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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) |
|---|---|---|---|---|---|
| EVER GLORY INTL GRP INC | COM NEW | 299766204 | — | 874 shares | $5,000 |
| EZCHIP SEMICONDUCTOR LIMITED | ORD | M4146Y108 | PUT | 200 shares | $5,000 |
| FIESTA RESTAURANT GROUP INC | COM | 31660B101 | PUT | 100 shares | $5,000 |
| FINANCIAL INSTNS INC | COM | 317585404 | — | 237 shares | $5,000 |
| FIRST CAPITAL INC | COM | 31942S104 | — | 194 shares | $5,000 |
| FIRST TR ISE GLBL PLAT INDX | COM | 33737C104 | — | 406 shares | $5,000 |
| FOX FACTORY HLDG CORP | COM | 35138V102 | — | 300 shares | $5,000 |
| FRANKS INTL N V | COM | N33462107 | — | 262 shares | $5,000 |
| GAIN CAP HLDGS INC | COM | 36268W100 | — | 800 shares | $5,000 |
| GENCORP INC | COM | 368682100 | CALL | 300 shares | $5,000 |
| GENERAL MOLY INC | COM | 370373102 | CALL | 7,200 shares | $5,000 |
| GLOBAL X FDS | GLB X SUPERDIV | 37950E549 | CALL | 200 shares | $5,000 |
| GOLDEN STAR RES LTD CDA | COM | 38119T104 | — | 11,186 shares | $5,000 |
| GRAN TIERRA ENERGY INC | COM | 38500T101 | — | 900 shares | $5,000 |
| GREENHAVEN CONT CMDTY INDEX | UNIT BEN INT | 395258106 | — | 200 shares | $5,000 |
| GREENHUNTER RES INC | COM | 39530A104 | — | 3,225 shares | $5,000 |
| GSE SYS INC | COM | 36227K106 | — | 3,000 shares | $5,000 |
| GTX INC DEL | COM | 40052B108 | — | 6,300 shares | $5,000 |
| HAWAIIAN HOLDINGS INC | COM | 419879101 | PUT | 400 shares | $5,000 |
| HDFC BANK LTD | ADR REPS 3 SHS | 40415F101 | CALL | 100 shares | $5,000 |
| HELEN OF TROY CORP LTD | COM | G4388N106 | PUT | 100 shares | $5,000 |
| HERITAGE COMMERCE CORP | COM | 426927109 | — | 578 shares | $5,000 |
| HIGHPOWER INTL INC | COM | 43113X101 | — | 655 shares | $5,000 |
| HUB GROUP INC | CL A | 443320106 | — | 134 shares | $5,000 |
| IMATION CORP | COM | 45245A107 | — | 1,764 shares | $5,000 |
| IMMUCELL CORP | COM PAR $0.10 | 452525306 | — | 962 shares | $5,000 |
| IMMUCELL CORP | COM PAR $0.10 | 452525306 | — | 1,000 shares | $5,000 |
| IMPAC MTG HLDGS INC | COM NEW | 45254P508 | — | 772 shares | $5,000 |
| INTELLIPHARMACEUTICS INTL IN | COM | 458173101 | CALL | 1,500 shares | $5,000 |
| INTERMOLECULAR INC | COM | 45882D109 | — | 2,119 shares | $5,000 |
| INTERNATIONAL TOWER HILL MIN | COM | 46050R102 | — | 10,000 shares | $5,000 |
| INTRALINKS HLDGS INC | COM | 46118H104 | — | 632 shares | $5,000 |
| IPASS INC | COM | 46261V108 | — | 3,025 shares | $5,000 |
| ISHARES TR | CHINA SM-CAP ETF | 46429B200 | — | 110 shares | $5,000 |
| ISHARES TR | UTILITIES BD ETF | 46429B184 | — | 91 shares | $5,000 |
| JACOBS ENGR GROUP INC DEL | COM | 469814107 | PUT | 100 shares | $5,000 |
| JAKKS PAC INC | COM | 47012E106 | PUT | 700 shares | $5,000 |
| JD COM INC | SPON ADR CL A | 47215P106 | PUT | 200 shares | $5,000 |
| KAYNE ANDERSON MDSTM ENERGY | COM | 48661E108 | — | 120 shares | $5,000 |
| LADENBURG THALMAN FIN SVCS I | COM | 50575Q102 | — | 1,232 shares | $5,000 |
| LAKELAND FINL CORP | COM | 511656100 | — | 138 shares | $5,000 |
| LDR HLDG CORP | COM | 50185U105 | — | 154 shares | $5,000 |
| LIBBEY INC | COM | 529898108 | — | 200 shares | $5,000 |
| LIFETIME BRANDS INC | COM | 53222Q103 | — | 337 shares | $5,000 |
| LIQUIDITY SERVICES INC | COM | 53635B107 | — | 377 shares | $5,000 |
| LIVEPERSON INC | COM | 538146101 | PUT | 400 shares | $5,000 |
| LLOYDS BANKING GROUP PLC | SPONSORED ADR | 539439109 | PUT | 1,000 shares | $5,000 |
| LRAD CORP | COM | 50213V109 | — | 2,000 shares | $5,000 |
| MAGNEGAS CORP | COM NEW | 55939L202 | — | 4,502 shares | $5,000 |
| MANITEX INTL INC | COM | 563420108 | — | 446 shares | $5,000 |
| MANNING & NAPIER INC | CL A | 56382Q102 | — | 314 shares | $5,000 |
| MARKET VECTORS ETF TR | INDONESA S CAP | 57060U167 | — | 332 shares | $5,000 |
| MCCLATCHY CO | CL A | 579489105 | CALL | 1,500 shares | $5,000 |
| MEI PHARMA INC | COM NEW | 55279B202 | — | 791 shares | $5,000 |
| MERGEWORTHRX CORP | COM | 58952R106 | — | 625 shares | $5,000 |
| MERIDIAN BIOSCIENCE INC | COM | 589584101 | — | 261 shares | $5,000 |
| MGC DIAGNOSTICS CORP | COM | 552768103 | — | 773 shares | $5,000 |
| MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | — | 500 shares | $5,000 |
| MONEYGRAM INTL INC | COM NEW | 60935Y208 | — | 383 shares | $5,000 |
| MV OIL TR | TR UNITS | 553859109 | — | 209 shares | $5,000 |
| NANOSPHERE INC | COM | 63009F105 | CALL | 8,000 shares | $5,000 |
| NANOSTRING TECHNOLOGIES INC | COM | 63009R109 | — | 500 shares | $5,000 |
| NATIONAL AMERN UNIV HLDGS IN | COM | 63245Q105 | — | 1,592 shares | $5,000 |
| NATIONAL SEC GROUP INC | COM | 637546102 | — | 400 shares | $5,000 |
| NATURAL GAS SERVICES GROUP | COM | 63886Q109 | — | 226 shares | $5,000 |
| NEONODE INC | COM NEW | 64051M402 | CALL | 2,100 shares | $5,000 |
| NEOSTEM INC | COM PAR $.001 | 640650404 | — | 950 shares | $5,000 |
| NEWTEK BUSINESS SVCS INC | COM | 652526104 | — | 1,700 shares | $5,000 |
| NEW YORK REIT INC | COM | 64976L109 | — | 500 shares | $5,000 |
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | CALL | 600 shares | $5,000 |
| NOVATEL WIRELESS INC | COM NEW | 66987M604 | CALL | 1,300 shares | $5,000 |
| NTT DOCOMO INC | SPONS ADR | 62942M201 | CALL | 300 shares | $5,000 |
| NTT DOCOMO INC | SPONS ADR | 62942M201 | PUT | 300 shares | $5,000 |
| NUVEEN GBL INCOME OPPORTUN F | COM | 67073C104 | — | 417 shares | $5,000 |
| NUVEEN MO PREM INCOME MUN FD | COM | 67060Q108 | — | 300 shares | $5,000 |
| OCEAN BIO CHEM INC | COM | 674631106 | — | 1,250 shares | $5,000 |
| OCULUS INNOVATIVE SCIENCES I | COM NEW | 67575P207 | — | 1,930 shares | $5,000 |
| OFG BANCORP | COM | 67103X102 | — | 315 shares | $5,000 |
| ONCOLYTICS BIOTECH INC | COM | 682310107 | — | 8,020 shares | $5,000 |
| ONCOMED PHARMACEUTICALS INC | COM | 68234X102 | — | 277 shares | $5,000 |
| OTONOMY INC | COM | 68906L105 | — | 194 shares | $5,000 |
| PACIFIC DRILLING SA LUXEMBOU | REG SHS | L7257P106 | — | 600 shares | $5,000 |
| PACIFIC PREMIER BANCORP | COM | 69478X105 | — | 345 shares | $5,000 |
| PARKER DRILLING CO | COM | 701081101 | PUT | 1,000 shares | $5,000 |
| PDF SOLUTIONS INC | COM | 693282105 | CALL | 400 shares | $5,000 |
| PERCEPTRON INC | COM | 71361F100 | CALL | 500 shares | $5,000 |
| PFSWEB INC | COM NEW | 717098206 | — | 476 shares | $5,000 |
| PINNACLE WEST CAP CORP | COM | 723484101 | CALL | 100 shares | $5,000 |
| PLURISTEM THERAPEUTICS INC | COM | 72940R102 | — | 1,868 shares | $5,000 |
| POOL CORPORATION | COM | 73278L105 | PUT | 100 shares | $5,000 |
| POPE RES DEL LTD PARTNERSHIP | DEPOSITRY RCPT | 732857107 | — | 70 shares | $5,000 |
| POWER INTEGRATIONS INC | COM | 739276103 | PUT | 100 shares | $5,000 |
| PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | — | 247 shares | $5,000 |
| PRO-DEX INC COLO | COM NEW | 74265M205 | — | 2,385 shares | $5,000 |
| PROFESSIONAL DIVERSITY NET I | COM | 74312Y103 | — | 924 shares | $5,000 |
| PROSHARES TR | PSHS ULT BASMATL | 74347R776 | — | 89 shares | $5,000 |
| PROSHARES TR | PSHS ULT BASMATL | 74347R776 | CALL | 100 shares | $5,000 |
| PROSHARES TR II | ULSHT BLOOMB GAS | 74347W387 | — | 111 shares | $5,000 |
| PULASKI FINL CORP | COM | 745548107 | — | 431 shares | $5,000 |
| QUALSTAR CORP | COM | 74758R109 | — | 4,307 shares | $5,000 |