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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
  1. SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares: $5,234,289,000
  2. SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares · PUT: $2,805,798,000
  3. UBS AG · SHS NEW · H89231338 · shares: $1,708,821,000
  4. APPLE INC · COM · 037833100 · shares: $1,698,006,000
  5. MICROSOFT CORP · COM · 594918104 · shares: $1,309,238,000
  6. JOHNSON & JOHNSON · COM · 478160104 · shares: $1,175,481,000
  7. ISHARES TR · MSCI EMG MKT ETF · 464287234 · shares · PUT: $1,076,819,000
  8. SPDR S&P 500 ETF TR · TR UNIT · 78462F103 · shares · CALL: $1,069,771,000
  9. INTEL CORP · COM · 458140100 · shares: $969,358,000
  10. 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
IssuerClassCUSIPTypeShares / principalReported value (USD)
RLJ ENTMT INCCOM74965F104 — 468 shares $2,000
ROFIN SINAR TECHNOLOGIES INCCOM775043102 CALL 100 shares $2,000
ROSETTA STONE INCCOM777780107 PUT 200 shares $2,000
ROUSE PPTYS INCCOM779287101 — 147 shares $2,000
RUBICON MINERALS CORPCOM780911103 CALL 1,200 shares $2,000
RUBY TUESDAY INCCOM781182100 — 304 shares $2,000
RYDEX ETF TRUSTGUG MSCI EMKT EQ78355W536 — 70 shares $2,000
SAJAN INCCOM NEW79379T202 — 482 shares $2,000
SALIENT MIDSTREAM & MLP FDSH BEN INT79471V105 — 70 shares $2,000
SCIQUEST INC NEWCOM80908T101 — 109 shares $2,000
SCORPIO TANKERS INCSHSY7542C106 PUT 200 shares $2,000
SELECTIVE INS GROUP INCCOM816300107 — 72 shares $2,000
SEMILEDS CORPCOM816645105 — 4,315 shares $2,000
SENOMYX INCCOM81724Q107 CALL 200 shares $2,000
SHENANDOAH TELECOMMUNICATIONCOM82312B106 — 70 shares $2,000
SIFY TECHNOLOGIES LIMITEDSPONSORED ADR82655M107 CALL 800 shares $2,000
SIGMA DESIGNS INCCOM826565103 — 407 shares $2,000
SILICON IMAGE INCCOM82705T102 — 450 shares $2,000
SILVERCREST MINES INCCOM828365106 — 1,086 shares $2,000
SILVER SPRING NETWORKS INCCOM82817Q103 PUT 200 shares $2,000
SINOCOKING COAL & COKE CH INCOM829357102 PUT 500 shares $2,000
SOLITARIO EXPL & RTY CORPCOM8342EP107 — 2,033 shares $2,000
SORRENTO THERAPEUTICS INCCOM NEW83587F202 — 445 shares $2,000
SORRENTO THERAPEUTICS INCCOM NEW83587F202 — 551 shares $2,000
STAG INDL INCCOM85254J102 CALL 100 shares $2,000
SUFFOLK BANCORPCOM864739107 — 116 shares $2,000
SUN HYDRAULICS CORPCOM866942105 — 57 shares $2,000
SUNSTONE HOTEL INVS INC NEWCOM867892101 — 169 shares $2,000
SUTOR TECH GROUP LTDCOM869362103 — 2,392 shares $2,000
SWEDISH EXPT CR CORPMLCX GRN ETN23870297215 — 545 shares $2,000
S&W SEED COCOM785135104 — 500 shares $2,000
SYNOVUS FINL CORPCOM NEW87161C501 CALL 100 shares $2,000
TECHNICAL COMMUNICATIONS CORCOM878409101 — 577 shares $2,000
TELECOMMUNICATION SYS INCCL A87929J103 — 651 shares $2,000
TEREX CORP NEWNOTE 4.000% 6/0880779AV5 — 1,000 principal $2,000
TETRA TECHNOLOGIES INC DELCOM88162F105 — 154 shares $2,000
THERAPEUTICSMD INCCOM88338N107 PUT 400 shares $2,000
THRESHOLD PHARMACEUTICAL INCCOM NEW885807206 PUT 500 shares $2,000
TILLYS INCCL A886885102 — 200 shares $2,000
TOKAI PHARMACEUTICALS INCCOM88907J107 — 150 shares $2,000
TORNIER N VSHSN87237108 — 100 shares $2,000
TRADE STR RESIDENTIAL INCCOM NEW89255N203 — 210 shares $2,000
TREMOR VIDEO INCCOM89484Q100 — 672 shares $2,000
TUMI HLDGS INCCOM89969Q104 CALL 100 shares $2,000
USA TECHNOLOGIES INCCOM NO PAR90328S500 — 1,000 shares $2,000
U S ENERGY CORP WYOCOM911805109 — 501 shares $2,000
U S PHYSICAL THERAPY INCCOM90337L108 — 45 shares $2,000
VANTAGE DRILLING COMPANYORD SHSG93205113 — 1,400 shares $2,000
VIOLIN MEMORY INCCOM92763A101 CALL 500 shares $2,000
VIRTUALSCOPICS INCCOM NEW928269208 — 430 shares $2,000
VOYA RISK MANAGED NAT RES FDCOM92913C106 — 186 shares $2,000
WESTERN ASSET INCOME FDCOM95766T100 — 178 shares $2,000
WESTERN ASSET MTG DEF OPPTYCOM95790B109 — 98 shares $2,000
W & T OFFSHORE INCCOM92922P106 PUT 200 shares $2,000
XINYUAN REAL ESTATE CO LTDSPONS ADR98417P105 PUT 700 shares $2,000
XOOM CORPCOM98419Q101 — 100 shares $2,000
XUNLEI LTDSPONSORED ADR98419E108 — 179 shares $2,000
YANZHOU COAL MNG CO LTDSPON ADR H SHS984846105 — 272 shares $2,000
YINGLI GREEN ENERGY HLDG COADR98584B103 PUT 800 shares $2,000
ZAGG INCCOM98884U108 CALL 400 shares $2,000
ZEP INCCOM98944B108 — 143 shares $2,000
ZION OIL & GAS INCCOM989696109 — 984 shares $2,000
1347 CAP CORPCOM68245V103 — 100 shares $1,000
ABERDEEN SINGAPORE FD INCCOM003244100 — 108 shares $1,000
ADEPT TECHNOLOGY INCCOM NEW006854202 CALL 100 shares $1,000
ADTRAN INCCOM00738A106 — 52 shares $1,000
ADVAXIS INCCOM NEW007624208 — 320 shares $1,000
ALLIED HEALTHCARE PRODS INCCOM019222108 — 446 shares $1,000
ALLIQUA INCCOM NEW019621200 — 228 shares $1,000
ALON USA ENERGY INCCOM020520102 CALL 100 shares $1,000
ALON USA ENERGY INCCOM020520102 — 100 shares $1,000
ALTISOURCE ASSET MGMT CORPCOM02153X108 — 2 shares $1,000
AMAG PHARMACEUTICALS INCCOM00163U106 — 32 shares $1,000
AMBAC FINL GROUP INC*W EXP 04/30/202023139116 — 102 shares $1,000
AMERICAN HOMES 4 RENTCL A02665T306 — 61 shares $1,000
ARMCO METALS HLDGS INCCOM042182105 — 4,000 shares $1,000
ARMOUR RESIDENTIAL REIT INCCOM042315101 PUT 300 shares $1,000
AROTECH CORPCOM NEW042682203 — 200 shares $1,000
ARQULE INCCOM04269E107 — 1,000 shares $1,000
ASURE SOFTWARE INCCOM04649U102 — 292 shares $1,000
ATLATSA RES CORPCOM049477102 — 3,992 shares $1,000
AUDIENCE INCCOM05070J102 CALL 100 shares $1,000
AVEO PHARMACEUTICALS INCCOM053588109 — 1,000 shares $1,000
BALLANTYNE STRONG INCCOM058516105 — 250 shares $1,000
BALLARD PWR SYS INC NEWCOM058586108 — 250 shares $1,000
BARCLAYS BK PLCRUSS1000 3X LG06740P205 — 6 shares $1,000
BEAZER HOMES USA INCUNIT 99/99/999907556Q709 — 50 shares $1,000
BIG 5 SPORTING GOODS CORPCOM08915P101 PUT 100 shares $1,000
BIOAMBER INC*W EXP 05/09/20109072Q114 — 400 shares $1,000
BIODEL INCCOM NEW09064M204 — 871 shares $1,000
BIOLASE INCCOM090911108 CALL 200 shares $1,000
BIOLINERX LTDSPONSORED ADR09071M106 — 624 shares $1,000
BIOTELEMETRY INCCOM090672106 CALL 100 shares $1,000
BIRNER DENTAL MGMT SERVICESCOM NEW091283200 — 31 shares $1,000
BLACKROCK MUNI 2018 TERM TRCOM09248C106 — 90 shares $1,000
BLUEBIRD BIO INCCOM09609G100 — 24 shares $1,000
BRAVO BRIO RESTAURANT GROUPCOM10567B109 — 74 shares $1,000
BREEZE EASTERN CORPCOM106764103 — 55 shares $1,000
BRIDGELINE DIGITAL INCCOM10807Q205 — 2,000 shares $1,000
BROADSOFT INCCOM11133B409 — 50 shares $1,000