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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)
BROOKS AUTOMATION INCCOM114340102 — 100 shares $1,000
BSD MED CORP DELCOM055662100 — 2,000 shares $1,000
CACHE INCCOM NEW127150308 — 1,413 shares $1,000
CAPITOL ACQUISITION CORP IICOM14056V105 — 100 shares $1,000
CARBONITE INCCOM141337105 — 100 shares $1,000
CARETRUST REIT INCCOM14174T107 — 77 shares $1,000
CASCADE BANCORPCOM NEW147154207 — 227 shares $1,000
CATALYST PHARM PARTNERS INCCOM14888U101 CALL 300 shares $1,000
CEVA INCCOM157210105 PUT 100 shares $1,000
CHANTICLEER HLDGS INC*W EXP 06/11/20115930P131 — 3,000 shares $1,000
CHART ACQUISITION CORPUNIT 99/99/9999161151204 — 800 shares $1,000
CHESAPEAKE GRANITE WASH TRCOM SH BEN INT165185109 CALL 100 shares $1,000
CHINA FIN ONLINE CO LTDSPONSORED ADR169379104 — 100 shares $1,000
CHINA GERUI ADV MAT GR LTDSHSG21101103 — 1,600 shares $1,000
CHINA MING YANG WIND PWR GROSPONSORED ADR16951C108 CALL 300 shares $1,000
CHINA NEW BORUN CORPADR16890T105 — 500 shares $1,000
CHINA SUNERGY CO LTDSPONSORED ADR NE16942X302 CALL 200 shares $1,000
CHINA YIDA HOLDINGS COCOM PAR $0.000116945D303 — 321 shares $1,000
CIBER INCCOM17163B102 — 150 shares $1,000
CKX LANDS INCCOM12562N104 — 93 shares $1,000
CLEAN DIESEL TECHNOLOGIES INCOM PAR $.0118449C401 — 350 shares $1,000
CLEVELAND BIOLABS INCCOM185860103 — 2,800 shares $1,000
COMMAND SEC CORPCOM20050L100 — 500 shares $1,000
COMPANHIA SIDERURGICA NACIONSPONSORED ADR20440W105 — 300 shares $1,000
COMSTOCK MNG INCCOM205750102 — 558 shares $1,000
COMSTOCK MNG INCCOM205750102 — 982 shares $1,000
CONSUMER PORTFOLIO SVCS INCCOM210502100 — 157 shares $1,000
CORMEDIX INC*W EXP 03/24/20121900C118 — 2,828 shares $1,000
CORP RES SVCS INCCOM22004Y105 — 335 shares $1,000
COSI INCCOM NEW22122P200 — 625 shares $1,000
COTY INCCOM CL A222070203 — 37 shares $1,000
CRAY INCCOM NEW225223304 — 50 shares $1,000
CROWN CRAFTS INCCOM228309100 — 181 shares $1,000
CSP INCCOM126389105 — 159 shares $1,000
CUBIST PHARMACEUTICALS INCRIGHT 99/99/9999229678123 — 4,139 shares $1,000
CULLEN FROST BANKERS INCCOM229899109 — 13 shares $1,000
CYTOKINETICS INCCOM NEW23282W605 CALL 300 shares $1,000
CYTOKINETICS INCCOM NEW23282W605 PUT 400 shares $1,000
CYTRX CORPCOM PAR $.001232828509 — 355 shares $1,000
DBX ETF TRALL CHINA EQT233051762 — 38 shares $1,000
DELCATH SYS INCCOM NEW24661P401 — 305 shares $1,000
DEUTSCHE BK AG LONDON BRHPS MTL DDL ETN25154K858 — 66 shares $1,000
DEVELOPERS DIVERSIFIED RLTYNOTE 1.750%11/1251591AX1 — 1,000 principal $1,000
DGSE COMPANIES INCCOM23323G106 — 944 shares $1,000
DIANA SHIPPING INCCOMY2066G104 PUT 100 shares $1,000
DIGITAL ALLY INCCOM NEW25382P208 — 50 shares $1,000
DIREXION SHS ETF TRDAILY GOLD MINER25459Y389 — 50 shares $1,000
DIREXION SHS ETF TRDLY EMRGMKT BULL25459Y686 — 39 shares $1,000
DOMINION RES INC VA NEWUNIT 07/01/201625746U885 — 17 shares $1,000
DRAGONWAVE INCCOM26144M103 PUT 1,000 shares $1,000
DURECT CORPCOM266605104 — 345 shares $1,000
DYNEGY INC NEW DEL*W EXP 10/02/20126817R116 — 301 shares $1,000
DYNEX CAP INCCOM NEW26817Q506 PUT 100 shares $1,000
EASTMAN KODAK CO*W EXP 09/03/201277461133 — 107 shares $1,000
EASTMAN KODAK CO*W EXP 09/03/201277461141 — 118 shares $1,000
EATON VANCE SR FLTNG RTE TRCOM27828Q105 — 63 shares $1,000
ECA MARCELLUS TR ICOM UNIT26827L109 PUT 100 shares $1,000
EDAP TMS S ASPONSORED ADR268311107 — 421 shares $1,000
ELDORADO RESORTS INCCOM28470R102 — 285 shares $1,000
ELLOMAY CAPITAL LIMITEDSHSM39927120 — 65 shares $1,000
ELTEK LTDORDM40184109 — 496 shares $1,000
EMCORE CORPCOM NEW290846203 — 250 shares $1,000
ENNIS INCCOM293389102 PUT 100 shares $1,000
EQUITY LIFESTYLE PPTYS INCCOM29472R108 — 31 shares $1,000
ERBA DIAGNOSTICSCOM29490B101 — 237 shares $1,000
ETFS PLATINUM TRSH BEN INT26922V101 — 7 shares $1,000
EVOKE PHARMA INCCOM30049G104 — 265 shares $1,000
EXTREME NETWORKS INCCOM30226D106 — 200 shares $1,000
FAIRCHILD SEMICONDUCTOR INTLCOM303726103 — 84 shares $1,000
FIRST BANCORP P RCOM NEW318672706 PUT 200 shares $1,000
FORT DEARBORN INCOME SECS INCOM347200107 — 80 shares $1,000
FUEL SYS SOLUTIONS INCCOM35952W103 PUT 100 shares $1,000
FULL HOUSE RESORTS INCCOM359678109 — 641 shares $1,000
FULL HOUSE RESORTS INCCOM359678109 — 1,000 shares $1,000
FURMANITE CORPORATIONCOM361086101 CALL 100 shares $1,000
FUTUREFUEL CORPORATIONCOM36116M106 PUT 100 shares $1,000
FUWEI FILMS HLDGS CO LTDSHSG3704F102 — 954 shares $1,000
GAIAM INCCL A36268Q103 — 130 shares $1,000
GENERAL MTRS CO*W EXP 12/31/20137045V134 — 1,250 shares $1,000
GENIE ENERGY LTDCL B372284208 — 200 shares $1,000
GENMARK DIAGNOSTICS INCCOM372309104 CALL 100 shares $1,000
GENMARK DIAGNOSTICS INCCOM372309104 PUT 100 shares $1,000
GENTIVA HEALTH SERVICES INCCOM37247A102 — 87 shares $1,000
GIGAMEDIA LTDORDY2711Y104 — 1,000 shares $1,000
GLOBAL CASH ACCESS HLDGS INCCOM378967103 PUT 100 shares $1,000
GLOBAL EAGLE ENTMT INCCOM37951D102 PUT 100 shares $1,000
GLOBAL X FDSGURU SMLCP IDX37950E184 — 53 shares $1,000
GOLD FIELDS LTD NEWSPONSORED ADR38059T106 — 180 shares $1,000
GRAPHIC PACKAGING HLDG COCOM388689101 CALL 100 shares $1,000
GRAVITY CO LTDSPONSORED ADR38911N107 — 946 shares $1,000
GREAT PANTHER SILVER LTDCOM39115V101 — 600 shares $1,000
GTX INC DELCOM40052B108 — 1,801 shares $1,000
GULF RESOURCES INCCOM PAR $0.000540251W309 — 618 shares $1,000
HARBINGER GROUP INCCOM41146A106 — 53 shares $1,000
HELIOS & MATHESON ANALYTICSCOM NEW42327L200 — 307 shares $1,000
HIGHER ONE HLDGS INCCOM42983D104 — 300 shares $1,000
ICF INTL INCCOM44925C103 — 39 shares $1,000
IDERA PHARMACEUTICALS INCCOM NEW45168K306 PUT 500 shares $1,000
IMATION CORPCOM45245A107 — 275 shares $1,000
IMMUNOCELLULAR THERAPEUTICSCOM452536105 — 1,000 shares $1,000