|---|---|---|
| HEMISPHERX BIOPHARMA INC | COM | 42366C103 | — | 20,110 shares | $6,000 |
| HOPFED BANCORP INC | COM | 439734104 | — | 520 shares | $6,000 |
| HUTTIG BLDG PRODS INC | COM | 448451104 | — | 1,669 shares | $6,000 |
| IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | CALL | 300 shares | $6,000 |
| INDUSTRIAL SVCS AMER INC FLA | COM | 456314103 | — | 1,010 shares | $6,000 |
| INTERPHASE CORP | COM | 460593106 | — | 2,000 shares | $6,000 |
| ISHARES | INTL DEVPPTY ETF | 464288422 | — | 152 shares | $6,000 |
| ISORAY INC | COM | 46489V104 | — | 3,551 shares | $6,000 |
| JAKKS PAC INC | COM | 47012E106 | — | 810 shares | $6,000 |
| JASON INDS INC | COM | 471172106 | — | 593 shares | $6,000 |
| JINKOSOLAR HLDG CO LTD | SPONSORED ADR | 47759T100 | PUT | 200 shares | $6,000 |
| KING DIGITAL ENTMT PLC | ORD SHS | G5258J109 | — | 450 shares | $6,000 |
| KONGZHONG CORP | SPONSORED ADR | 50047P104 | — | 941 shares | $6,000 |
| LANTRONIX INC | COM NEW | 516548203 | — | 3,281 shares | $6,000 |
| LEARNING TREE INTL INC | COM | 522015106 | — | 2,627 shares | $6,000 |
| LIBERATOR MEDICAL HLDGS INC | COM | 53012L108 | — | 1,894 shares | $6,000 |
| LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | — | 1,013 shares | $6,000 |
| LIBERTY INTERACTIVE CORP | INT COM SER B | 53071M203 | — | 200 shares | $6,000 |
| LNB BANCORP INC | COM | 502100100 | — | 445 shares | $6,000 |
| LOCALSHARES INVT TR | NASHVILLE AREA E | 53957P106 | — | 196 shares | $6,000 |
| MACQUARIE GLBL INFRA TOTL RE | COM | 55608D101 | — | 227 shares | $6,000 |
| MAIN STREET CAPITAL CORP | COM | 56035L104 | PUT | 200 shares | $6,000 |
| MANITEX INTL INC | COM | 563420108 | CALL | 500 shares | $6,000 |
| MARCUS CORP | COM | 566330106 | — | 400 shares | $6,000 |
| MARINEMAX INC | COM | 567908108 | — | 362 shares | $6,000 |
| MARRIOTT VACATIONS WRLDWDE C | COM | 57164Y107 | CALL | 100 shares | $6,000 |
| MARTHA STEWART LIVING OMNIME | CL A | 573083102 | — | 1,531 shares | $6,000 |
| MASTEC INC | COM | 576323109 | PUT | 200 shares | $6,000 |
| MEADOWBROOK INS GROUP INC | COM | 58319P108 | — | 1,050 shares | $6,000 |
| MEETME INC | COM | 585141104 | CALL | 3,100 shares | $6,000 |
| MELA SCIENCES INC | COM NEW | 55277R308 | — | 3,228 shares | $6,000 |
| MERIT MED SYS INC | COM | 589889104 | — | 500 shares | $6,000 |
| MICROCHIP TECHNOLOGY INC | SDCV 2.125%12/1 | 595017AB0 | — | 3,000 principal | $6,000 |
| MILLER HERMAN INC | COM | 600544100 | CALL | 200 shares | $6,000 |
| MINCO GOLD CORPORATION | COM | 60254D108 | — | 15,000 shares | $6,000 |
| MITEK SYS INC | COM NEW | 606710200 | — | 2,374 shares | $6,000 |
| MITEK SYS INC | COM NEW | 606710200 | CALL | 2,600 shares | $6,000 |
| MOBILEIRON INC | COM NEW | 60739U204 | PUT | 500 shares | $6,000 |
| MONARCH CASINO & RESORT INC | COM | 609027107 | — | 500 shares | $6,000 |
| MORGAN STANLEY EMER MKTS DEB | COM | 61744H105 | — | 611 shares | $6,000 |
| NAVIDEA BIOPHARMACEUTICALS I | COM | 63937X103 | — | 4,804 shares | $6,000 |
| NAVIGATOR HOLDINGS LTD | SHS | Y62132108 | CALL | 200 shares | $6,000 |
| NCI INC | CL A | 62886K104 | — | 581 shares | $6,000 |
| NEUROMETRIX INC | COM PAR $0.0001 | 641255302 | — | 3,142 shares | $6,000 |
| NEWBRIDGE BANCORP | CL A NO PAR | 65080T102 | — | 726 shares | $6,000 |
| NEXTERA ENERGY INC | UNIT 09/01/2015 | 65339F887 | — | 100 shares | $6,000 |
| NOVABAY PHARMACEUTICALS INC | COM | 66987P102 | — | 7,420 shares | $6,000 |
| NOVAGOLD RES INC | COM NEW | 66987E206 | PUT | 2,000 shares | $6,000 |
| NTELOS HLDGS CORP | COM NEW | 67020Q305 | CALL | 600 shares | $6,000 |
| NYMOX PHARMACEUTICAL CORP | COM | 67076P102 | — | 1,382 shares | $6,000 |
| OMNICARE INC | COM | 681904108 | CALL | 100 shares | $6,000 |
| OPOWER INC | COM | 68375Y109 | CALL | 300 shares | $6,000 |
| PACCAR INC | COM | 693718108 | PUT | 100 shares | $6,000 |
| PARAMOUNT GOLD & SILVER CORP | COM | 69924P102 | — | 6,400 shares | $6,000 |
| PARKERVISION INC | COM | 701354102 | — | 5,300 shares | $6,000 |
| PAYLOCITY HLDG CORP | COM | 70438V106 | CALL | 300 shares | $6,000 |
| PCM INC | COM | 69323K100 | — | 650 shares | $6,000 |
| PDI INC | COM | 69329V100 | — | 2,359 shares | $6,000 |
| PENDRELL CORP | COM | 70686R104 | — | 4,134 shares | $6,000 |
| PHH CORP | COM NEW | 693320202 | — | 282 shares | $6,000 |
| PIKE CORP | COM | 721283109 | PUT | 500 shares | $6,000 |
| PLATINUM UNDERWRITER HLDGS L | COM | G7127P100 | — | 104 shares | $6,000 |
| PMC-SIERRA INC | COM | 69344F106 | CALL | 800 shares | $6,000 |
| PORTER BANCORP INC | COM | 736233107 | — | 6,185 shares | $6,000 |
| PREMIER EXIBITIONS INC | COM | 74051E102 | — | 8,589 shares | $6,000 |
| PROSHARES TR | 30YR TIPS/TSY | 74348A814 | — | 173 shares | $6,000 |
| PROSHARES TR | ULSH 20YRTRE NEW | 74348A491 | PUT | 100 shares | $6,000 |
| PROSHARES TR | ULT KBW REGBNK | 74347X484 | — | 70 shares | $6,000 |
| PROSHARES TR | ULTPRO SHT MDCP | 74348A392 | — | 125 shares | $6,000 |
| PROSHARES TR | ULTSHT MSCI JAP | 74348A459 | CALL | 100 shares | $6,000 |
| PROSHARES TR II | ULTRA SILVER NEW | 74347W353 | — | 136 shares | $6,000 |
| QKL STORES INC | COM PAR $0.001 | 74732Y303 | — | 2,023 shares | $6,000 |
| QUINTILES TRANSNATIO HLDGS I | COM | 74876Y101 | CALL | 100 shares | $6,000 |
| REDIFF COM INDIA LTD | SPONSORED ADR | 757479100 | CALL | 2,700 shares | $6,000 |
| RELIV INTL INC | COM | 75952R100 | — | 4,629 shares | $6,000 |
| REXNORD CORP NEW | COM | 76169B102 | CALL | 200 shares | $6,000 |
| RHINO RESOURCE PARTNERS LP | COM UNIT REPST | 76218Y103 | CALL | 500 shares | $6,000 |
| RICHMONT MINES INC | COM | 76547T106 | — | 2,857 shares | $6,000 |
| ROCK CREEK PHARMACEUTICALS I | COM | 772081105 | — | 20,400 shares | $6,000 |
| ROCK CREEK PHARMACEUTICALS I | COM | 772081105 | CALL | 20,700 shares | $6,000 |
| ROCKET FUEL INC | COM | 773111109 | PUT | 400 shares | $6,000 |
| ROUNDYS INC | COM | 779268101 | CALL | 2,000 shares | $6,000 |
| ROUSE PPTYS INC | COM | 779287101 | — | 379 shares | $6,000 |
| ROYAL BK OF SCOTLAND PLC | LCAP ALT EXC ETN | 78009P168 | — | 166 shares | $6,000 |
| ROYAL BK SCOTLAND GROUP PLC | SPONS ADR 20 ORD | 780097689 | PUT | 500 shares | $6,000 |
| ROYAL DUTCH SHELL PLC | SPONS ADR A | 780259206 | — | 79 shares | $6,000 |
| SEADRILL PARTNERS LLC | COMUNIT REP LB | Y7545W109 | PUT | 200 shares | $6,000 |
| SEQUENOM INC | COM NEW | 817337405 | CALL | 2,100 shares | $6,000 |
| SFX ENTMT INC | COM | 784178303 | — | 1,121 shares | $6,000 |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | — | 696 shares | $6,000 |
| SIEBERT FINL CORP | COM | 826176109 | — | 2,818 shares | $6,000 |
| SIGA TECHNOLOGIES INC | COM | 826917106 | — | 4,230 shares | $6,000 |
| SIGNAL GENETICS INC | COM | 826640104 | — | 1,285 shares | $6,000 |
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | — | 244 shares | $6,000 |
| SKILLED HEALTHCARE GROUP INC | CL A | 83066R107 | — | 925 shares | $6,000 |
| SMITH MICRO SOFTWARE INC | COM | 832154108 | — | 6,350 shares | $6,000 |
| SOPHIRIS BIO INC | COM NEW | 83578Q209 | — | 2,128 shares | $6,000 |
| SPARTAN MTRS INC | COM | 846819100 | — | 1,200 shares | $6,000 |
| SPDR INDEX SHS FDS | TAIWAN QUAL MX | 78463X228 | — | 100 shares | $6,000 |
| STEALTHGAS INC | SHS | Y81669106 | CALL | 700 shares | $6,000 |