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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) |
|---|---|---|---|---|---|
| FIRST TR EXCH TRD ALPHA FD I | CANADA ALPHA | 33737J208 | — | 42,841 shares | $1,535,000 |
| LOCKHEED MARTIN CORP | COM | 539830109 | PUT | 8,400 shares | $1,535,000 |
| POOL CORPORATION | COM | 73278L105 | — | 28,471 shares | $1,535,000 |
| CALGON CARBON CORP | COM | 129603106 | — | 79,061 shares | $1,532,000 |
| CHINACACHE INTL HLDG LTD | SPON ADR | 16950M107 | — | 111,100 shares | $1,531,000 |
| POWERSHARES ETF TRUST | WNDRHLL CLN EN | 73935X500 | — | 241,803 shares | $1,531,000 |
| WASHINGTON PRIME GROUP INC | COM | 939647103 | — | 87,502 shares | $1,530,000 |
| AGIOS PHARMACEUTICALS INC | COM | 00847X104 | — | 24,930 shares | $1,529,000 |
| MATTEL INC | COM | 577081102 | CALL | 49,900 shares | $1,529,000 |
| NUVEEN PREM INCOME MUN FD 4 | COM | 6706K4105 | — | 120,043 shares | $1,528,000 |
| TAUBMAN CTRS INC | COM | 876664103 | — | 20,923 shares | $1,527,000 |
| TARGA RES CORP | COM | 87612G101 | — | 11,207 shares | $1,526,000 |
| EATON VANCE TAX-ADV BD & OPT | COM SH BEN INT | 27829M103 | — | 108,022 shares | $1,525,000 |
| PPL CORP | COM | 69351T106 | — | 46,425 shares | $1,525,000 |
| SMUCKER J M CO | COM NEW | 832696405 | CALL | 15,400 shares | $1,524,000 |
| AIR PRODS & CHEMS INC | COM | 009158106 | — | 11,700 shares | $1,523,000 |
| KROGER CO | COM | 501044101 | — | 29,215 shares | $1,519,000 |
| PRECISION DRILLING CORP | COM 2010 | 74022D308 | — | 140,748 shares | $1,519,000 |
| TEEKAY TANKERS LTD | CL A | Y8565N102 | — | 407,114 shares | $1,519,000 |
| STRYKER CORP | COM | 863667101 | — | 18,797 shares | $1,518,000 |
| INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | — | 6,407 shares | $1,516,000 |
| MARKET VECTORS ETF TR | BRAZL SMCP ETF | 57060U613 | — | 57,043 shares | $1,516,000 |
| CBS CORP NEW | CL B | 124857202 | — | 28,300 shares | $1,514,000 |
| WELLS FARGO & CO NEW | PERP PFD CNV A | 949746804 | — | 1,259 shares | $1,514,000 |
| POWERSHARES ETF TR II | S&P SMCP HC PO | 73937B886 | — | 27,432 shares | $1,511,000 |
| CIMAREX ENERGY CO | COM | 171798101 | — | 11,931 shares | $1,510,000 |
| HASBRO INC | COM | 418056107 | — | 27,419 shares | $1,508,000 |
| CARDINAL HEALTH INC | COM | 14149Y108 | — | 20,100 shares | $1,506,000 |
| NPS PHARMACEUTICALS INC | COM | 62936P103 | CALL | 57,900 shares | $1,505,000 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 | — | 17,450 shares | $1,505,000 |
| WPX ENERGY INC | COM | 98212B103 | PUT | 62,500 shares | $1,504,000 |
| ACCURAY INC | NOTE 3.500% 2/0 | 004397AD7 | — | 1,000,000 principal | $1,503,000 |
| MEDNAX INC | COM | 58502B106 | — | 27,390 shares | $1,502,000 |
| SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | — | 88,764 shares | $1,502,000 |
| WESTERN ASSET MUN HI INCM FD | COM | 95766N103 | — | 206,893 shares | $1,502,000 |
| WABTEC CORP | COM | 929740108 | — | 18,519 shares | $1,501,000 |
| HOSPIRA INC | COM | 441060100 | — | 28,832 shares | $1,500,000 |
| LEGG MASON INC | COM | 524901105 | — | 29,316 shares | $1,500,000 |
| VALERO ENERGY CORP NEW | COM | 91913Y100 | — | 32,418 shares | $1,500,000 |
| CHINA AUTOMOTIVE SYS INC | COM | 16936R105 | — | 163,238 shares | $1,499,000 |
| KINDER MORGAN INC DEL | COM | 49456B101 | — | 38,983 shares | $1,495,000 |
| BLACKROCK MUNI 2018 TERM TR | COM | 09248C106 | — | 93,783 shares | $1,493,000 |
| REPLIGEN CORP | COM | 759916109 | CALL | 75,000 shares | $1,493,000 |
| AUTODESK INC | COM | 052769106 | — | 27,074 shares | $1,492,000 |
| WESTERN ASSET GLB HI INCOME | COM | 95766B109 | — | 122,296 shares | $1,491,000 |
| LIBERTY PPTY TR | SH BEN INT | 531172104 | — | 44,750 shares | $1,488,000 |
| WABASH NATL CORP | COM | 929566107 | — | 111,714 shares | $1,488,000 |
| TYCO INTERNATIONAL LTD | SHS | H89128104 | — | 33,301 shares | $1,484,000 |
| ANSYS INC | COM | 03662Q105 | — | 19,596 shares | $1,483,000 |
| DIREXION SHS ETF TR | DLY FIN BULL NEW | 25459Y694 | PUT | 14,400 shares | $1,483,000 |
| OFFICE DEPOT INC | COM | 676220106 | — | 288,524 shares | $1,483,000 |
| BGC PARTNERS INC | CL A | 05541T101 | — | 199,346 shares | $1,481,000 |
| NUVEEN SELECT MAT MUN FD | SH BEN INT | 67061T101 | — | 141,626 shares | $1,481,000 |
| TERADATA CORP DEL | COM | 88076W103 | — | 35,318 shares | $1,481,000 |
| WPX ENERGY INC | COM | 98212B103 | CALL | 61,500 shares | $1,480,000 |
| MCGRAW HILL FINL INC | COM | 580645109 | — | 17,500 shares | $1,478,000 |
| SPDR INDEX SHS FDS | S&PINTL MC ETF | 78463X764 | — | 46,296 shares | $1,478,000 |
| SPLUNK INC | COM | 848637104 | PUT | 26,700 shares | $1,478,000 |
| EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | — | 85,684 shares | $1,477,000 |
| PIONEER NAT RES CO | COM | 723787107 | CALL | 7,500 shares | $1,477,000 |
| CHICOS FAS INC | COM | 168615102 | — | 99,924 shares | $1,476,000 |
| INCYTE CORP | COM | 45337C102 | — | 30,085 shares | $1,476,000 |
| MESABI TR | CTF BEN INT | 590672101 | — | 77,282 shares | $1,475,000 |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | — | 32,775 shares | $1,474,000 |
| AON PLC | SHS CL A | G0408V102 | — | 16,800 shares | $1,473,000 |
| FRANKLIN ELEC INC | COM | 353514102 | — | 42,373 shares | $1,472,000 |
| WESTERN UN CO | COM | 959802109 | — | 91,775 shares | $1,472,000 |
| DOMINION RES INC VA NEW | COM | 25746U109 | — | 21,285 shares | $1,471,000 |
| SEADRILL PARTNERS LLC | COMUNIT REP LB | Y7545W109 | — | 47,163 shares | $1,471,000 |
| ISHARES TR | INTL PFD STK ETF | 46429B135 | — | 61,563 shares | $1,469,000 |
| LMP CORPORATE LN FD INC | COM | 50208B100 | — | 127,142 shares | $1,468,000 |
| NEWS CORP NEW | CL A | 65249B109 | — | 89,786 shares | $1,468,000 |
| SAREPTA THERAPEUTICS INC | COM | 803607100 | — | 69,429 shares | $1,465,000 |
| EMERGE ENERGY SVCS LP | COM REP PARTN | 29102H108 | PUT | 12,700 shares | $1,464,000 |
| SERVICENOW INC | COM | 81762P102 | — | 24,900 shares | $1,464,000 |
| BOSTON SCIENTIFIC CORP | COM | 101137107 | CALL | 123,800 shares | $1,462,000 |
| ISHARES TR | NA TEC MULTM ETF | 464287531 | — | 42,541 shares | $1,461,000 |
| CIGNA CORPORATION | COM | 125509109 | — | 16,100 shares | $1,460,000 |
| PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | — | 21,879 shares | $1,460,000 |
| ALLSTATE CORP | COM | 020002101 | — | 23,765 shares | $1,458,000 |
| APOLLO SR FLOATING RATE FD I | COM | 037636107 | — | 85,265 shares | $1,458,000 |
| OFS CAP CORP | COM | 67103B100 | — | 120,685 shares | $1,457,000 |
| BLACKROCK FLA MUN 2020 TERM | COM SHS | 09250M109 | — | 97,203 shares | $1,456,000 |
| EXELON CORP | COM | 30161N101 | PUT | 42,700 shares | $1,456,000 |
| VIMPELCOM LTD | SPONSORED ADR | 92719A106 | — | 201,727 shares | $1,456,000 |
| V F CORP | COM | 918204108 | — | 22,000 shares | $1,453,000 |
| UNION PAC CORP | COM | 907818108 | — | 13,375 shares | $1,450,000 |
| BORGWARNER INC | COM | 099724106 | — | 27,550 shares | $1,449,000 |
| ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | CALL | 145,100 shares | $1,448,000 |
| ADVISORSHARES TR | TRIMTABS FLT | 00768Y818 | — | 27,956 shares | $1,448,000 |
| DRESSER-RAND GROUP INC | COM | 261608103 | PUT | 17,600 shares | $1,448,000 |
| CANADIAN SOLAR INC | COM | 136635109 | — | 40,444 shares | $1,447,000 |
| T-MOBILE US INC | COM | 872590104 | PUT | 50,100 shares | $1,446,000 |
| BLACKBERRY LTD | COM | 09228F103 | — | 145,123 shares | $1,443,000 |
| PENNANTPARK INVT CORP | COM | 708062104 | — | 131,957 shares | $1,440,000 |
| BARCLAYS BK PLC | IPMS INDIA ETN | 06739F291 | — | 20,497 shares | $1,439,000 |
| COMPANHIA DE SANEAMENTO BASI | SPONSORED ADR | 20441A102 | — | 177,457 shares | $1,439,000 |
| TESORO CORP | COM | 881609101 | — | 23,593 shares | $1,439,000 |
| AVERY DENNISON CORP | COM | 053611109 | — | 32,201 shares | $1,438,000 |
| BEAZER HOMES USA INC | COM NEW | 07556Q881 | — | 85,621 shares | $1,437,000 |