← 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) |
|---|---|---|---|---|---|
| CAPITAL SOUTHWEST CORP | COM | 140501107 | — | 245,497 shares | $8,781,000 |
| ROYAL BK CDA MONTREAL QUE | COM | 780087102 | PUT | 122,900 shares | $8,781,000 |
| ISHARES | MSCI KLD400 SOC | 464288570 | — | 119,517 shares | $8,770,000 |
| BARD C R INC | COM | 067383109 | — | 61,416 shares | $8,765,000 |
| CABLEVISION SYS CORP | CL A NY CABLVS | 12686C109 | — | 500,448 shares | $8,763,000 |
| PEABODY ENERGY CORP | COM | 704549104 | PUT | 706,400 shares | $8,745,000 |
| DNP SELECT INCOME FD | COM | 23325P104 | — | 863,843 shares | $8,733,000 |
| REVENUESHARES ETF TR | MID CAP FD | 761396209 | — | 191,200 shares | $8,723,000 |
| CBRE GROUP INC | CL A | 12504L109 | — | 293,183 shares | $8,719,000 |
| MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | — | 388,371 shares | $8,688,000 |
| FIRST TR MULTI CP VAL ALPHA | COM SHS | 33733C108 | — | 192,480 shares | $8,679,000 |
| DU PONT E I DE NEMOURS & CO | COM | 263534109 | CALL | 120,600 shares | $8,654,000 |
| GOLDCORP INC NEW | COM | 380956409 | CALL | 375,500 shares | $8,648,000 |
| POWERSHARES ETF TRUST | DYN LSR & ENT | 73935X757 | — | 258,602 shares | $8,647,000 |
| BANK N S HALIFAX | COM | 064149107 | — | 139,534 shares | $8,630,000 |
| AUTODESK INC | COM | 052769106 | — | 156,594 shares | $8,628,000 |
| US BANCORP DEL | COM NEW | 902973304 | PUT | 205,900 shares | $8,613,000 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | — | 91,946 shares | $8,609,000 |
| ORACLE CORP | COM | 68389X105 | — | 224,684 shares | $8,601,000 |
| TESORO CORP | COM | 881609101 | — | 140,582 shares | $8,573,000 |
| POWERSHARES ETF TRUST | DIV ACHV PRTF | 73935X732 | — | 410,874 shares | $8,567,000 |
| EQUITY RESIDENTIAL | SH BEN INT | 29476L107 | — | 138,746 shares | $8,544,000 |
| ISHARES TR | PHLX SEMICND ETF | 464287523 | — | 98,348 shares | $8,542,000 |
| POWERSHARES ETF TRUST | DYN FD & BEV | 73935X849 | — | 300,296 shares | $8,522,000 |
| PEPSICO INC | COM | 713448108 | — | 91,525 shares | $8,520,000 |
| MCCORMICK & CO INC | COM NON VTG | 579780206 | — | 127,310 shares | $8,517,000 |
| NIKE INC | CL B | 654106103 | — | 95,257 shares | $8,497,000 |
| ISHARES TR | MRNGSTR LG-CP GR | 464287119 | — | 78,031 shares | $8,491,000 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 | — | 171,801 shares | $8,482,000 |
| TESORO CORP | COM | 881609101 | PUT | 139,000 shares | $8,476,000 |
| QLIK TECHNOLOGIES INC | COM | 74733T105 | — | 313,441 shares | $8,475,000 |
| ROCKWOOD HLDGS INC | COM | 774415103 | — | 110,732 shares | $8,465,000 |
| FIRST SOLAR INC | COM | 336433107 | — | 128,441 shares | $8,453,000 |
| DEVON ENERGY CORP NEW | COM | 25179M103 | CALL | 123,900 shares | $8,448,000 |
| EDISON INTL | COM | 281020107 | — | 150,886 shares | $8,438,000 |
| SALIX PHARMACEUTICALS INC | COM | 795435106 | — | 54,005 shares | $8,438,000 |
| ALTRIA GROUP INC | COM | 02209S103 | PUT | 183,600 shares | $8,435,000 |
| BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR | 05946K101 | — | 700,821 shares | $8,410,000 |
| ROYAL GOLD INC | COM | 780287108 | CALL | 129,500 shares | $8,410,000 |
| GILEAD SCIENCES INC | COM | 375558103 | — | 78,960 shares | $8,405,000 |
| T-MOBILE US INC | COM | 872590104 | — | 290,950 shares | $8,400,000 |
| AMERICAN INTL GROUP INC | COM NEW | 026874784 | — | 155,145 shares | $8,381,000 |
| TIME WARNER INC | COM NEW | 887317303 | — | 111,355 shares | $8,375,000 |
| ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | — | 124,340 shares | $8,367,000 |
| CAREFUSION CORP | COM | 14170T101 | — | 184,880 shares | $8,366,000 |
| COCA COLA ENTERPRISES INC NE | COM | 19122T109 | — | 188,590 shares | $8,366,000 |
| EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | PUT | 118,372 shares | $8,361,000 |
| FIRST TR NASDAQ ABA CMNTY BK | UT COM SHS ETF | 33736Q104 | — | 246,564 shares | $8,355,000 |
| SIMON PPTY GROUP INC NEW | COM | 828806109 | CALL | 50,800 shares | $8,353,000 |
| CARLYLE GROUP L P | COM UTS LTD PTN | 14309L102 | — | 273,999 shares | $8,346,000 |
| AXIALL CORP | COM | 05463D100 | — | 232,550 shares | $8,328,000 |
| ANNALY CAP MGMT INC | COM | 035710409 | — | 779,313 shares | $8,323,000 |
| FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | — | 485,535 shares | $8,298,000 |
| AQUA AMERICA INC | COM | 03836W103 | — | 352,087 shares | $8,285,000 |
| GULFPORT ENERGY CORP | COM NEW | 402635304 | CALL | 155,000 shares | $8,277,000 |
| SPDR INDEX SHS FDS | STOXX EUR 50 ETF | 78463X103 | — | 224,686 shares | $8,257,000 |
| ISHARES | INTL DEV RE ETF | 464288489 | — | 274,544 shares | $8,247,000 |
| GENERAL ELECTRIC CO | COM | 369604103 | — | 321,735 shares | $8,243,000 |
| HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | — | 811,873 shares | $8,241,000 |
| ZIMMER HLDGS INC | COM | 98956P102 | — | 81,960 shares | $8,241,000 |
| TRANSCANADA CORP | COM | 89353D107 | — | 159,913 shares | $8,240,000 |
| DEERE & CO | COM | 244199105 | PUT | 100,400 shares | $8,232,000 |
| ALLIANZGI CONV & INCOME FD | COM | 018828103 | — | 861,499 shares | $8,227,000 |
| MARKET VECTORS ETF TR | AGRIBUS ETF | 57060U605 | — | 155,538 shares | $8,226,000 |
| NUVEEN QUALITY PFD INCOME FD | COM | 67072C105 | — | 944,181 shares | $8,224,000 |
| NQ MOBILE INC | ADR REPSTG CL A | 64118U108 | — | 1,179,518 shares | $8,221,000 |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 81369Y100 | CALL | 165,700 shares | $8,217,000 |
| MADISON SQUARE GARDEN CO | CL A | 55826P100 | — | 124,154 shares | $8,209,000 |
| TESLA MTRS INC | NOTE 1.250% 3/0 | 88160RAC5 | — | 8,638,000 principal | $8,206,000 |
| ISHARES | GLB INFRASTR ETF | 464288372 | — | 193,338 shares | $8,203,000 |
| ISHARES | CORE US CR BD | 464288620 | — | 74,098 shares | $8,189,000 |
| AMAZON COM INC | COM | 023135106 | — | 25,387 shares | $8,186,000 |
| REGENERON PHARMACEUTICALS | COM | 75886F107 | — | 22,679 shares | $8,176,000 |
| WABCO HLDGS INC | COM | 92927K102 | — | 89,772 shares | $8,165,000 |
| WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | CALL | 155,900 shares | $8,157,000 |
| CREDIT SUISSE GROUP | SPONSORED ADR | 225401108 | — | 294,755 shares | $8,147,000 |
| SUNCOR ENERGY INC NEW | COM | 867224107 | CALL | 225,200 shares | $8,141,000 |
| ESTERLINE TECHNOLOGIES CORP | COM | 297425100 | — | 73,149 shares | $8,139,000 |
| RALPH LAUREN CORP | CL A | 751212101 | — | 49,395 shares | $8,137,000 |
| KANSAS CITY SOUTHERN | COM NEW | 485170302 | — | 67,115 shares | $8,134,000 |
| POWERSHARES ETF TR II | EM MRK LOW VOL | 73937B662 | — | 298,846 shares | $8,126,000 |
| REYNOLDS AMERICAN INC | COM | 761713106 | — | 137,527 shares | $8,114,000 |
| CLEARBRIDGE ENERGY MLP FD IN | COM | 184692101 | — | 290,621 shares | $8,103,000 |
| ISHARES | INTL TREA BD ETF | 464288117 | — | 81,537 shares | $8,093,000 |
| DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | — | 342,645 shares | $8,086,000 |
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 | — | 97,213 shares | $8,076,000 |
| NUVEEN ALL CAP ENE MLP OPPO | COM | 67075E108 | — | 420,047 shares | $8,073,000 |
| VANGUARD ADMIRAL FDS INC | 500 VAL IDX FD | 921932703 | — | 93,202 shares | $8,069,000 |
| AON PLC | SHS CL A | G0408V102 | — | 91,943 shares | $8,061,000 |
| GENWORTH FINL INC | COM CL A | 37247D106 | CALL | 615,200 shares | $8,059,000 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | CALL | 161,000 shares | $8,048,000 |
| PHARMACYCLICS INC | COM | 716933106 | PUT | 68,500 shares | $8,044,000 |
| NEWMONT MINING CORP | COM | 651639106 | CALL | 348,800 shares | $8,040,000 |
| VALERO ENERGY CORP NEW | COM | 91913Y100 | — | 173,617 shares | $8,033,000 |
| ROCKWELL AUTOMATION INC | COM | 773903109 | CALL | 73,100 shares | $8,032,000 |
| FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | — | 592,101 shares | $8,029,000 |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | — | 178,473 shares | $8,024,000 |
| EATON VANCE LTD DUR INCOME F | COM | 27828H105 | — | 548,597 shares | $7,999,000 |
| INTUITIVE SURGICAL INC | COM NEW | 46120E602 | — | 17,308 shares | $7,993,000 |
| SNAP ON INC | COM | 833034101 | — | 65,992 shares | $7,990,000 |