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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) |
|---|---|---|---|---|---|
| NOVAGOLD RES INC | NOTE 5.500% 5/0 | 66987EAA5 | — | 3,000 principal | $3,000 |
| NUVEEN QUALITY PFD INCOME FD | COM | 67071S101 | — | 362 shares | $3,000 |
| NUVEEN SHT DUR CR OPP FD | COM | 67074X107 | — | 150 shares | $3,000 |
| NV5 HLDGS INC | COM | 62945V109 | — | 275 shares | $3,000 |
| NXSTAGE MEDICAL INC | COM | 67072V103 | CALL | 200 shares | $3,000 |
| NXT ID INC | COM | 67091J107 | — | 1,010 shares | $3,000 |
| OCEANFIRST FINL CORP | COM | 675234108 | — | 200 shares | $3,000 |
| OCI RES LP | COM UNIT LTD | 67081B106 | — | 119 shares | $3,000 |
| OCLARO INC | COM NEW | 67555N206 | CALL | 1,900 shares | $3,000 |
| OLIN CORP | COM PAR $1 | 680665205 | CALL | 100 shares | $3,000 |
| OMNOVA SOLUTIONS INC | COM | 682129101 | CALL | 500 shares | $3,000 |
| ONCOGENEX PHARMACEUTICALS IN | COM | 68230A106 | CALL | 1,300 shares | $3,000 |
| ONCOGENEX PHARMACEUTICALS IN | COM | 68230A106 | PUT | 1,300 shares | $3,000 |
| ONCOLYTICS BIOTECH INC | COM | 682310107 | CALL | 5,600 shares | $3,000 |
| ONE GAS INC | COM | 68235P108 | CALL | 100 shares | $3,000 |
| ORGANOVO HLDGS INC | COM | 68620A104 | PUT | 400 shares | $3,000 |
| OTTER TAIL CORP | COM | 689648103 | CALL | 100 shares | $3,000 |
| OWENS & MINOR INC NEW | COM | 690732102 | CALL | 100 shares | $3,000 |
| OXFORD RESOURCE PARTNERS LP | COM UNIT RP LP | 691807101 | — | 3,145 shares | $3,000 |
| POPULAR INC | COM NEW | 733174700 | CALL | 100 shares | $3,000 |
| PROLOGIS | NOTE 3.250% 3/1 | 74340XAT8 | — | 3,000 principal | $3,000 |
| PROSHARES TR | PSHS SHTRUSS2000 | 74347R826 | CALL | 200 shares | $3,000 |
| PROSHARES TR | ULSH MSCIEAF NEW | 74348A475 | — | 73 shares | $3,000 |
| PROS HOLDINGS INC | COM | 74346Y103 | — | 100 shares | $3,000 |
| QAD INC | CL B | 74727D207 | — | 206 shares | $3,000 |
| QUEST RESOURCE HLDG CORP | COM | 74836W104 | — | 2,000 shares | $3,000 |
| QUICKLOGIC CORP | COM | 74837P108 | — | 1,073 shares | $3,000 |
| QUICKSILVER RESOURCES INC | COM | 74837R104 | CALL | 5,000 shares | $3,000 |
| QUNAR CAYMAN IS LTD | SPNS ADR CL B | 74906P104 | PUT | 100 shares | $3,000 |
| RADNET INC | COM | 750491102 | PUT | 500 shares | $3,000 |
| RAND LOGISTICS INC | COM | 752182105 | — | 500 shares | $3,000 |
| READING INTERNATIONAL INC | CL A | 755408101 | — | 304 shares | $3,000 |
| REALNETWORKS INC | COM NEW | 75605L708 | PUT | 500 shares | $3,000 |
| RETROPHIN INC | COM | 761299106 | — | 300 shares | $3,000 |
| RIT TECHNOLOGIES LTD | SHS | M8215Q110 | — | 2,079 shares | $3,000 |
| ROBERTS REALTY INVS | COM | 769900101 | — | 3,928 shares | $3,000 |
| ROI ACQUISITION CORP II | UNIT 99/99/9999 | 74966G200 | — | 300 shares | $3,000 |
| RRSAT GLOBAL COMM NTWRK LTD | SHS | M8183P102 | — | 481 shares | $3,000 |
| RSP PERMIAN INC | COM | 74978Q105 | PUT | 100 shares | $3,000 |
| RYERSON HLDG CORP | COM | 783754104 | — | 200 shares | $3,000 |
| SALISBURY BANCORP INC | COM | 795226109 | — | 100 shares | $3,000 |
| SANDRIDGE MISSISSIPPIAN TR I | SH BEN INT | 80007V106 | CALL | 400 shares | $3,000 |
| SCHWAB CHARLES CORP NEW | COM | 808513105 | PUT | 100 shares | $3,000 |
| SHORE BANCSHARES INC | COM | 825107105 | — | 350 shares | $3,000 |
| SKYWEST INC | COM | 830879102 | — | 400 shares | $3,000 |
| SPDR INDEX SHS FDS | MEXICO QUAL MX | 78463X293 | — | 100 shares | $3,000 |
| SPDR INDEX SHS FDS | STH KOR QUALMX | 78463X277 | — | 100 shares | $3,000 |
| SPHERE 3D CORP | COM | 84841Q109 | — | 491 shares | $3,000 |
| SQUARE 1 FINL INC | CL A | 85223W101 | — | 146 shares | $3,000 |
| STAMPS COM INC | COM NEW | 852857200 | PUT | 100 shares | $3,000 |
| STANDARD MTR PRODS INC | COM | 853666105 | CALL | 100 shares | $3,000 |
| STRATUS PPTYS INC | COM NEW | 863167201 | — | 210 shares | $3,000 |
| SYSOREX GLOBAL HLDGS CORP | COM NEW | 87184N203 | — | 738 shares | $3,000 |
| TANDEM DIABETES CARE INC | COM | 875372104 | — | 200 shares | $3,000 |
| TASEKO MINES LTD | COM | 876511106 | — | 1,850 shares | $3,000 |
| TATA MTRS LTD | SPONSORED ADR | 876568502 | — | 60 shares | $3,000 |
| TEARLAB CORP | COM | 878193101 | CALL | 1,000 shares | $3,000 |
| TELUS CORP | COM | 87971M103 | CALL | 100 shares | $3,000 |
| TEXTAINER GROUP HOLDINGS LTD | SHS | G8766E109 | CALL | 100 shares | $3,000 |
| THE9 LTD | ADR | 88337K104 | — | 1,388 shares | $3,000 |
| THERMON GROUP HLDGS INC | COM | 88362T103 | — | 120 shares | $3,000 |
| TIMMINS GOLD CORP | COM | 88741P103 | — | 2,087 shares | $3,000 |
| TIM PARTICIPACOES S A | SPONSORED ADR | 88706P205 | CALL | 100 shares | $3,000 |
| TRAVELZOO INC | COM NEW | 89421Q205 | PUT | 200 shares | $3,000 |
| TREX CO INC | COM | 89531P105 | CALL | 100 shares | $3,000 |
| TRINET GROUP INC | COM | 896288107 | CALL | 100 shares | $3,000 |
| TROVAGENE INC | *W EXP 12/31/201 | 897238119 | — | 849 shares | $3,000 |
| TURKCELL ILETISIM HIZMETLERI | SPON ADR NEW | 900111204 | — | 262 shares | $3,000 |
| TURKISH INVT FD INC | COM | 900145103 | — | 279 shares | $3,000 |
| TURTLE BEACH CORP | COM | 900450107 | — | 414 shares | $3,000 |
| TUTOR PERINI CORP | COM | 901109108 | PUT | 100 shares | $3,000 |
| TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | PUT | 100 shares | $3,000 |
| ULTRALIFE CORP | COM | 903899102 | — | 800 shares | $3,000 |
| UNIFI INC | COM NEW | 904677200 | — | 125 shares | $3,000 |
| UNI PIXEL INC | COM NEW | 904572203 | PUT | 400 shares | $3,000 |
| UNITED STATES ANTIMONY CORP | COM | 911549103 | — | 2,000 shares | $3,000 |
| UNITED STS DIESEL HEATING OI | UNIT | 911783108 | — | 100 shares | $3,000 |
| UNIVERSAL STAINLESS & ALLOY | COM | 913837100 | — | 103 shares | $3,000 |
| UNWIRED PLANET INC NEW | COM | 91531F103 | — | 1,617 shares | $3,000 |
| UR ENERGY INC | COM | 91688R108 | — | 3,200 shares | $3,000 |
| VICAL INC | COM | 925602104 | CALL | 2,800 shares | $3,000 |
| WENDYS CO | COM | 95058W100 | PUT | 400 shares | $3,000 |
| WESCO AIRCRAFT HLDGS INC | COM | 950814103 | CALL | 200 shares | $3,000 |
| WESCO INTL INC | DBCV 6.000% 9/1 | 95082PAH8 | — | 1,000 principal | $3,000 |
| ZBB ENERGY CORPORATION | COM NEW | 98876R303 | — | 6,073 shares | $3,000 |
| 1ST UNITED BANCORP INC FLA | COM | 33740N105 | PUT | 200 shares | $2,000 |
| 22ND CENTY GROUP INC | COM | 90137F103 | CALL | 700 shares | $2,000 |
| A10 NETWORKS INC | COM | 002121101 | CALL | 200 shares | $2,000 |
| ABERCROMBIE & FITCH CO | CL A | 002896207 | — | 60 shares | $2,000 |
| ACURA PHARMACEUTICALS INC | COM NEW | 00509L703 | — | 2,813 shares | $2,000 |
| ADVANCED DRAIN SYS INC DEL | COM | 00790R104 | — | 100 shares | $2,000 |
| ADVAXIS INC | COM NEW | 007624208 | — | 590 shares | $2,000 |
| AEGION CORP | COM | 00770F104 | PUT | 100 shares | $2,000 |
| AGENUS INC | COM NEW | 00847G705 | — | 740 shares | $2,000 |
| AG MTG INVT TR INC | COM | 001228105 | CALL | 100 shares | $2,000 |
| AGRIA CORP | SPONSORED ADR | 00850H103 | — | 1,427 shares | $2,000 |
| AKERS BIOSCIENCES INC | COM | 00973E102 | — | 672 shares | $2,000 |
| ALLIANZGI CONV & INCOME FD | COM | 018828103 | — | 245 shares | $2,000 |
| ALON USA PARTNERS LP | UT LTDPART INT | 02052T109 | PUT | 100 shares | $2,000 |
| ALPHA NATURAL RESOURCES INC | COM | 02076X102 | — | 1,000 shares | $2,000 |