← Back to Discover
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) |
|---|---|---|---|---|---|
| INDIA GLOBALIZATION CAP INC | COM NEW | 45408X308 | — | 2,112 shares | $1,000 |
| INTERNET PATENTS CORP | COM | 46063G101 | — | 462 shares | $1,000 |
| INVENTERGY GLOBAL INC | COM | 46123X102 | — | 330 shares | $1,000 |
| INVESTMENT TECHNOLOGY GRP NE | COM | 46145F105 | — | 34 shares | $1,000 |
| ISHARES GOLD TRUST | ISHARES | 464285105 | PUT | 100 shares | $1,000 |
| IXYS CORP | COM | 46600W106 | — | 55 shares | $1,000 |
| JETPAY CORP | COM | 477177109 | — | 588 shares | $1,000 |
| KB HOME | NOTE 1.375% 2/0 | 48666KAS8 | — | 1,000 principal | $1,000 |
| KINGSTONE COS INC | COM | 496719105 | — | 71 shares | $1,000 |
| KOPIN CORP | COM | 500600101 | — | 300 shares | $1,000 |
| LANNET INC | COM | 516012101 | — | 28 shares | $1,000 |
| LATIN AMERN DISCOVERY FD INC | COM | 51828C106 | — | 100 shares | $1,000 |
| LGL GROUP INC | *W EXP 08/06/201 | 50186A116 | — | 16,501 shares | $1,000 |
| LIBERTY GLOBAL PLC | SHS CL B | G5480U112 | — | 20 shares | $1,000 |
| LIGHTBRIDGE CORP | COM | 53224K104 | CALL | 400 shares | $1,000 |
| LIGHTINTHEBOX HLDG CO LTD | SPONSORED ADR | 53225G102 | PUT | 200 shares | $1,000 |
| LIQTECH INTL INC | COM | 53632A102 | — | 580 shares | $1,000 |
| LIVEPERSON INC | COM | 538146101 | CALL | 100 shares | $1,000 |
| MAGAL SECURITY SYS LTD | ORD | M6786D104 | — | 200 shares | $1,000 |
| MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | — | 160 shares | $1,000 |
| MARRONE BIO INNOVATIONS INC | COM | 57165B106 | PUT | 200 shares | $1,000 |
| MAUI LD & PINEAPPLE INC | COM | 577345101 | — | 252 shares | $1,000 |
| MAXCOM TELECOMUNICACIONES SA | ADR REP PR CTF | 57773A508 | — | 790 shares | $1,000 |
| MECHEL OAO | SPON ADR PFD | 583840509 | — | 8,265 shares | $1,000 |
| MECHEL OAO | SPONSORED ADR | 583840103 | PUT | 500 shares | $1,000 |
| MEDALLION FINL CORP | COM | 583928106 | CALL | 100 shares | $1,000 |
| MEDGENICS INC | COM NEW | 58436Q203 | — | 200 shares | $1,000 |
| MERCURY SYS INC | COM | 589378108 | — | 70 shares | $1,000 |
| MER TELEMANAGEMENT SOLUTIONS | SHS | M69676126 | — | 658 shares | $1,000 |
| METABOLIX INC | COM | 591018809 | — | 1,500 shares | $1,000 |
| MICROVISION INC DEL | COM NEW | 594960304 | — | 519 shares | $1,000 |
| MIND C T I LTD | ORD | M70240102 | — | 269 shares | $1,000 |
| MINES MGMT INC | COM | 603432105 | — | 1,647 shares | $1,000 |
| MITEK SYS INC | COM NEW | 606710200 | PUT | 500 shares | $1,000 |
| MOBILEIRON INC | COM NEW | 60739U204 | CALL | 100 shares | $1,000 |
| MOVE INC | COM NEW | 62458M207 | — | 38 shares | $1,000 |
| NANOMETRICS INC | COM | 630077105 | — | 76 shares | $1,000 |
| NANOSTRING TECHNOLOGIES INC | COM | 63009R109 | — | 49 shares | $1,000 |
| NAUTILUS INC | COM | 63910B102 | — | 62 shares | $1,000 |
| NEOGENOMICS INC | COM NEW | 64049M209 | — | 125 shares | $1,000 |
| NET ELEMENT INC | COM | 64111R102 | — | 300 shares | $1,000 |
| NGP CAP RES CO | COM | 62912R107 | PUT | 100 shares | $1,000 |
| NOVOGEN LIMITED | SPON ADR 1:25 SH | 67010F202 | — | 500 shares | $1,000 |
| NUVEEN NJ DIV ADVANTAGE MUN | COM | 67069Y102 | — | 97 shares | $1,000 |
| NXT ID INC | *W EXP 02/09/201 | 67091J123 | — | 2,155 shares | $1,000 |
| OCEAN BIO CHEM INC | COM | 674631106 | — | 189 shares | $1,000 |
| OCEAN PWR TECHNOLOGIES INC | COM NEW | 674870308 | PUT | 500 shares | $1,000 |
| ODYSSEY MARINE EXPLORATION I | COM | 676118102 | PUT | 1,500 shares | $1,000 |
| OI S.A. | SPN ADR REP PFD | 670851203 | CALL | 1,000 shares | $1,000 |
| OMEGA PROTEIN CORP | COM | 68210P107 | PUT | 100 shares | $1,000 |
| ONCOGENEX PHARMACEUTICALS IN | COM | 68230A106 | — | 227 shares | $1,000 |
| ONCOLYTICS BIOTECH INC | COM | 682310107 | — | 2,000 shares | $1,000 |
| ON SEMICONDUCTOR CORP | NOTE 2.625%12/1 | 682189AH8 | — | 1,000 principal | $1,000 |
| ONVIA INC | COM NEW | 68338T403 | — | 188 shares | $1,000 |
| OPTICAL CABLE CORP | COM NEW | 683827208 | — | 200 shares | $1,000 |
| OPTIMUMBANK HOLDINGS INC | COM PAR $0.01 | 68401P304 | — | 597 shares | $1,000 |
| ORIGIN AGRITECH LIMITED | SHS | G67828106 | — | 500 shares | $1,000 |
| PARK ELECTROCHEMICAL CORP | COM | 700416209 | — | 56 shares | $1,000 |
| PIONEER ENERGY SVCS CORP | COM | 723664108 | — | 100 shares | $1,000 |
| POINT 360 | COM | 730507100 | — | 2,180 shares | $1,000 |
| POWER REIT | COM | 73933H101 | — | 62 shares | $1,000 |
| PRANA BIOTECHNOLOGY LTD | SPONSORED ADR | 739727105 | — | 350 shares | $1,000 |
| PROSHARES TR | PSHS SHT OIL&GAS | 74347R222 | — | 32 shares | $1,000 |
| PROSHARES TR | SHT BASIC MAT | 74347X559 | — | 31 shares | $1,000 |
| PROSHARES TR | ULTSHT FT CH 50 | 74348A350 | — | 26 shares | $1,000 |
| PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | — | 83 shares | $1,000 |
| PURECYCLE CORP | COM NEW | 746228303 | — | 150 shares | $1,000 |
| Q2 HLDGS INC | COM | 74736L109 | CALL | 100 shares | $1,000 |
| QUICKLOGIC CORP | COM | 74837P108 | PUT | 200 shares | $1,000 |
| QUICKSILVER RESOURCES INC | COM | 74837R104 | PUT | 1,800 shares | $1,000 |
| RADIO ONE INC | CL A | 75040P108 | — | 250 shares | $1,000 |
| REAL GOODS SOLAR INC | CL A | 75601N104 | CALL | 400 shares | $1,000 |
| REGIONAL MGMT CORP | COM | 75902K106 | — | 55 shares | $1,000 |
| REPROS THERAPEUTICS INC | *W EXP 02/08/201 | 76028H118 | — | 100 shares | $1,000 |
| REPROS THERAPEUTICS INC | *W EXP 02/08/201 | 76028H126 | — | 255 shares | $1,000 |
| RESOURCE AMERICA INC | CL A | 761195205 | — | 132 shares | $1,000 |
| RESPONSE GENETICS INC | COM | 76123U105 | — | 1,532 shares | $1,000 |
| RETROPHIN INC | COM | 761299106 | CALL | 100 shares | $1,000 |
| REVETT MNG CO | COM NEW | 761505205 | — | 751 shares | $1,000 |
| ROYALE ENERGY INC | COM NEW | 78074G200 | PUT | 500 shares | $1,000 |
| RUBICON TECHNOLOGY INC | COM | 78112T107 | PUT | 300 shares | $1,000 |
| RUBY TUESDAY INC | COM | 781182100 | CALL | 100 shares | $1,000 |
| RXI PHARMACEUTICALS CORP NEW | COM NEW | 74979C303 | — | 344 shares | $1,000 |
| SAEXPLORATION HLDGS INC | COM | 78636X105 | — | 101 shares | $1,000 |
| SANDRIDGE MISSISSIPPIAN TR I | SH BEN INT | 80007V106 | PUT | 200 shares | $1,000 |
| SEANERGY MARITIME HLDGS CORP | SHS | Y73760129 | — | 590 shares | $1,000 |
| SEASPAN CORP | SHS | Y75638109 | — | 40 shares | $1,000 |
| SELECT BANCORP INC NEW | COM | 81617L108 | — | 72 shares | $1,000 |
| SFX ENTMT INC | COM | 784178303 | CALL | 200 shares | $1,000 |
| SHOE CARNIVAL INC | COM | 824889109 | — | 30 shares | $1,000 |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | PUT | 100 shares | $1,000 |
| SILICON IMAGE INC | COM | 82705T102 | CALL | 200 shares | $1,000 |
| SINOVAC BIOTECH LTD | SHS | P8696W104 | CALL | 200 shares | $1,000 |
| SIZMEK INC | COM | 83013P105 | — | 100 shares | $1,000 |
| SPANISH BROADCASTING SYS INC | CL A NEW | 846425833 | — | 250 shares | $1,000 |
| SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 | CALL | 100 shares | $1,000 |
| SPHERIX INC | COM PAR $0.01 | 84842R304 | — | 500 shares | $1,000 |
| STAAR SURGICAL CO | COM PAR $0.01 | 852312305 | PUT | 100 shares | $1,000 |
| STANDARD REGISTER CO | COM | 853887206 | — | 255 shares | $1,000 |
| STERLING CONSTRUCTION CO INC | COM | 859241101 | — | 107 shares | $1,000 |