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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) |
|---|---|---|---|---|---|
| WILLBROS GROUP INC DEL | COM | 969203108 | CALL | 500 shares | $4,000 |
| WILLIS GROUP HOLDINGS PUBLIC | SHS | G96666105 | CALL | 100 shares | $4,000 |
| WISDOMTREE TR | BLMBRG FL TRFD | 97717X628 | — | 178 shares | $4,000 |
| WORLD ENERGY SOLUTIONS INC D | COM NEW | 98145W208 | — | 758 shares | $4,000 |
| XOOM CORP | COM | 98419Q101 | CALL | 200 shares | $4,000 |
| XUEDA ED GROUP | SPONSORED ADR | 98418W109 | — | 1,399 shares | $4,000 |
| YANZHOU COAL MNG CO LTD | SPON ADR H SHS | 984846105 | CALL | 500 shares | $4,000 |
| ABERDEEN EMERGING MKTS SMALL | COM | 00301T102 | — | 233 shares | $3,000 |
| ACCO BRANDS CORP | COM | 00081T108 | CALL | 500 shares | $3,000 |
| ACELRX PHARMACEUTICALS INC | COM | 00444T100 | CALL | 500 shares | $3,000 |
| ACORN ENERGY INC | COM | 004848107 | CALL | 1,700 shares | $3,000 |
| ACORN ENERGY INC | COM | 004848107 | — | 1,850 shares | $3,000 |
| ACTIVE POWER INC | COM NEW | 00504W308 | — | 1,488 shares | $3,000 |
| ACXIOM CORP | COM | 005125109 | — | 167 shares | $3,000 |
| ADCARE HEALTH SYSTEMS INC | COM NEW | 00650W300 | — | 700 shares | $3,000 |
| ADVANCED PHOTONIX INC | CL A | 00754E107 | — | 5,700 shares | $3,000 |
| AEGERION PHARMACEUTICALS INC | COM | 00767E102 | PUT | 100 shares | $3,000 |
| AGILE THERAPEUTICS INC | COM | 00847L100 | — | 450 shares | $3,000 |
| A H BELO CORP | COM CL A | 001282102 | — | 320 shares | $3,000 |
| AIR T INC | COM | 009207101 | — | 219 shares | $3,000 |
| ALMADEN MINERALS LTD | COM | 020283107 | — | 2,015 shares | $3,000 |
| ALPS ETF TR | VELOCSHS EMKTS | 00162Q841 | — | 82 shares | $3,000 |
| AMERICAN APPAREL INC | COM | 023850100 | CALL | 3,800 shares | $3,000 |
| AMERICAN EAGLE ENERGY CORP | COM NEW | 02554F300 | — | 834 shares | $3,000 |
| AMERICAN RESIDENTIAL PPTYS I | COM | 02927E303 | — | 150 shares | $3,000 |
| APPLIED MICRO CIRCUITS CORP | COM NEW | 03822W406 | CALL | 400 shares | $3,000 |
| ARBOR RLTY TR INC | COM | 038923108 | PUT | 500 shares | $3,000 |
| ARC GROUP WORLDWIDE INC | COM | 00213H105 | — | 205 shares | $3,000 |
| ARCTIC CAT INC | COM | 039670104 | CALL | 100 shares | $3,000 |
| ARTS WAY MFG INC | COM | 043168103 | — | 600 shares | $3,000 |
| ATHERSYS INC | COM | 04744L106 | — | 2,204 shares | $3,000 |
| ATLANTICUS HLDGS CORP | COM | 04914Y102 | — | 1,840 shares | $3,000 |
| AVINO SILVER & GOLD MINES LT | COM | 053906103 | — | 2,164 shares | $3,000 |
| BARRACUDA NETWORKS INC | COM | 068323104 | CALL | 100 shares | $3,000 |
| BASSETT FURNITURE INDS INC | COM | 070203104 | — | 252 shares | $3,000 |
| BIOSTAR PHARMACEUTICALS INC | COM NEW | 090678202 | — | 2,015 shares | $3,000 |
| BLACK BOX CORP DEL | COM | 091826107 | — | 137 shares | $3,000 |
| BLACKHAWK NETWORK HLDGS INC | CL A | 09238E104 | CALL | 100 shares | $3,000 |
| BLUE NILE INC | COM | 09578R103 | PUT | 100 shares | $3,000 |
| BON-TON STORES INC | COM | 09776J101 | PUT | 400 shares | $3,000 |
| BORDERFREE INC | COM | 09970L100 | — | 206 shares | $3,000 |
| BRAINSTORM CELL THERAPEUTICS | COM NEW | 10501E201 | — | 666 shares | $3,000 |
| BRISTOW GROUP INC | COM | 110394103 | — | 51 shares | $3,000 |
| BROADWIND ENERGY INC | COM NEW | 11161T207 | — | 400 shares | $3,000 |
| CACHE INC | COM NEW | 127150308 | — | 3,805 shares | $3,000 |
| CAESARS ENTMT CORP | COM | 127686103 | CALL | 200 shares | $3,000 |
| CAMBIUM LEARNING GRP INC | COM | 13201A107 | — | 1,840 shares | $3,000 |
| CARVER BANCORP INC | COM NEW | 146875604 | — | 329 shares | $3,000 |
| CBIZ INC | COM | 124805102 | — | 345 shares | $3,000 |
| CENTRAIS ELETRICAS BRASILEIR | SPON ADR PFD B | 15234Q108 | — | 804 shares | $3,000 |
| CERES INC | COM | 156773103 | — | 6,359 shares | $3,000 |
| C & F FINL CORP | COM | 12466Q104 | — | 100 shares | $3,000 |
| CHESAPEAKE ENERGY CORP | NOTE 2.250%12/1 | 165167CB1 | — | 4,000 principal | $3,000 |
| CHINA AUTO LOGISTICS INC | COM NEW | 16936J202 | — | 2,062 shares | $3,000 |
| CHINA AUTOMOTIVE SYS INC | COM | 16936R105 | CALL | 300 shares | $3,000 |
| CHINA RECYCLING ENERGY CORP | COM | 168913101 | — | 2,161 shares | $3,000 |
| CHINA SUNERGY CO LTD | SPONSORED ADR NE | 16942X302 | — | 1,000 shares | $3,000 |
| CHINA TECHFAITH WIRLS COMM T | SPONSORED ADR | 169424108 | — | 2,342 shares | $3,000 |
| CHUYS HLDGS INC | COM | 171604101 | PUT | 100 shares | $3,000 |
| CINEDIGM CORP | COM | 172406100 | — | 2,000 shares | $3,000 |
| C&J ENERGY SVCS INC | COM | 12467B304 | — | 103 shares | $3,000 |
| CLEVELAND BIOLABS INC | COM | 185860103 | — | 7,021 shares | $3,000 |
| CLICKSOFTWARE TECHNOLOGIES L | ORD | M25082104 | CALL | 400 shares | $3,000 |
| COMBIMATRIX CORPORATION | COM NEW | 20009T303 | — | 2,074 shares | $3,000 |
| COMMUNITY HEALTH SYS INC NEW | RIGHT 01/27/2016 | 203668116 | — | 72,932 shares | $3,000 |
| COMPANIA DE MINAS BUENAVENTU | SPONSORED ADR | 204448104 | PUT | 300 shares | $3,000 |
| COMPUGEN LTD | ORD | M25722105 | CALL | 400 shares | $3,000 |
| CONCURRENT COMPUTER CORP NEW | COM PAR $.01 | 206710402 | — | 413 shares | $3,000 |
| CONTROL4 CORP | COM | 21240D107 | CALL | 200 shares | $3,000 |
| CORINTHIAN COLLEGES INC | COM | 218868107 | — | 29,273 shares | $3,000 |
| COSAN LTD | SHS A | G25343107 | — | 274 shares | $3,000 |
| CPFL ENERGIA S A | SPONSORED ADR | 126153105 | PUT | 200 shares | $3,000 |
| CREDIT SUISSE NASSAU BRH | CMDT BCH TOT RET | 22542D472 | — | 178 shares | $3,000 |
| CREDIT SUISSE NASSAU BRH | EXCH NT LKD 31 | 22542D753 | — | 300 shares | $3,000 |
| CSR PLC | SPONSORED ADR | 12640Y205 | — | 58 shares | $3,000 |
| CTC MEDIA INC | COM | 12642X106 | CALL | 400 shares | $3,000 |
| CTI BIOPHARMA CORP | COM | 12648L106 | — | 1,425 shares | $3,000 |
| CVB FINL CORP | COM | 126600105 | — | 204 shares | $3,000 |
| CVENT INC | COM | 23247G109 | CALL | 100 shares | $3,000 |
| CYCLACEL PHARMACEUTICALS INC | COM NEW | 23254L306 | — | 1,000 shares | $3,000 |
| CYTRX CORP | COM PAR $.001 | 232828509 | — | 1,194 shares | $3,000 |
| DATALINK CORP | COM | 237934104 | — | 300 shares | $3,000 |
| DBX ETF TR | INFRSTR REV FD | 233051705 | — | 130 shares | $3,000 |
| DELIA'S INC NEW | COM | 246911101 | — | 10,000 shares | $3,000 |
| DENBURY RES INC | COM NEW | 247916208 | CALL | 200 shares | $3,000 |
| DENDREON CORP | COM | 24823Q107 | CALL | 2,400 shares | $3,000 |
| DEUTSCHE BK AG LONDON | ETN DJ HY 2022 | 25153Q658 | — | 193 shares | $3,000 |
| DEUTSCHE BK AG LONDON BRH | DB 3X SHRT UST | 25154N530 | — | 528 shares | $3,000 |
| DEX MEDIA INC NEW | COM | 25213A107 | — | 296 shares | $3,000 |
| DIAMONDROCK HOSPITALITY CO | COM | 252784301 | — | 244 shares | $3,000 |
| DIGI INTL INC | COM | 253798102 | — | 464 shares | $3,000 |
| DIREXION SHS ETF TR | DLY DEV MKT BULL | 25459W789 | — | 38 shares | $3,000 |
| DIREXION SHS ETF TR | DRX DLYBRZB 3X | 25459Y546 | — | 173 shares | $3,000 |
| DISCOVERY LABORATORIES INC N | COM NEW | 254668403 | CALL | 1,500 shares | $3,000 |
| DORCHESTER MINERALS LP | COM UNIT | 25820R105 | CALL | 100 shares | $3,000 |
| DOVER SADDLERY INC | COM | 260412101 | — | 622 shares | $3,000 |
| DURECT CORP | COM | 266605104 | CALL | 1,800 shares | $3,000 |
| DYNASIL CORP AMER | COM | 268102100 | — | 1,660 shares | $3,000 |
| EAGLE BULK SHIPPING INC | SHS NEW | Y2187A119 | — | 3,225 shares | $3,000 |
| EATON VANCE OH MUNI INCOME T | SH BEN INT | 27826G109 | — | 239 shares | $3,000 |