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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) |
|---|---|---|---|---|---|
| E HOUSE CHINA HLDGS LTD | ADR | 26852W103 | — | 330 shares | $3,000 |
| EINSTEIN NOAH REST GROUP INC | COM | 28257U104 | — | 166 shares | $3,000 |
| EMPRESAS ICA S A DE CV | SPONS ADR NEW | 292448206 | — | 437 shares | $3,000 |
| EMULEX CORP | COM NEW | 292475209 | PUT | 600 shares | $3,000 |
| ENVIROSTAR INC | COM | 29414M100 | — | 1,167 shares | $3,000 |
| ENVIVIO INC | COM | 29413T106 | — | 1,595 shares | $3,000 |
| EPR PPTYS | CONV PFD 9% SR E | 26884U307 | — | 100 shares | $3,000 |
| ESPERION THERAPEUTICS INC NE | COM | 29664W105 | — | 113 shares | $3,000 |
| EXFO INC | SUB VTG SHS | 302046107 | — | 723 shares | $3,000 |
| EXPRESS INC | COM | 30219E103 | CALL | 200 shares | $3,000 |
| FELCOR LODGING TR INC | COM | 31430F101 | CALL | 300 shares | $3,000 |
| FELCOR LODGING TR INC | PFD CV A $1.95 | 31430F200 | — | 100 shares | $3,000 |
| FEMALE HEALTH CO | COM | 314462102 | CALL | 800 shares | $3,000 |
| FIRST MARBLEHEAD CORP | COM NEW | 320771207 | — | 958 shares | $3,000 |
| FIRST SEC GROUP INC | COM NEW | 336312202 | — | 1,311 shares | $3,000 |
| FIRST SOUTH BANCORP INC VA | COM | 33646W100 | — | 315 shares | $3,000 |
| FIRST TR EXCHANGE TRADED FD | NAS CLNEDG GREEN | 33733E500 | — | 133 shares | $3,000 |
| FLEXIBLE SOLUTIONS INTL INC | COM | 33938T104 | — | 2,116 shares | $3,000 |
| FLEXSHARES TR | MORNSTAR USMKT | 33939L100 | — | 36 shares | $3,000 |
| FLOTEK INDS INC DEL | COM | 343389102 | PUT | 100 shares | $3,000 |
| FORTEGRA FINL CORP | COM | 34954W104 | — | 260 shares | $3,000 |
| FUEL SYS SOLUTIONS INC | COM | 35952W103 | — | 351 shares | $3,000 |
| GABELLI EQUITY TR INC | RIGHT 10/20/2014 | 362397184 | — | 48,125 shares | $3,000 |
| GALECTIN THERAPEUTICS INC | UNIT 99/99/9999 | 363225301 | — | 254 shares | $3,000 |
| GALECTIN THERAPEUTICS INC | *W EXP 03/28/201 | 363225111 | — | 1,355 shares | $3,000 |
| GENERAL MOLY INC | COM | 370373102 | PUT | 3,400 shares | $3,000 |
| GENIE ENERGY LTD | CL B | 372284208 | — | 448 shares | $3,000 |
| GENVEC INC | COM NEW | 37246C307 | — | 1,355 shares | $3,000 |
| GIGOPTIX INC | COM | 37517Y103 | — | 2,095 shares | $3,000 |
| GLOWPOINT INC | COM NEW | 379887201 | — | 2,389 shares | $3,000 |
| GOOD TIMES RESTAURANTS INC | COM PAR $.001NEW | 382140879 | — | 581 shares | $3,000 |
| GROUPE CGI INC | CL A SUB VTG | 39945C109 | CALL | 100 shares | $3,000 |
| GRUPO TELEVISA SA | SPON ADR REP ORD | 40049J206 | CALL | 100 shares | $3,000 |
| GTX INC DEL | COM | 40052B108 | CALL | 3,500 shares | $3,000 |
| GUIDANCE SOFTWARE INC | COM | 401692108 | CALL | 500 shares | $3,000 |
| GULFMARK OFFSHORE INC | CL A NEW | 402629208 | — | 97 shares | $3,000 |
| GULFMARK OFFSHORE INC | CL A NEW | 402629208 | CALL | 100 shares | $3,000 |
| HAMPTON ROADS BANKSHARES INC | COM NEW | 409321502 | — | 1,712 shares | $3,000 |
| HAMPTON ROADS BANKSHARES INC | COM NEW | 409321502 | — | 2,268 shares | $3,000 |
| HANSEN MEDICAL INC | COM | 411307101 | — | 2,352 shares | $3,000 |
| HARBINGER GROUP INC | COM | 41146A106 | CALL | 200 shares | $3,000 |
| HHGREGG INC | COM | 42833L108 | CALL | 400 shares | $3,000 |
| HHGREGG INC | COM | 42833L108 | — | 500 shares | $3,000 |
| HOUSTON AMERN ENERGY CORP | COM | 44183U100 | — | 9,000 shares | $3,000 |
| HYDROGENICS CORP NEW | COM NEW | 448883207 | CALL | 200 shares | $3,000 |
| I D SYSTEMS INC | COM | 449489103 | — | 384 shares | $3,000 |
| IMAX CORP | COM | 45245E109 | PUT | 100 shares | $3,000 |
| IMPAC MTG HLDGS INC | COM NEW | 45254P508 | — | 440 shares | $3,000 |
| INDEXIQ ETF TR | CAN SML CP ETF | 45409B867 | — | 144 shares | $3,000 |
| INDEXIQ ETF TR | HDG MACTRK ETF | 45409B206 | — | 100 shares | $3,000 |
| INFORMATICA CORP | COM | 45666Q102 | CALL | 100 shares | $3,000 |
| INSULET CORP | COM | 45784P101 | — | 70 shares | $3,000 |
| INTERXION HOLDING N.V | SHS | N47279109 | CALL | 100 shares | $3,000 |
| INTRICON CORP | COM | 46121H109 | — | 536 shares | $3,000 |
| INUVO INC | COM NEW | 46122W204 | — | 2,157 shares | $3,000 |
| ISHARES | EM EAST EURO ETF | 464286566 | — | 130 shares | $3,000 |
| ISHARES | GLB GLD MINR ETF | 464286335 | PUT | 300 shares | $3,000 |
| ISHARES | MSCI CDA ETF | 464286509 | PUT | 100 shares | $3,000 |
| ISHARES | MSCI EMK GRW ETF | 464286467 | — | 50 shares | $3,000 |
| ISHARES | MSCI ITALCPD ETF | 464286855 | PUT | 200 shares | $3,000 |
| ISHARES U S ETF TR | ENH INTL SMCAP | 46431W309 | — | 140 shares | $3,000 |
| ITT EDUCATIONAL SERVICES INC | COM | 45068B109 | CALL | 700 shares | $3,000 |
| IVANHOE ENERGY INC | COM NO PAR | 465790509 | — | 1,610 shares | $3,000 |
| KALOBIOS PHARMACEUTICALS INC | COM | 48344T100 | — | 2,190 shares | $3,000 |
| KCG HLDGS INC | CL A | 48244B100 | PUT | 300 shares | $3,000 |
| KEARNY FINL CORP | COM | 487169104 | — | 200 shares | $3,000 |
| KINGTONE WIRELESSINFO SOL HL | SPONSORED ADR NE | 496880204 | — | 1,122 shares | $3,000 |
| KRANESHARES TR | BOSERA MSCI CH | 500767405 | — | 100 shares | $3,000 |
| KYTHERA BIOPHARMACEUTICALS I | COM | 501570105 | — | 100 shares | $3,000 |
| LABORATORY CORP AMER HLDGS | NOTE 9/1 | 50540RAG7 | — | 2,000 principal | $3,000 |
| LEMAITRE VASCULAR INC | COM | 525558201 | — | 476 shares | $3,000 |
| LIGHTBRIDGE CORP | COM | 53224K104 | — | 1,500 shares | $3,000 |
| LIGHTINTHEBOX HLDG CO LTD | SPONSORED ADR | 53225G102 | CALL | 500 shares | $3,000 |
| LINCOLN EDL SVCS CORP | COM | 533535100 | — | 1,133 shares | $3,000 |
| LRAD CORP | COM | 50213V109 | — | 1,203 shares | $3,000 |
| LUBYS INC | COM | 549282101 | — | 471 shares | $3,000 |
| LUXFER HLDGS PLC | SPONSORED ADR | 550678106 | — | 177 shares | $3,000 |
| MAGIC SOFTWARE ENTERPRISES L | ORD | 559166103 | CALL | 500 shares | $3,000 |
| MAM SOFTWARE GROUP INC | COM NEW | 55277Q201 | — | 617 shares | $3,000 |
| MARKETO INC | COM | 57063L107 | PUT | 100 shares | $3,000 |
| MARKET VECTORS ETF TR | BRAZL SMCP ETF | 57060U613 | CALL | 100 shares | $3,000 |
| MARKET VECTORS ETF TR | MUN BD CLOSED | 57060U332 | — | 134 shares | $3,000 |
| MAXWELL TECHNOLOGIES INC | COM | 577767106 | CALL | 400 shares | $3,000 |
| MEDICAL ACTION INDS INC | COM | 58449L100 | PUT | 200 shares | $3,000 |
| MERCER INTL INC | COM | 588056101 | — | 300 shares | $3,000 |
| MERITOR INC | COM | 59001K100 | CALL | 300 shares | $3,000 |
| MILLER ENERGY RES INC | COM | 600527105 | — | 650 shares | $3,000 |
| MITCHAM INDS INC | COM | 606501104 | PUT | 300 shares | $3,000 |
| MODEL N INC | COM | 607525102 | — | 287 shares | $3,000 |
| MOTORCAR PTS AMER INC | COM | 620071100 | — | 99 shares | $3,000 |
| NATIONAL BANKSHARES INC VA | COM | 634865109 | — | 115 shares | $3,000 |
| NAVISTAR INTL CORP | PFD SR D CONV | 638901306 | — | 326 shares | $3,000 |
| NCR CORP NEW | COM | 62886E108 | PUT | 100 shares | $3,000 |
| NEPTUNE TECHNOLOGIES BIORESO | COM | 64077P108 | CALL | 1,400 shares | $3,000 |
| NEW ENGLAND RLTY ASSOC LTD P | DEPOSITRY RCPT | 644206104 | — | 60 shares | $3,000 |
| NEW YORK CMNTY BANCORP INC | COM | 649445103 | CALL | 200 shares | $3,000 |
| NIPPON TELEG & TEL CORP | SPONSORED ADR | 654624105 | PUT | 100 shares | $3,000 |
| NORANDA ALUM HLDG CORP | COM | 65542W107 | CALL | 600 shares | $3,000 |
| NORD ANGLIA EDUCATION INC | SHS | G6583A102 | — | 175 shares | $3,000 |
| NORTHEAST CMNTY BANCORP INC | COM | 664112109 | — | 409 shares | $3,000 |