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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) |
|---|---|---|---|---|---|
| SUNCOR ENERGY INC NEW | COM | 867224107 | — | 107,454 shares | $3,884,000 |
| NRG ENERGY INC | COM NEW | 629377508 | CALL | 127,400 shares | $3,883,000 |
| UNIVERSAL HLTH SVCS INC | CL B | 913903100 | — | 37,145 shares | $3,882,000 |
| VEECO INSTRS INC DEL | COM | 922417100 | — | 110,905 shares | $3,876,000 |
| WORKDAY INC | CL A | 98138H101 | PUT | 46,900 shares | $3,869,000 |
| LINKEDIN CORP | COM CL A | 53578A108 | CALL | 18,600 shares | $3,865,000 |
| INTERPUBLIC GROUP COS INC | COM | 460690100 | PUT | 210,800 shares | $3,862,000 |
| KINDER MORGAN ENERGY PARTNER | UT LTD PARTNER | 494550106 | CALL | 41,400 shares | $3,862,000 |
| GUGGENHEIM STRATEGIC OPP FD | COM SBI | 40167F101 | — | 176,102 shares | $3,860,000 |
| MARATHON PETE CORP | COM | 56585A102 | — | 45,548 shares | $3,857,000 |
| ICICI BK LTD | ADR | 45104G104 | — | 78,495 shares | $3,854,000 |
| INGREDION INC | COM | 457187102 | — | 50,774 shares | $3,848,000 |
| SALESFORCE COM INC | COM | 79466L302 | — | 66,879 shares | $3,848,000 |
| GUGGENHEIM BLD AMR BDS MANG | COM | 401664107 | — | 180,409 shares | $3,845,000 |
| CLEARBRIDGE AMERN ENERG MLP | COM | 184691103 | — | 211,067 shares | $3,839,000 |
| PDL BIOPHARMA INC | NOTE 2.875% 2/1 | 69329YAE4 | — | 2,700,000 principal | $3,839,000 |
| DU PONT E I DE NEMOURS & CO | COM | 263534109 | — | 53,485 shares | $3,838,000 |
| DOLLAR TREE INC | COM | 256746108 | — | 68,386 shares | $3,834,000 |
| ISHARES | U.S. BR-DEAL ETF | 464288794 | — | 97,560 shares | $3,830,000 |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | — | 35,229 shares | $3,828,000 |
| LEUCADIA NATL CORP | COM | 527288104 | — | 160,288 shares | $3,821,000 |
| KEURIG GREEN MTN INC | COM | 49271M100 | CALL | 29,300 shares | $3,813,000 |
| NELNET INC | CL A | 64031N108 | — | 88,467 shares | $3,812,000 |
| GOODYEAR TIRE & RUBR CO | COM | 382550101 | — | 168,749 shares | $3,811,000 |
| DELPHI AUTOMOTIVE PLC | SHS | G27823106 | — | 62,098 shares | $3,809,000 |
| BLACKROCK ENH CAP & INC FD I | COM | 09256A109 | — | 256,335 shares | $3,807,000 |
| MORNINGSTAR INC | COM | 617700109 | — | 56,026 shares | $3,804,000 |
| AGILENT TECHNOLOGIES INC | COM | 00846U101 | CALL | 66,600 shares | $3,795,000 |
| WPP PLC NEW | ADR | 92937A102 | — | 37,742 shares | $3,791,000 |
| JPMORGAN CHASE & CO | COM | 46625H100 | — | 62,917 shares | $3,790,000 |
| KNIGHT TRANSN INC | COM | 499064103 | — | 138,305 shares | $3,788,000 |
| TRIUMPH GROUP INC NEW | COM | 896818101 | — | 58,134 shares | $3,782,000 |
| MEAD JOHNSON NUTRITION CO | COM | 582839106 | CALL | 39,300 shares | $3,781,000 |
| ABBOTT LABS | COM | 002824100 | — | 90,825 shares | $3,777,000 |
| POTASH CORP SASK INC | COM | 73755L107 | CALL | 109,200 shares | $3,774,000 |
| BRITISH AMERN TOB PLC | SPONSORED ADR | 110448107 | — | 33,273 shares | $3,763,000 |
| ISHARES | GOV/CRED BD ETF | 464288596 | — | 33,400 shares | $3,762,000 |
| ACTAVIS PLC | SHS | G0083B108 | — | 15,562 shares | $3,755,000 |
| NUCOR CORP | COM | 670346105 | CALL | 69,100 shares | $3,751,000 |
| ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | — | 46,095 shares | $3,748,000 |
| BIOGEN IDEC INC | COM | 09062X103 | CALL | 11,325 shares | $3,746,000 |
| MONSANTO CO NEW | COM | 61166W101 | — | 33,299 shares | $3,746,000 |
| NUVEEN PREM INCOME MUN FD 2 | COM | 67063W102 | — | 272,153 shares | $3,742,000 |
| FIDUS INVT CORP | COM | 316500107 | — | 226,564 shares | $3,741,000 |
| SOLARCITY CORP | COM | 83416T100 | PUT | 62,700 shares | $3,737,000 |
| GENERAL MLS INC | COM | 370334104 | CALL | 74,000 shares | $3,733,000 |
| ISHARES TR | LATN AMER 40 ETF | 464287390 | — | 101,162 shares | $3,731,000 |
| JACOBS ENGR GROUP INC DEL | COM | 469814107 | — | 76,420 shares | $3,731,000 |
| E M C CORP MASS | COM | 268648102 | — | 127,332 shares | $3,726,000 |
| ISHARES TR | RUSSELL 3000 ETF | 464287689 | — | 31,878 shares | $3,723,000 |
| NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | CALL | 210,700 shares | $3,723,000 |
| PALO ALTO NETWORKS INC | COM | 697435105 | — | 37,864 shares | $3,714,000 |
| PVH CORP | COM | 693656100 | — | 30,651 shares | $3,713,000 |
| BROOKFIELD PPTY PARTNERS L P | UNIT LTD PARTN | G16249107 | — | 175,932 shares | $3,707,000 |
| ULTRA PETROLEUM CORP | COM | 903914109 | — | 159,362 shares | $3,707,000 |
| STARWOOD HOTELS&RESORTS WRLD | COM | 85590A401 | CALL | 44,500 shares | $3,703,000 |
| YAMANA GOLD INC | COM | 98462Y100 | — | 617,234 shares | $3,703,000 |
| OMEROS CORP | COM | 682143102 | — | 290,550 shares | $3,696,000 |
| MVC CAPITAL INC | COM | 553829102 | — | 343,406 shares | $3,695,000 |
| NXP SEMICONDUCTORS N V | COM | N6596X109 | — | 53,969 shares | $3,693,000 |
| BALL CORP | COM | 058498106 | — | 58,345 shares | $3,691,000 |
| VANGUARD ADMIRAL FDS INC | SMLCP 600 VAL | 921932778 | — | 39,669 shares | $3,691,000 |
| WESTLAKE CHEM PARTNERS LP | COM UNIT RP LP | 960417103 | — | 127,272 shares | $3,691,000 |
| ARCELORMITTAL SA LUXEMBOURG | NY REGISTRY SH | 03938L104 | CALL | 269,200 shares | $3,685,000 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | — | 73,707 shares | $3,685,000 |
| CIT GROUP INC | COM NEW | 125581801 | — | 80,153 shares | $3,684,000 |
| WASTE MGMT INC DEL | COM | 94106L109 | — | 77,340 shares | $3,676,000 |
| YOUKU TUDOU INC | SPONSORED ADR | 98742U100 | CALL | 205,100 shares | $3,675,000 |
| DELPHI AUTOMOTIVE PLC | SHS | G27823106 | — | 59,890 shares | $3,674,000 |
| POWERSHARES ETF TRUST | DYN SFTWR PORT | 73935X773 | — | 103,373 shares | $3,668,000 |
| NUSTAR ENERGY LP | UNIT COM | 67058H102 | CALL | 55,600 shares | $3,666,000 |
| DST SYS INC DEL | COM | 233326107 | — | 43,636 shares | $3,662,000 |
| MARKET VECTORS ETF TR | COAL ETF | 57060U837 | — | 214,001 shares | $3,662,000 |
| SOUTHERN COPPER CORP | COM | 84265V105 | — | 123,429 shares | $3,660,000 |
| PROSHARES TR | HD REPLICATION | 74347X294 | — | 87,220 shares | $3,653,000 |
| ALLIED WRLD ASSUR COM HLDG A | SHS | H01531104 | — | 99,121 shares | $3,652,000 |
| SASOL LTD | SPONSORED ADR | 803866300 | — | 66,987 shares | $3,650,000 |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | CALL | 19,300 shares | $3,648,000 |
| NU SKIN ENTERPRISES INC | CL A | 67018T105 | — | 80,958 shares | $3,646,000 |
| FORTRESS INVESTMENT GROUP LL | CL A | 34958B106 | — | 528,942 shares | $3,639,000 |
| ANGLOGOLD ASHANTI LTD | SPONSORED ADR | 035128206 | — | 303,201 shares | $3,638,000 |
| PLUM CREEK TIMBER CO INC | COM | 729251108 | — | 93,177 shares | $3,635,000 |
| BECTON DICKINSON & CO | COM | 075887109 | — | 31,934 shares | $3,634,000 |
| LAM RESEARCH CORP | COM | 512807108 | — | 48,635 shares | $3,633,000 |
| STEEL DYNAMICS INC | COM | 858119100 | — | 160,571 shares | $3,631,000 |
| CAPITALA FIN CORP | COM | 14054R106 | — | 204,502 shares | $3,624,000 |
| ISHARES TR | CORE S&P SCP ETF | 464287804 | — | 34,741 shares | $3,623,000 |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 92206C680 | — | 38,365 shares | $3,616,000 |
| CBOE HLDGS INC | COM | 12503M108 | — | 67,523 shares | $3,614,000 |
| EMPIRE DIST ELEC CO | COM | 291641108 | — | 149,629 shares | $3,614,000 |
| MEADWESTVACO CORP | COM | 583334107 | — | 88,156 shares | $3,609,000 |
| SYMETRA FINL CORP | COM | 87151Q106 | — | 154,646 shares | $3,608,000 |
| PHARMACYCLICS INC | COM | 716933106 | CALL | 30,700 shares | $3,605,000 |
| ALASKA AIR GROUP INC | COM | 011659109 | — | 82,638 shares | $3,598,000 |
| SCHULMAN A INC | COM | 808194104 | — | 99,496 shares | $3,598,000 |
| BANCO SANTANDER CHILE NEW | SP ADR REP COM | 05965X109 | — | 162,296 shares | $3,585,000 |
| BLACKROCK KELSO CAPITAL CORP | COM | 092533108 | — | 419,297 shares | $3,581,000 |
| WEST CORP | COM | 952355204 | — | 121,555 shares | $3,581,000 |
| LILLY ELI & CO | COM | 532457108 | — | 55,200 shares | $3,580,000 |
| PEARSON PLC | SPONSORED ADR | 705015105 | — | 178,761 shares | $3,579,000 |