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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) |
|---|---|---|---|---|---|
| QUARTET MERGER CORP | COM | 747717106 | — | 499 shares | $5,000 |
| QUARTET MERGER CORP | UNIT 11/01/2015T | 747717304 | — | 500 shares | $5,000 |
| QUICKSILVER RESOURCES INC | COM | 74837R104 | — | 9,045 shares | $5,000 |
| RADISYS CORP | COM | 750459109 | — | 1,937 shares | $5,000 |
| RALLY SOFTWARE DEV CORP | COM | 751198102 | PUT | 400 shares | $5,000 |
| RAVEN INDS INC | COM | 754212108 | CALL | 200 shares | $5,000 |
| RETAIL OPPORTUNITY INVTS COR | UNIT 10/23/2014 | 76131N200 | — | 286 shares | $5,000 |
| RETAIL OPPORTUNITY INVTS COR | *W EXP 10/23/201 | 76131N119 | — | 1,961 shares | $5,000 |
| RETROPHIN INC | COM | 761299106 | PUT | 500 shares | $5,000 |
| RIO TINTO PLC | SPONSORED ADR | 767204100 | PUT | 100 shares | $5,000 |
| ROFIN SINAR TECHNOLOGIES INC | COM | 775043102 | — | 203 shares | $5,000 |
| ROSETTA GENOMICS LTD | SHS NEW NIS 0.6 | M82183126 | PUT | 1,500 shares | $5,000 |
| RUBICON MINERALS CORP | COM | 780911103 | — | 3,354 shares | $5,000 |
| RUBY TUESDAY INC | COM | 781182100 | — | 832 shares | $5,000 |
| SAFE BULKERS INC | COM | Y7388L103 | CALL | 700 shares | $5,000 |
| SAMSON OIL & GAS LTD | SPON ADR | 796043107 | — | 16,583 shares | $5,000 |
| SARATOGA RES INC TEX | COM | 803521103 | — | 4,586 shares | $5,000 |
| SCANA CORP NEW | COM | 80589M102 | PUT | 100 shares | $5,000 |
| SCANSOURCE INC | COM | 806037107 | — | 140 shares | $5,000 |
| SCHNITZER STL INDS | CL A | 806882106 | CALL | 200 shares | $5,000 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | CALL | 100 shares | $5,000 |
| SCHWAB STRATEGIC TR | US TIPS ETF | 808524870 | — | 100 shares | $5,000 |
| SEARS HOMETOWN & OUTLET STOR | COM | 812362101 | — | 331 shares | $5,000 |
| SELECT COMFORT CORP | COM | 81616X103 | — | 245 shares | $5,000 |
| SELECTICA INC | COM NEW | 816288203 | — | 902 shares | $5,000 |
| SENOMYX INC | COM | 81724Q107 | — | 616 shares | $5,000 |
| SINOVAC BIOTECH LTD | SHS | P8696W104 | — | 1,120 shares | $5,000 |
| SPANISH BROADCASTING SYS INC | CL A NEW | 846425833 | — | 1,213 shares | $5,000 |
| SPAR GROUP INC | COM | 784933103 | — | 3,058 shares | $5,000 |
| SP PLUS CORP | COM | 78469C103 | — | 262 shares | $5,000 |
| STATOIL ASA | SPONSORED ADR | 85771P102 | PUT | 200 shares | $5,000 |
| STEELCASE INC | CL A | 858155203 | PUT | 300 shares | $5,000 |
| STERIS CORP | COM | 859152100 | CALL | 100 shares | $5,000 |
| SWEDISH EXPT CR CORP | RG METAL ETN22 | 870297405 | — | 600 shares | $5,000 |
| TALLGRASS ENERGY PARTNERS LP | COM UNIT | 874697105 | CALL | 100 shares | $5,000 |
| TANDY LEATHER FACTORY INC | COM | 87538X105 | — | 487 shares | $5,000 |
| TARGACEPT INC | COM | 87611R306 | — | 1,861 shares | $5,000 |
| TAYLOR MORRISON HOME CORP | CL A | 87724P106 | CALL | 300 shares | $5,000 |
| TECNOGLASS INC | SHS | G87264100 | — | 423 shares | $5,000 |
| TECUMSEH PRODS CO | COM | 878895309 | — | 1,262 shares | $5,000 |
| TG THERAPEUTICS INC | COM | 88322Q108 | PUT | 500 shares | $5,000 |
| THERAPEUTICSMD INC | COM | 88338N107 | — | 1,000 shares | $5,000 |
| TIMBERLAND BANCORP INC | COM | 887098101 | — | 506 shares | $5,000 |
| TOWN SPORTS INTL HLDGS INC | COM | 89214A102 | CALL | 700 shares | $5,000 |
| TRANSCANADA CORP | COM | 89353D107 | CALL | 100 shares | $5,000 |
| TRI CONTL CORP | COM | 895436103 | — | 238 shares | $5,000 |
| TRINET GROUP INC | COM | 896288107 | PUT | 200 shares | $5,000 |
| TTM TECHNOLOGIES INC | COM | 87305R109 | CALL | 800 shares | $5,000 |
| UNILIFE CORP NEW | COM | 90478E103 | CALL | 2,000 shares | $5,000 |
| UNISYS CORP | COM NEW | 909214306 | PUT | 200 shares | $5,000 |
| URANIUM RES INC | COM PAR$0.001NEW | 916901606 | — | 1,882 shares | $5,000 |
| VIVUS INC | COM | 928551100 | PUT | 1,300 shares | $5,000 |
| VOC ENERGY TR | TR UNIT | 91829B103 | — | 400 shares | $5,000 |
| VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | — | 438 shares | $5,000 |
| WHITING USA TR I | TR UNIT | 966389108 | CALL | 1,700 shares | $5,000 |
| WHITING USA TR I | TR UNIT | 966389108 | PUT | 1,800 shares | $5,000 |
| WISDOMTREE TR | BARCLAYS ZERO | 97717W380 | — | 110 shares | $5,000 |
| WORLD PT TERMS LP | UNIT REP LTD PT | 98159G107 | — | 241 shares | $5,000 |
| XENOPORT INC | COM | 98411C100 | — | 1,000 shares | $5,000 |
| XG TECHNOLOGY INC | COM PAR$.00001 | 98372A309 | — | 2,485 shares | $5,000 |
| AAON INC | COM PAR $0.004 | 000360206 | — | 262 shares | $4,000 |
| AASTROM BIOSCIENCES INC | COM PAR$ | 00253U404 | — | 1,366 shares | $4,000 |
| ABERDEEN INDONESIA FD INC | COM | 00305P106 | — | 411 shares | $4,000 |
| ABRAXAS PETE CORP | COM | 003830106 | PUT | 700 shares | $4,000 |
| ACCURAY INC | COM | 004397105 | CALL | 500 shares | $4,000 |
| ACORN INTL INC | SPON ADR | 004854105 | — | 1,895 shares | $4,000 |
| ADAMS RES & ENERGY INC | COM NEW | 006351308 | — | 100 shares | $4,000 |
| ADDVANTAGE TECHNOLOGIES GP I | COM NEW | 006743306 | — | 1,667 shares | $4,000 |
| AKEBIA THERAPEUTICS INC | COM | 00972D105 | — | 159 shares | $4,000 |
| ALBANY MOLECULAR RESH INC | COM | 012423109 | PUT | 200 shares | $4,000 |
| ALCO STORES INC | COM | 001600105 | — | 1,780 shares | $4,000 |
| ALEXANDER & BALDWIN INC NEW | COM | 014491104 | PUT | 100 shares | $4,000 |
| ALKERMES PLC | SHS | G01767105 | CALL | 100 shares | $4,000 |
| ALPS ETF TR | VELOSH EMASIA | 00162Q825 | — | 102 shares | $4,000 |
| AMERICAN INTL GROUP INC | *W EXP 01/19/202 | 026874156 | — | 151 shares | $4,000 |
| AMERICAN WOODMARK CORP | COM | 030506109 | CALL | 100 shares | $4,000 |
| AMES NATL CORP | COM | 031001100 | — | 200 shares | $4,000 |
| AMYRIS INC | COM | 03236M101 | — | 1,000 shares | $4,000 |
| APRICUS BIOSCIENCES INC | COM | 03832V109 | CALL | 2,500 shares | $4,000 |
| ARCBEST CORP | COM | 03937C105 | CALL | 100 shares | $4,000 |
| ARC LOGISTICS PARTNERS LP | COM UT REP LPN | 03879N101 | — | 145 shares | $4,000 |
| ARM HLDGS PLC | SPONSORED ADR | 042068106 | CALL | 100 shares | $4,000 |
| ASA GOLD AND PRECIOUS MTLS L | SHS | G3156P103 | PUT | 300 shares | $4,000 |
| ASHFORD HOSPITALITY PRIME IN | COM | 044102101 | — | 288 shares | $4,000 |
| ASPEN TECHNOLOGY INC | COM | 045327103 | CALL | 100 shares | $4,000 |
| ATLAS FINANCIAL HOLDINGS INC | SHS NEW | G06207115 | — | 268 shares | $4,000 |
| ATRICURE INC | COM | 04963C209 | — | 250 shares | $4,000 |
| AURICO GOLD INC | COM | 05155C105 | — | 1,151 shares | $4,000 |
| AURICO GOLD INC | COM | 05155C105 | PUT | 1,200 shares | $4,000 |
| AVEO PHARMACEUTICALS INC | COM | 053588109 | CALL | 4,000 shares | $4,000 |
| AVG TECHNOLOGIES N V | SHS | N07831105 | — | 265 shares | $4,000 |
| BACTERIN INTL HLDGS INC | COM NEW | 05644R200 | — | 1,000 shares | $4,000 |
| BEMIS INC | COM | 081437105 | CALL | 100 shares | $4,000 |
| BIO BLAST PHARMA LTD | SHS | M20156101 | — | 498 shares | $4,000 |
| BIOTA PHARMACEUTIALS INC | COM | 090694100 | — | 1,703 shares | $4,000 |
| BLACKBAUD INC | COM | 09227Q100 | — | 108 shares | $4,000 |
| BONA FILM GROUP LTD | SPONSORED ADS | 09777B107 | CALL | 600 shares | $4,000 |
| BOYD GAMING CORP | COM | 103304101 | CALL | 400 shares | $4,000 |
| CALIFORNIA FIRST NTNL BANCOR | COM | 130222102 | — | 289 shares | $4,000 |
| CALIFORNIA WTR SVC GROUP | COM | 130788102 | PUT | 200 shares | $4,000 |