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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) |
|---|---|---|---|---|---|
| AMBER RD INC | COM | 02318Y108 | — | 102 shares | $2,000 |
| AMC ENTMT HLDGS INC | CL A COM | 00165C104 | PUT | 100 shares | $2,000 |
| AMEDISYS INC | COM | 023436108 | — | 109 shares | $2,000 |
| AMERICAN SHARED HOSPITAL SVC | COM | 029595105 | — | 969 shares | $2,000 |
| AMERICAN VANGUARD CORP | COM | 030371108 | — | 205 shares | $2,000 |
| AMERICAS CAR MART INC | COM | 03062T105 | — | 50 shares | $2,000 |
| AMICUS THERAPEUTICS INC | COM | 03152W109 | PUT | 400 shares | $2,000 |
| ANTARES PHARMA INC | COM | 036642106 | — | 1,000 shares | $2,000 |
| ANTHERA PHARMACEUTICALS INC | COM NEW | 03674U201 | — | 1,251 shares | $2,000 |
| APPLIED MICRO CIRCUITS CORP | COM NEW | 03822W406 | — | 258 shares | $2,000 |
| APRICUS BIOSCIENCES INC | COM | 03832V109 | — | 1,000 shares | $2,000 |
| ASANKO GOLD INC | COM | 04341Y105 | — | 1,000 shares | $2,000 |
| ASCENT SOLAR TECHNOLOGIES IN | COM NEW | 043635309 | — | 686 shares | $2,000 |
| ATLANTIC PWR CORP | COM NEW | 04878Q863 | CALL | 1,000 shares | $2,000 |
| AVIS BUDGET GROUP | NOTE 3.500%10/0 | 053774AB1 | — | 2,000 principal | $2,000 |
| BANCO SANTANDER CHILE NEW | SP ADR REP COM | 05965X109 | — | 100 shares | $2,000 |
| BARCLAYS BK PLC | IPATH METALETN | 06740P338 | — | 50 shares | $2,000 |
| BARCLAYS BK PLC | IPTH ENRGY ETN | 06740P312 | — | 38 shares | $2,000 |
| BEBE STORES INC | COM | 075571109 | — | 1,000 shares | $2,000 |
| BGC PARTNERS INC | CL A | 05541T101 | CALL | 300 shares | $2,000 |
| BG MEDICINE INC | COM | 08861T107 | — | 3,313 shares | $2,000 |
| BIOTIME INC | COM | 09066L105 | — | 737 shares | $2,000 |
| BOOKS-A-MILLION INC | COM | 098570104 | — | 1,354 shares | $2,000 |
| BOSTON PRIVATE FINL HLDGS IN | COM | 101119105 | — | 182 shares | $2,000 |
| BPZ RESOURCES INC | COM | 055639108 | — | 978 shares | $2,000 |
| BRIDGEPOINT ED INC | COM | 10807M105 | CALL | 200 shares | $2,000 |
| BSD MED CORP DEL | COM | 055662100 | PUT | 2,700 shares | $2,000 |
| CAMTEK LTD | ORD | M20791105 | PUT | 500 shares | $2,000 |
| CASTLE BRANDS INC | COM | 148435100 | — | 1,200 shares | $2,000 |
| CBD ENERGY LTD | SHS | Q2145B158 | — | 753 shares | $2,000 |
| CELATOR PHARMACEUTICALS INC | COM | 15089R102 | — | 860 shares | $2,000 |
| CENTRUS ENERGY CORP | CL A | 15643U104 | — | 198 shares | $2,000 |
| CENTRUS ENERGY CORP | CL A | 15643U104 | — | 206 shares | $2,000 |
| CESCA THERAPEUTICS INC | COM | 157131103 | — | 1,304 shares | $2,000 |
| CHINA DIGITAL TV HLDG CO LTD | SPONSORED ADR | 16938G107 | — | 585 shares | $2,000 |
| CHINA GERUI ADV MAT GR LTD | SHS | G21101103 | — | 6,488 shares | $2,000 |
| CHINA SHENGDA PACKAGING GROU | COM | 16950V107 | — | 1,757 shares | $2,000 |
| CHINA XINIYA FASHION LTD | SPONSORED ADR | 16950W105 | — | 2,931 shares | $2,000 |
| CHINA ZENIX AUTO INTL LTD | ADS | 16951E104 | — | 860 shares | $2,000 |
| CITIGROUP INC | *W EXP 01/04/201 | 172967226 | — | 1,614 shares | $2,000 |
| CLEARSIGN COMBUSTION CORP | COM | 185064102 | — | 300 shares | $2,000 |
| CNH INDL N V | SHS | N20944109 | CALL | 300 shares | $2,000 |
| COMMUNITY HEALTH SYS INC NEW | RIGHT 01/27/2016 | 203668116 | — | 67,771 shares | $2,000 |
| COMPUGEN LTD | ORD | M25722105 | PUT | 200 shares | $2,000 |
| COMPUTER TASK GROUP INC | COM | 205477102 | — | 176 shares | $2,000 |
| CONTROL4 CORP | COM | 21240D107 | — | 160 shares | $2,000 |
| CORINTHIAN COLLEGES INC | COM | 218868107 | CALL | 13,700 shares | $2,000 |
| CORVEL CORP | COM | 221006109 | — | 50 shares | $2,000 |
| COTT CORP QUE | COM | 22163N106 | — | 311 shares | $2,000 |
| COUPONS COM INC | COM | 22265J102 | — | 200 shares | $2,000 |
| CRYSTAL ROCK HLDGS INC | COM | 22940F103 | — | 2,277 shares | $2,000 |
| CSS INDS INC | COM | 125906107 | — | 73 shares | $2,000 |
| CYBERARK SOFTWARE LTD | SHS | M2682V108 | — | 50 shares | $2,000 |
| CYNOSURE INC | CL A | 232577205 | CALL | 100 shares | $2,000 |
| DAKOTA PLAINS HLDGS INC | COM | 234255107 | — | 986 shares | $2,000 |
| DAQO NEW ENERGY CORP | SPNSRD ADR NEW | 23703Q203 | — | 48 shares | $2,000 |
| DAWSON GEOPHYSICAL CO | COM | 239359102 | — | 100 shares | $2,000 |
| DENISON MINES CORP | COM | 248356107 | PUT | 2,000 shares | $2,000 |
| DIREXION SHS ETF TR | DLY R/E BEAR3X | 25459Y363 | — | 54 shares | $2,000 |
| DIREXION SHS ETF TR | DLY S&P 500 BEAR | 25459Y371 | — | 100 shares | $2,000 |
| DIVERSIFIED RSTRNT HLDGS INC | COM | 25532M105 | — | 304 shares | $2,000 |
| DLH HLDGS CORP | COM | 23335Q100 | — | 1,085 shares | $2,000 |
| DYNAGAS LNG PARTNERS LP | COM UNIT LTD PT | Y2188B108 | CALL | 100 shares | $2,000 |
| ECLIPSE RES CORP | COM | 27890G100 | PUT | 100 shares | $2,000 |
| EINSTEIN NOAH REST GROUP INC | COM | 28257U104 | — | 80 shares | $2,000 |
| EMPIRE DIST ELEC CO | COM | 291641108 | CALL | 100 shares | $2,000 |
| ENDURO RTY TR | TR UNIT | 29269K100 | PUT | 200 shares | $2,000 |
| ENERGY FUELS INC | COM NEW | 292671708 | — | 289 shares | $2,000 |
| ENERSIS S A | SPONSORED ADR | 29274F104 | CALL | 100 shares | $2,000 |
| ENTEROMEDICS INC | COM NEW | 29365M208 | — | 1,697 shares | $2,000 |
| ENTERTAINMENT GAMING ASIA IN | COM NEW | 29383V206 | — | 2,500 shares | $2,000 |
| ENTREE GOLD INC | COM | 29383G100 | — | 7,732 shares | $2,000 |
| FEDERAL AGRIC MTG CORP | CL A | 313148108 | — | 100 shares | $2,000 |
| FELCOR LODGING TR INC | COM | 31430F101 | — | 188 shares | $2,000 |
| FIBRIA CELULOSE S A | SP ADR REP COM | 31573A109 | — | 187 shares | $2,000 |
| FIRST CTZNS BANC CORP | COM NO PAR | 319459202 | — | 166 shares | $2,000 |
| FIRST FINL BANCORP OH | COM | 320209109 | PUT | 100 shares | $2,000 |
| FIRST FINL CORP IND | COM | 320218100 | — | 55 shares | $2,000 |
| FIRST MARBLEHEAD CORP | COM NEW | 320771207 | — | 700 shares | $2,000 |
| FLEETMATICS GROUP PLC | COM | G35569105 | — | 65 shares | $2,000 |
| FORTUNA SILVER MINES INC | COM | 349915108 | CALL | 400 shares | $2,000 |
| GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | — | 227 shares | $2,000 |
| GENERAL EMPLOYMENT ENTERPRIS | COM | 369730106 | — | 13,340 shares | $2,000 |
| GENERAL MOLY INC | COM | 370373102 | — | 3,060 shares | $2,000 |
| GENETIC TECHNOLOGIES LTD | SPONSORED ADR | 37185R109 | CALL | 3,000 shares | $2,000 |
| GIGAMEDIA LTD | ORD | Y2711Y104 | CALL | 2,500 shares | $2,000 |
| GLADSTONE CAPITAL CORP | COM | 376535100 | CALL | 200 shares | $2,000 |
| GLOBAL X FDS | BRAZIL MID CAP | 37950E788 | — | 200 shares | $2,000 |
| GLOBAL X FDS | FTSE GREECE 20 | 37950E366 | CALL | 100 shares | $2,000 |
| GRAY TELEVISION INC | COM | 389375106 | — | 200 shares | $2,000 |
| GREAT PLAINS ENERGY INC | COM | 391164100 | PUT | 100 shares | $2,000 |
| GSI GROUP INC CDA NEW | COM NEW | 36191C205 | CALL | 200 shares | $2,000 |
| GUANWEI RECYCLING CORP | COM NEW | 400685202 | — | 3,054 shares | $2,000 |
| HANCOCK JOHN PFD INCOME FD | SH BEN INT | 41013W108 | — | 89 shares | $2,000 |
| HARVARD BIOSCIENCE INC | COM | 416906105 | — | 510 shares | $2,000 |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | — | 140 shares | $2,000 |
| HEAT BIOLOGICS INC | COM | 42237K102 | — | 314 shares | $2,000 |
| HECLA MNG CO | COM | 422704106 | PUT | 700 shares | $2,000 |
| HIGHPOWER INTL INC | COM | 43113X101 | PUT | 200 shares | $2,000 |
| HIGHPOWER INTL INC | COM | 43113X101 | — | 200 shares | $2,000 |