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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) |
|---|---|---|---|---|---|
| MARKET VECTORS ETF TR | JR GOLD MINERS E | 57061R544 | CALL | 124,000 shares | $4,169,000 |
| GROUPON INC | COM CL A | 399473107 | — | 623,761 shares | $4,167,000 |
| BARCLAYS BK PLC | DJUBS CMDT ETN36 | 06738C778 | — | 121,169 shares | $4,165,000 |
| OCWEN FINL CORP | COM NEW | 675746309 | CALL | 159,000 shares | $4,163,000 |
| HCA HOLDINGS INC | COM | 40412C101 | — | 58,976 shares | $4,159,000 |
| EXPEDITORS INTL WASH INC | COM | 302130109 | — | 102,365 shares | $4,154,000 |
| PIMCO INCOME STRATEGY FUND I | COM | 72201J104 | — | 394,129 shares | $4,150,000 |
| NEOGEN CORP | COM | 640491106 | — | 104,988 shares | $4,147,000 |
| WILEY JOHN & SONS INC | CL A | 968223206 | — | 73,828 shares | $4,142,000 |
| CALAMOS CONV & HIGH INCOME F | COM SHS | 12811P108 | — | 292,013 shares | $4,141,000 |
| ARRIS GROUP INC NEW | COM | 04270V106 | — | 145,991 shares | $4,140,000 |
| HANCOCK JOHN PFD INCOME FD | SH BEN INT | 41013W108 | — | 206,328 shares | $4,137,000 |
| MANPOWERGROUP INC | COM | 56418H100 | — | 58,989 shares | $4,135,000 |
| EXONE CO | COM | 302104104 | — | 197,872 shares | $4,134,000 |
| APOLLO COML REAL EST FIN INC | COM | 03762U105 | — | 262,905 shares | $4,130,000 |
| ALLIANCE RES PARTNER L P | UT LTD PART | 01877R108 | — | 96,302 shares | $4,126,000 |
| HARLEY DAVIDSON INC | COM | 412822108 | CALL | 70,800 shares | $4,121,000 |
| PENGROWTH ENERGY CORP | COM | 70706P104 | — | 792,033 shares | $4,119,000 |
| ALLIANZGI EQUITY & CONV INCO | COM | 018829101 | — | 206,844 shares | $4,110,000 |
| AXIALL CORP | COM | 05463D100 | — | 114,784 shares | $4,110,000 |
| SILVER WHEATON CORP | COM | 828336107 | — | 205,960 shares | $4,105,000 |
| BABSON CAP GLB SHT DURHGH YL | COM | 05617T100 | — | 180,144 shares | $4,104,000 |
| ISHARES | GLOB INDSTRL ETF | 464288729 | — | 58,564 shares | $4,104,000 |
| DYNEX CAP INC | COM NEW | 26817Q506 | — | 506,958 shares | $4,096,000 |
| NEWELL RUBBERMAID INC | COM | 651229106 | — | 119,045 shares | $4,096,000 |
| BCE INC | COM NEW | 05534B760 | — | 95,778 shares | $4,095,000 |
| REGIONS FINL CORP NEW | COM | 7591EP100 | — | 407,560 shares | $4,092,000 |
| WISDOMTREE TR | INTL LRGCAP DV | 97717W794 | — | 81,773 shares | $4,085,000 |
| PAYCHEX INC | COM | 704326107 | — | 92,305 shares | $4,080,000 |
| EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | — | 57,723 shares | $4,077,000 |
| DECKERS OUTDOOR CORP | COM | 243537107 | — | 41,938 shares | $4,076,000 |
| WESTPORT INNOVATIONS INC | COM NEW | 960908309 | — | 387,855 shares | $4,076,000 |
| INDIA FD INC | COM | 454089103 | — | 150,163 shares | $4,075,000 |
| ISHARES S&P GSCI COMMODITY I | UNIT BEN INT | 46428R107 | — | 137,486 shares | $4,068,000 |
| GLU MOBILE INC | COM | 379890106 | — | 786,620 shares | $4,067,000 |
| ALLY FINL INC | COM | 02005N100 | — | 175,726 shares | $4,066,000 |
| TIME WARNER INC | COM NEW | 887317303 | — | 54,033 shares | $4,064,000 |
| PARTNERRE LTD | COM | G6852T105 | — | 36,969 shares | $4,063,000 |
| CARDINAL HEALTH INC | COM | 14149Y108 | — | 54,172 shares | $4,059,000 |
| GRAPHIC PACKAGING HLDG CO | COM | 388689101 | — | 326,327 shares | $4,056,000 |
| ISIS PHARMACEUTICALS INC | COM | 464330109 | — | 104,425 shares | $4,055,000 |
| HUNT J B TRANS SVCS INC | COM | 445658107 | — | 54,723 shares | $4,052,000 |
| GUGGENHEIM CR ALLOCATION FD | COM | 40168G108 | — | 170,347 shares | $4,049,000 |
| WESTERN ASSET EMRG MKT INCM | COM | 95766E103 | — | 336,528 shares | $4,048,000 |
| TECH DATA CORP | COM | 878237106 | — | 68,691 shares | $4,043,000 |
| IMPERIAL OIL LTD | COM NEW | 453038408 | — | 85,539 shares | $4,039,000 |
| HARTFORD FINL SVCS GROUP INC | COM | 416515104 | CALL | 108,200 shares | $4,030,000 |
| MASCO CORP | COM | 574599106 | — | 168,483 shares | $4,030,000 |
| FAMILY DLR STORES INC | COM | 307000109 | — | 52,113 shares | $4,025,000 |
| FIDELITY NATL INFORMATION SV | COM | 31620M106 | — | 71,446 shares | $4,022,000 |
| GASLOG LTD | SHS | G37585109 | — | 182,577 shares | $4,019,000 |
| ISHARES | MRGSTR MD CP GRW | 464288307 | — | 27,207 shares | $4,018,000 |
| SEATTLE GENETICS INC | COM | 812578102 | — | 108,074 shares | $4,018,000 |
| WESTERN ASSET MGD HI INCM FD | COM | 95766L107 | — | 726,567 shares | $4,018,000 |
| ISHARES | MRNGSTR LG-CP VL | 464288109 | — | 47,460 shares | $4,016,000 |
| HAWAIIAN ELEC INDUSTRIES | COM | 419870100 | — | 151,231 shares | $4,015,000 |
| NIKE INC | CL B | 654106103 | CALL | 45,000 shares | $4,014,000 |
| VOYA PRIME RATE TR | SH BEN INT | 92913A100 | — | 729,878 shares | $4,014,000 |
| SILVER WHEATON CORP | COM | 828336107 | PUT | 201,300 shares | $4,012,000 |
| EBIX INC | COM NEW | 278715206 | — | 282,695 shares | $4,009,000 |
| HALLIBURTON CO | COM | 406216101 | — | 62,140 shares | $4,009,000 |
| LOEWS CORP | COM | 540424108 | — | 96,151 shares | $4,006,000 |
| CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | — | 68,150 shares | $4,004,000 |
| ISHARES | U.S. AER&DEF ETF | 464288760 | — | 37,215 shares | $4,004,000 |
| SPDR INDEX SHS FDS | GLB NAT RESRCE | 78463X541 | — | 82,209 shares | $4,004,000 |
| GOPRO INC | CL A | 38268T103 | PUT | 42,700 shares | $4,001,000 |
| AUTODESK INC | COM | 052769106 | CALL | 72,600 shares | $4,000,000 |
| CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | — | 5,995 shares | $3,996,000 |
| ANACOR PHARMACEUTICALS INC | COM | 032420101 | — | 162,808 shares | $3,984,000 |
| MARKET VECTORS ETF TR | JR GOLD MINERS E | 57061R544 | PUT | 118,500 shares | $3,984,000 |
| BROOKFIELD INFRAST PARTNERS | LP INT UNIT | G16252101 | — | 104,785 shares | $3,982,000 |
| UNIT CORP | COM | 909218109 | — | 67,807 shares | $3,977,000 |
| MGM RESORTS INTERNATIONAL | NOTE 4.250% 4/1 | 55303QAE0 | — | 3,155,000 principal | $3,973,000 |
| SUN LIFE FINL INC | COM | 866796105 | — | 109,551 shares | $3,973,000 |
| NUVEEN DIVERSIFIED COMMODTY | COM UT BEN INT | 67074P104 | — | 287,756 shares | $3,968,000 |
| DISCOVER FINL SVCS | COM | 254709108 | CALL | 61,600 shares | $3,966,000 |
| ISHARES | EAFE VALUE ETF | 464288877 | — | 72,456 shares | $3,961,000 |
| MEMORIAL PRODTN PARTNERS LP | COM U REP LTD | 586048100 | — | 180,003 shares | $3,960,000 |
| ENERGY XXI BERMUDA LTD | USD UNRS SHS | G10082140 | CALL | 348,800 shares | $3,959,000 |
| HEWLETT PACKARD CO | COM | 428236103 | — | 111,400 shares | $3,951,000 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 | — | 52,832 shares | $3,950,000 |
| KINDER MORGAN INC DEL | *W EXP 05/25/201 | 49456B119 | — | 1,084,758 shares | $3,949,000 |
| TIME WARNER CABLE INC | COM | 88732J207 | CALL | 27,500 shares | $3,946,000 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | CALL | 97,900 shares | $3,945,000 |
| GT ADVANCED TECHNOLOGIES INC | COM | 36191U106 | PUT | 364,300 shares | $3,945,000 |
| NGL ENERGY PARTNERS LP | COM UNIT REPST | 62913M107 | PUT | 100,200 shares | $3,945,000 |
| ORBITZ WORLDWIDE INC | COM | 68557K109 | PUT | 501,000 shares | $3,943,000 |
| ARROW ELECTRS INC | COM | 042735100 | — | 71,047 shares | $3,932,000 |
| AVENUE INCOME CR STRATEGIES | COM | 05358E106 | — | 233,953 shares | $3,930,000 |
| DOMINOS PIZZA INC | COM | 25754A201 | — | 51,036 shares | $3,928,000 |
| APOLLO ED GROUP INC | CL A | 037604105 | — | 155,948 shares | $3,922,000 |
| ASML HOLDING N V | N Y REGISTRY SHS | N07059210 | — | 39,607 shares | $3,914,000 |
| FLOTEK INDS INC DEL | COM | 343389102 | — | 150,054 shares | $3,912,000 |
| AMERICAN MIDSTREAM PARTNERS | COM UNITS | 02752P100 | — | 134,473 shares | $3,909,000 |
| CURRENCYSHS BRIT POUND STER | BRIT POUND STE | 23129S106 | — | 24,514 shares | $3,906,000 |
| ALLERGAN INC | COM | 018490102 | — | 21,900 shares | $3,902,000 |
| POWERSHARES ETF TRUST | ENERGY SEC POR | 73935X385 | — | 67,247 shares | $3,895,000 |
| VANGUARD ADMIRAL FDS INC | MIDCP 400 GRTH | 921932869 | — | 41,638 shares | $3,892,000 |
| VANGUARD ADMIRAL FDS INC | MIDCP 400 IDX | 921932885 | — | 41,886 shares | $3,889,000 |
| SOLARCITY CORP | COM | 83416T100 | — | 65,226 shares | $3,887,000 |