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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) |
|---|---|---|---|---|---|
| ASSURED GUARANTY LTD | COM | G0585R106 | — | 135,061 shares | $2,993,000 |
| NUVEEN CALIF MUN VALUE FD | COM | 67062C107 | — | 289,389 shares | $2,992,000 |
| KAYNE ANDERSON ENERGY DEV CO | COM | 48660Q102 | — | 81,882 shares | $2,991,000 |
| POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | — | 30,280 shares | $2,991,000 |
| BT GROUP PLC | ADR | 05577E101 | — | 48,596 shares | $2,988,000 |
| CONSTELLIUM NV | CL A | N22035104 | — | 121,374 shares | $2,987,000 |
| GLADSTONE CAPITAL CORP | COM | 376535100 | — | 340,311 shares | $2,985,000 |
| UNITED TECHNOLOGIES CORP | COM | 913017109 | CALL | 28,250 shares | $2,983,000 |
| MAXIM INTEGRATED PRODS INC | COM | 57772K101 | — | 98,515 shares | $2,979,000 |
| KELLY SVCS INC | CL A | 488152208 | — | 190,015 shares | $2,978,000 |
| EQUITY RESIDENTIAL | SH BEN INT | 29476L107 | — | 48,217 shares | $2,969,000 |
| LEGGETT & PLATT INC | COM | 524660107 | — | 85,013 shares | $2,969,000 |
| STELLUS CAP INVT CORP | COM | 858568108 | — | 213,659 shares | $2,968,000 |
| SPDR SERIES TRUST | BRC BLD AMER BD | 78464A276 | — | 48,530 shares | $2,967,000 |
| CABELAS INC | COM | 126804301 | — | 50,342 shares | $2,965,000 |
| BB&T CORP | COM | 054937107 | PUT | 79,600 shares | $2,962,000 |
| INVESCO SR INCOME TR | COM | 46131H107 | — | 622,849 shares | $2,959,000 |
| AFFILIATED MANAGERS GROUP | COM | 008252108 | — | 14,763 shares | $2,958,000 |
| FRANCO NEVADA CORP | COM | 351858105 | — | 60,481 shares | $2,956,000 |
| GENERAL GROWTH PPTYS INC NEW | COM | 370023103 | — | 125,522 shares | $2,956,000 |
| ISHARES | INTRM GOV/CR ETF | 464288612 | — | 26,809 shares | $2,956,000 |
| EATON VANCE TAX MNGED BUY WR | COM | 27828X100 | — | 188,765 shares | $2,950,000 |
| EXXON MOBIL CORP | COM | 30231G102 | — | 31,368 shares | $2,950,000 |
| LOCKHEED MARTIN CORP | COM | 539830109 | — | 16,104 shares | $2,943,000 |
| RF MICRODEVICES INC | COM | 749941100 | — | 254,901 shares | $2,942,000 |
| SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | — | 79,959 shares | $2,942,000 |
| PBF ENERGY INC | CL A | 69318G106 | — | 122,439 shares | $2,939,000 |
| RYDER SYS INC | COM | 783549108 | — | 32,638 shares | $2,936,000 |
| SWIFT TRANSN CO | CL A | 87074U101 | — | 139,882 shares | $2,935,000 |
| STARWOOD HOTELS&RESORTS WRLD | COM | 85590A401 | — | 35,250 shares | $2,933,000 |
| EXTRA SPACE STORAGE INC | COM | 30225T102 | CALL | 56,859 shares | $2,932,000 |
| PLEXUS CORP | COM | 729132100 | — | 79,384 shares | $2,932,000 |
| COHEN & STEERS REIT & PFD IN | COM | 19247X100 | — | 167,785 shares | $2,931,000 |
| SALESFORCE COM INC | COM | 79466L302 | — | 50,921 shares | $2,929,000 |
| TEMPLETON GLOBAL INCOME FD | COM | 880198106 | — | 368,236 shares | $2,927,000 |
| ACCURAY INC | NOTE 3.750% 8/0 | 004397AB1 | — | 2,800,000 principal | $2,924,000 |
| COHEN & STEERS SLT PFD INCM | COM | 19248Y107 | — | 114,293 shares | $2,924,000 |
| INVESCO CALIF VALUE MUN INC | COM | 46132H106 | — | 239,160 shares | $2,920,000 |
| LAS VEGAS SANDS CORP | COM | 517834107 | — | 46,900 shares | $2,918,000 |
| GOODYEAR TIRE & RUBR CO | COM | 382550101 | CALL | 129,090 shares | $2,916,000 |
| SEADRILL LIMITED | SHS | G7945E105 | — | 108,875 shares | $2,914,000 |
| HCA HOLDINGS INC | COM | 40412C101 | CALL | 41,300 shares | $2,912,000 |
| VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 | — | 32,529 shares | $2,912,000 |
| HYSTER YALE MATLS HANDLING I | CL A | 449172105 | — | 40,615 shares | $2,909,000 |
| NEW GOLD INC CDA | COM | 644535106 | — | 574,939 shares | $2,903,000 |
| CREDICORP LTD | COM | G2519Y108 | — | 18,912 shares | $2,901,000 |
| DYNEGY INC NEW DEL | COM | 26817R108 | PUT | 100,500 shares | $2,900,000 |
| WATERS CORP | COM | 941848103 | PUT | 29,255 shares | $2,900,000 |
| POWERSHARES INDIA ETF TR | INDIA PORT | 73935L100 | — | 133,781 shares | $2,899,000 |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | — | 15,337 shares | $2,899,000 |
| TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | CALL | 84,400 shares | $2,894,000 |
| OWENS CORNING NEW | COM | 690742101 | CALL | 91,000 shares | $2,889,000 |
| ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | — | 11,609 shares | $2,882,000 |
| VENTAS INC | COM | 92276F100 | CALL | 46,500 shares | $2,881,000 |
| DORCHESTER MINERALS LP | COM UNIT | 25820R105 | — | 97,412 shares | $2,880,000 |
| WPX ENERGY INC | COM | 98212B103 | — | 119,609 shares | $2,878,000 |
| ACORDA THERAPEUTICS INC | COM | 00484M106 | — | 84,838 shares | $2,874,000 |
| WATERS CORP | COM | 941848103 | — | 28,914 shares | $2,866,000 |
| DEUTSCHE MUN INCOME | COM | 25160C106 | — | 217,234 shares | $2,865,000 |
| BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | — | 201,762 shares | $2,863,000 |
| EATON VANCE FLTING RATE INC | COM | 278279104 | — | 196,505 shares | $2,863,000 |
| L-3 COMMUNICATIONS HLDGS INC | COM | 502424104 | — | 24,079 shares | $2,863,000 |
| ENLINK MIDSTREAM PARTNERS LP | COM UNIT REP LTD | 29336U107 | — | 93,949 shares | $2,861,000 |
| GLOBAL X FDS | GLB X GURU INDEX | 37950E341 | — | 108,393 shares | $2,852,000 |
| MONSTER BEVERAGE CORP | COM | 611740101 | CALL | 31,100 shares | $2,851,000 |
| AMBIT BIOSCIENCES CORP | COM | 02318X100 | — | 184,991 shares | $2,849,000 |
| BALL CORP | COM | 058498106 | — | 45,027 shares | $2,849,000 |
| VIACOM INC NEW | CL B | 92553P201 | — | 37,000 shares | $2,847,000 |
| WHITEHORSE FIN INC | COM | 96524V106 | — | 214,899 shares | $2,847,000 |
| ISHARES | 17 AMT-FREE ETF | 464289271 | — | 51,541 shares | $2,845,000 |
| SANDERSON FARMS INC | COM | 800013104 | — | 32,338 shares | $2,844,000 |
| BANK MONTREAL QUE | COM | 063671101 | — | 38,589 shares | $2,841,000 |
| DREAMWORKS ANIMATION SKG INC | CL A | 26153C103 | — | 104,166 shares | $2,841,000 |
| TOTAL S A | SPONSORED ADR | 89151E109 | — | 44,083 shares | $2,841,000 |
| CENOVUS ENERGY INC | COM | 15135U109 | — | 105,482 shares | $2,835,000 |
| ILLINOIS TOOL WKS INC | COM | 452308109 | — | 33,532 shares | $2,831,000 |
| BLACKROCK MUNIVEST FD INC | COM | 09253R105 | — | 294,660 shares | $2,829,000 |
| QTS RLTY TR INC | COM CL A | 74736A103 | — | 93,003 shares | $2,823,000 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | — | 25,495 shares | $2,821,000 |
| TEMPLETON DRAGON FD INC | COM | 88018T101 | — | 109,369 shares | $2,820,000 |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 922042874 | — | 51,022 shares | $2,817,000 |
| WEYERHAEUSER CO | COM | 962166104 | — | 88,426 shares | $2,817,000 |
| SUMMIT HOTEL PPTYS | COM | 866082100 | — | 261,140 shares | $2,815,000 |
| TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | — | 82,000 shares | $2,812,000 |
| FEDEX CORP | COM | 31428X106 | CALL | 17,400 shares | $2,809,000 |
| ADVANCED SEMICONDUCTOR ENGR | SPONSORED ADR | 00756M404 | — | 475,078 shares | $2,808,000 |
| NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | — | 305,097 shares | $2,807,000 |
| PHILLIPS 66 | COM | 718546104 | — | 34,517 shares | $2,807,000 |
| INTUIT | COM | 461202103 | — | 32,016 shares | $2,806,000 |
| WESTAR ENERGY INC | COM | 95709T100 | — | 82,235 shares | $2,806,000 |
| DIEBOLD INC | COM | 253651103 | — | 79,411 shares | $2,805,000 |
| AVON PRODS INC | COM | 054303102 | — | 222,517 shares | $2,804,000 |
| RED HAT INC | COM | 756577102 | — | 49,861 shares | $2,800,000 |
| SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | CALL | 76,100 shares | $2,800,000 |
| AT&T INC | COM | 00206R102 | — | 79,400 shares | $2,798,000 |
| PIMCO MUN INCOME FD II | COM | 72200W106 | — | 240,156 shares | $2,798,000 |
| PROCTER & GAMBLE CO | COM | 742718109 | — | 33,412 shares | $2,798,000 |
| SOUTHERN COPPER CORP | COM | 84265V105 | — | 94,379 shares | $2,798,000 |
| ENCANA CORP | COM | 292505104 | — | 131,855 shares | $2,797,000 |
| TAL ED GROUP | ADS REPSTG COM | 874080104 | — | 79,942 shares | $2,793,000 |