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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) |
|---|---|---|---|---|---|
| MINDRAY MEDICAL INTL LTD | SPON ADR | 602675100 | — | 53,760 shares | $1,621,000 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | — | 42,024 shares | $1,620,000 |
| STURM RUGER & CO INC | COM | 864159108 | — | 33,267 shares | $1,620,000 |
| GLAXOSMITHKLINE PLC | SPONSORED ADR | 37733W105 | — | 35,208 shares | $1,619,000 |
| NORTHROP GRUMMAN CORP | COM | 666807102 | — | 12,279 shares | $1,618,000 |
| AMERISOURCEBERGEN CORP | COM | 03073E105 | — | 20,915 shares | $1,617,000 |
| CA INC | COM | 12673P105 | CALL | 57,800 shares | $1,615,000 |
| MOODYS CORP | COM | 615369105 | — | 17,075 shares | $1,614,000 |
| PFIZER INC | COM | 717081103 | — | 54,575 shares | $1,614,000 |
| REVENUESHARES ETF TR | S&P500 FINL FD | 761396506 | — | 33,695 shares | $1,614,000 |
| EVEREST RE GROUP LTD | COM | G3223R108 | — | 9,956 shares | $1,613,000 |
| PLANTRONICS INC NEW | COM | 727493108 | — | 33,755 shares | $1,613,000 |
| PPG INDS INC | COM | 693506107 | — | 8,200 shares | $1,613,000 |
| ESSEX PPTY TR INC | COM | 297178105 | — | 9,003 shares | $1,609,000 |
| PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 74255X104 | — | 84,484 shares | $1,609,000 |
| ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | PUT | 161,100 shares | $1,608,000 |
| KENNEDY-WILSON HLDGS INC | COM | 489398107 | CALL | 67,100 shares | $1,608,000 |
| SERVICENOW INC | COM | 81762P102 | CALL | 27,300 shares | $1,605,000 |
| STELLUS CAP INVT CORP | COM | 858568108 | — | 115,564 shares | $1,605,000 |
| CUBIST PHARMACEUTICALS INC | COM | 229678107 | — | 24,180 shares | $1,604,000 |
| DELAWARE ENHANCED GBL DIV & | COM | 246060107 | — | 133,358 shares | $1,603,000 |
| CME GROUP INC | COM | 12572Q105 | — | 20,010 shares | $1,600,000 |
| MONTAGE TECHNOLOGY GROUP LTD | SHS | G6209T105 | CALL | 76,600 shares | $1,600,000 |
| ULTA SALON COSMETCS & FRAG I | COM | 90384S303 | — | 13,537 shares | $1,600,000 |
| IAC INTERACTIVECORP | COM PAR $.001 | 44919P508 | — | 24,266 shares | $1,599,000 |
| CUTWATER SELECT INCOME FD | COM | 232229104 | — | 80,935 shares | $1,598,000 |
| SANDRIDGE ENERGY INC | COM | 80007P307 | PUT | 372,300 shares | $1,597,000 |
| DANA HLDG CORP | COM | 235825205 | — | 83,199 shares | $1,595,000 |
| LORILLARD INC | COM | 544147101 | PUT | 26,600 shares | $1,594,000 |
| AMERICAN AIRLS GROUP INC | COM | 02376R102 | CALL | 44,900 shares | $1,593,000 |
| ISHARES | MSCI CDA ETF | 464286509 | — | 51,900 shares | $1,593,000 |
| MARRIOTT VACATIONS WRLDWDE C | COM | 57164Y107 | — | 25,116 shares | $1,593,000 |
| NEWMARKET CORP | COM | 651587107 | — | 4,180 shares | $1,593,000 |
| CITRIX SYS INC | COM | 177376100 | CALL | 22,300 shares | $1,591,000 |
| DEERE & CO | COM | 244199105 | — | 19,400 shares | $1,591,000 |
| NEXPOINT CR STRATEGIES FD | COM | 65340G106 | — | 149,790 shares | $1,591,000 |
| PIMCO ETF TR | LOW DURTN ETF | 72201R718 | — | 15,722 shares | $1,591,000 |
| SEMPRA ENERGY | COM | 816851109 | — | 15,100 shares | $1,591,000 |
| CATERPILLAR INC DEL | COM | 149123101 | — | 16,045 shares | $1,589,000 |
| NUVEEN ENHANCED MUN VALUE FD | COM | 67074M101 | — | 107,710 shares | $1,589,000 |
| MARKETAXESS HLDGS INC | COM | 57060D108 | — | 25,650 shares | $1,587,000 |
| MOLSON COORS BREWING CO | CL B | 60871R209 | — | 21,325 shares | $1,587,000 |
| PACIRA PHARMACEUTICALS INC | COM | 695127100 | — | 16,370 shares | $1,587,000 |
| PINNACLE FOODS INC DEL | COM | 72348P104 | — | 48,606 shares | $1,587,000 |
| WISDOMTREE TR | DEFA EQT INC ETF | 97717W802 | — | 34,874 shares | $1,586,000 |
| GOPRO INC | CL A | 38268T103 | — | 16,917 shares | $1,585,000 |
| NETFLIX INC | COM | 64110L106 | — | 3,514 shares | $1,585,000 |
| ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | — | 181,946 shares | $1,585,000 |
| WADDELL & REED FINL INC | CL A | 930059100 | — | 30,670 shares | $1,585,000 |
| INOVIO PHARMACEUTICALS INC | COM NEW | 45773H201 | — | 160,800 shares | $1,584,000 |
| TRINA SOLAR LIMITED | SPON ADR | 89628E104 | — | 131,235 shares | $1,584,000 |
| NOVADAQ TECHNOLOGIES INC | COM | 66987G102 | — | 124,725 shares | $1,583,000 |
| DST SYS INC DEL | COM | 233326107 | — | 18,851 shares | $1,582,000 |
| PHARMERICA CORP | COM | 71714F104 | — | 64,743 shares | $1,582,000 |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | — | 35,300 shares | $1,580,000 |
| SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | PUT | 42,900 shares | $1,578,000 |
| DEVON ENERGY CORP NEW | COM | 25179M103 | — | 23,100 shares | $1,575,000 |
| HANCOCK JOHN PFD INCOME FD I | COM | 41013X106 | — | 78,460 shares | $1,572,000 |
| APACHE CORP | COM | 037411105 | — | 16,740 shares | $1,571,000 |
| ENDO INTL PLC | SHS | G30401106 | — | 22,995 shares | $1,571,000 |
| PETROCHINA CO LTD | SPONSORED ADR | 71646E100 | — | 12,214 shares | $1,570,000 |
| COOPER TIRE & RUBR CO | COM | 216831107 | — | 54,652 shares | $1,569,000 |
| FIRST TR EXCNGE TRD ALPHADEX | MID CP GR ALPH | 33737M102 | — | 56,588 shares | $1,568,000 |
| TRIPADVISOR INC | COM | 896945201 | — | 17,148 shares | $1,568,000 |
| CAPITALA FIN CORP | COM | 14054R106 | — | 88,259 shares | $1,564,000 |
| SAFEWAY INC | COM NEW | 786514208 | PUT | 45,600 shares | $1,564,000 |
| LINCOLN ELEC HLDGS INC | COM | 533900106 | — | 22,611 shares | $1,563,000 |
| PROTECTIVE LIFE CORP | COM | 743674103 | — | 22,521 shares | $1,563,000 |
| MACERICH CO | COM | 554382101 | — | 24,474 shares | $1,562,000 |
| OFFICE DEPOT INC | COM | 676220106 | CALL | 303,700 shares | $1,561,000 |
| UNITED STATES NATL GAS FUND | UNIT PAR $0.001 | 912318201 | CALL | 70,600 shares | $1,561,000 |
| COMCAST CORP NEW | CL A SPL | 20030N200 | — | 29,142 shares | $1,559,000 |
| DOLLAR TREE INC | COM | 256746108 | CALL | 27,800 shares | $1,559,000 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | — | 37,500 shares | $1,559,000 |
| NORTHWEST BANCSHARES INC MD | COM | 667340103 | — | 128,819 shares | $1,559,000 |
| BANK AMER CORP | 7.25%CNV PFD L | 060505682 | — | 1,358 shares | $1,557,000 |
| APARTMENT INVT & MGMT CO | CL A | 03748R101 | — | 48,850 shares | $1,554,000 |
| ISHARES | CORE LT USDB ETF | 464289479 | — | 25,359 shares | $1,552,000 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | — | 76,915 shares | $1,552,000 |
| WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | — | 172,753 shares | $1,550,000 |
| AMERICAN CAP MTG INVT CORP | COM | 02504A104 | — | 82,328 shares | $1,549,000 |
| MARKET VECTORS ETF TR | INDIA SMALL CP | 57061R551 | — | 35,083 shares | $1,549,000 |
| ARENA PHARMACEUTICALS INC | COM | 040047102 | PUT | 369,400 shares | $1,548,000 |
| DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | — | 41,533 shares | $1,548,000 |
| BRISTOL MYERS SQUIBB CO | COM | 110122108 | — | 30,225 shares | $1,547,000 |
| IMPERVA INC | COM | 45321L100 | PUT | 53,800 shares | $1,546,000 |
| IDACORP INC | COM | 451107106 | — | 28,812 shares | $1,545,000 |
| POWERSHARES ETF TRUST | DYN NETWKG PRT | 73935X815 | — | 47,588 shares | $1,545,000 |
| AMERICAN AIRLS GROUP INC | COM | 02376R102 | — | 43,516 shares | $1,544,000 |
| BARCLAYS BANK PLC | ETN DJUBS AGRI37 | 06739H206 | — | 39,148 shares | $1,544,000 |
| KIMBERLY CLARK CORP | COM | 494368103 | — | 14,355 shares | $1,544,000 |
| SPDR INDEX SHS FDS | EURO STOXX 50 | 78463X202 | PUT | 38,900 shares | $1,544,000 |
| RPC INC | COM | 749660106 | — | 70,227 shares | $1,542,000 |
| TYCO INTERNATIONAL LTD | SHS | H89128104 | CALL | 34,600 shares | $1,542,000 |
| ILLUMINA INC | COM | 452327109 | CALL | 9,400 shares | $1,541,000 |
| SPDR INDEX SHS FDS | EURO STOXX 50 | 78463X202 | — | 38,828 shares | $1,541,000 |
| YELP INC | CL A | 985817105 | CALL | 22,580 shares | $1,541,000 |
| KRAFT FOODS GROUP INC | COM | 50076Q106 | PUT | 27,300 shares | $1,540,000 |
| HARRIS & HARRIS GROUP INC | COM | 413833104 | — | 515,723 shares | $1,537,000 |
| SPECTRA ENERGY CORP | COM | 847560109 | — | 39,114 shares | $1,536,000 |