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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) |
|---|---|---|---|---|---|
| RECRO PHARMA INC | COM | 75629F109 | — | 20,262 shares | $60,000 |
| SALLY BEAUTY HLDGS INC | COM | 79546E104 | PUT | 2,200 shares | $60,000 |
| SPDR INDEX SHS FDS | MSCI ACWI EXUS | 78463X848 | — | 1,700 shares | $60,000 |
| STANDARD PAC CORP NEW | COM | 85375C101 | PUT | 8,000 shares | $60,000 |
| TENNANT CO | COM | 880345103 | — | 887 shares | $60,000 |
| WAYSIDE TECHNOLOGY GROUP INC | COM | 946760105 | — | 3,800 shares | $60,000 |
| ACTIVE POWER INC | COM NEW | 00504W308 | — | 29,400 shares | $59,000 |
| ACTUA CORP | COM | 005094107 | — | 3,697 shares | $59,000 |
| ANGIES LIST INC | COM | 034754101 | — | 9,200 shares | $59,000 |
| ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 | — | 530 shares | $59,000 |
| BARCLAYS BK PLC | IPTH LEAD ETN | 06740P197 | — | 1,631 shares | $59,000 |
| BELDEN INC | COM | 077454106 | — | 914 shares | $59,000 |
| BRIDGEPOINT ED INC | COM | 10807M105 | — | 5,252 shares | $59,000 |
| COCA COLA BOTTLING CO CONS | COM | 191098102 | — | 794 shares | $59,000 |
| CURTISS WRIGHT CORP | COM | 231561101 | CALL | 900 shares | $59,000 |
| EXTERRAN PARTNERS LP | COM UNITS | 30225N105 | CALL | 2,000 shares | $59,000 |
| FBR & CO | COM NEW | 30247C400 | — | 2,160 shares | $59,000 |
| GRAMERCY PPTY TR INC | COM | 38489R100 | — | 10,174 shares | $59,000 |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | — | 5,430 shares | $59,000 |
| INDEXIQ ETF TR | CAN SML CP ETF | 45409B867 | — | 2,631 shares | $59,000 |
| ISHARES | GLOB UTILITS ETF | 464288711 | — | 1,237 shares | $59,000 |
| JUMEI INTL HLDG LTD | SPONSORED ADR | 48138L107 | — | 2,510 shares | $59,000 |
| LANDMARK BANCORP INC | COM | 51504L107 | — | 2,551 shares | $59,000 |
| LATTICE SEMICONDUCTOR CORP | COM | 518415104 | — | 7,840 shares | $59,000 |
| LYDALL INC DEL | COM | 550819106 | CALL | 2,200 shares | $59,000 |
| MB FINANCIAL INC NEW | COM | 55264U108 | — | 2,143 shares | $59,000 |
| NASDAQ OMX GROUP INC | COM | 631103108 | CALL | 1,400 shares | $59,000 |
| NATIONAL GEN HLDGS CORP | COM | 636220303 | — | 3,500 shares | $59,000 |
| NEOGEN CORP | COM | 640491106 | CALL | 1,500 shares | $59,000 |
| NEW YORK CMNTY CAP TR V | UNIT 11/01/2051 | 64944P307 | — | 1,173 shares | $59,000 |
| PENNYMAC FINL SVCS INC | CL A | 70932B101 | — | 4,003 shares | $59,000 |
| POWERSHARES ETF TR II | EMRG MKTS INFR | 73937B209 | — | 1,627 shares | $59,000 |
| POWERSHARES ETF TRUST | FND PR MIDGRT PT | 73935X807 | — | 1,943 shares | $59,000 |
| PPG INDS INC | COM | 693506107 | CALL | 300 shares | $59,000 |
| SANDSTORM GOLD LTD | COM NEW | 80013R206 | — | 13,771 shares | $59,000 |
| SCHWAB STRATEGIC TR | INTL SCEQT ETF | 808524888 | — | 1,875 shares | $59,000 |
| TALLGRASS ENERGY PARTNERS LP | COM UNIT | 874697105 | PUT | 1,300 shares | $59,000 |
| UNIT CORP | COM | 909218109 | — | 1,000 shares | $59,000 |
| WAGEWORKS INC | COM | 930427109 | CALL | 1,300 shares | $59,000 |
| AARONS INC | COM PAR $0.50 | 002535300 | — | 2,389 shares | $58,000 |
| ACACIA RESH CORP | ACACIA TCH COM | 003881307 | — | 3,758 shares | $58,000 |
| AGIOS PHARMACEUTICALS INC | COM | 00847X104 | — | 945 shares | $58,000 |
| BARCLAYS BK PLC | IPTH ALUMN ETN | 06740P171 | — | 2,004 shares | $58,000 |
| BIO RAD LABS INC | CL B | 090572108 | — | 514 shares | $58,000 |
| BOSTON PROPERTIES INC | COM | 101121101 | CALL | 500 shares | $58,000 |
| CALLON PETE CO DEL | COM | 13123X102 | — | 6,534 shares | $58,000 |
| CHINA FD INC | COM | 169373107 | — | 2,772 shares | $58,000 |
| CHIQUITA BRANDS INTL INC | COM | 170032809 | — | 4,096 shares | $58,000 |
| DTF TAX-FREE INCOME INC | COM | 23334J107 | — | 3,850 shares | $58,000 |
| EMPIRE ST RLTY OP L P | UNIT LTD PRTNSP | 292102100 | — | 3,954 shares | $58,000 |
| FASTENAL CO | COM | 311900104 | PUT | 1,300 shares | $58,000 |
| GLOBAL X FDS | GLB X BRAZ CON | 37950E846 | — | 3,599 shares | $58,000 |
| HARBINGER GROUP INC | COM | 41146A106 | PUT | 4,400 shares | $58,000 |
| INNODATA INC | COM NEW | 457642205 | — | 18,933 shares | $58,000 |
| INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | — | 3,627 shares | $58,000 |
| LMP CORPORATE LN FD INC | COM | 50208B100 | — | 5,027 shares | $58,000 |
| NATIONAL INSTRS CORP | COM | 636518102 | — | 1,881 shares | $58,000 |
| NEPTUNE TECHNOLOGIES BIORESO | COM | 64077P108 | PUT | 30,000 shares | $58,000 |
| OSIRIS THERAPEUTICS INC NEW | COM | 68827R108 | — | 4,600 shares | $58,000 |
| PLATFORM SPECIALTY PRODS COR | COM | 72766Q105 | — | 2,325 shares | $58,000 |
| PROSHARES TR | SHT 7-10 YR TR | 74348A608 | — | 1,829 shares | $58,000 |
| ROSETTA RESOURCES INC | COM | 777779307 | CALL | 1,300 shares | $58,000 |
| SAPIENT CORP | COM | 803062108 | — | 4,131 shares | $58,000 |
| SIMULATIONS PLUS INC | COM | 829214105 | — | 8,392 shares | $58,000 |
| THOMPSON CREEK METALS CO INC | COM | 884768102 | CALL | 26,500 shares | $58,000 |
| TRONOX LTD | SHS CL A | Q9235V101 | — | 2,243 shares | $58,000 |
| UNIVERSAL ELECTRS INC | COM | 913483103 | — | 1,166 shares | $58,000 |
| WELLPOINT INC | COM | 94973V107 | — | 485 shares | $58,000 |
| WISDOMTREE TR | INDIAN RUP ETF | 97717W166 | — | 2,795 shares | $58,000 |
| WOORI FIN HLDGS CO LTD | ADR NEW | 981063209 | — | 1,575 shares | $58,000 |
| ALASKA AIR GROUP INC | COM | 011659109 | CALL | 1,300 shares | $57,000 |
| AMERICAN SUPERCONDUCTOR CORP | COM | 030111108 | PUT | 40,500 shares | $57,000 |
| APOGEE ENTERPRISES INC | COM | 037598109 | — | 1,426 shares | $57,000 |
| BABSON CAP CORPORATE INVS | COM | 05617K109 | — | 3,718 shares | $57,000 |
| BANCO DE CHILE | SPONSORED ADR | 059520106 | — | 776 shares | $57,000 |
| BLACKSTONE GSO FLTING RTE FU | COM | 09256U105 | — | 3,331 shares | $57,000 |
| CEMEX SAB DE CV | SPON ADR NEW | 151290889 | — | 4,351 shares | $57,000 |
| CIM COML TR CORP | COM | 125525105 | — | 2,594 shares | $57,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUGG CRP BD 2014 | 18383M571 | — | 2,719 shares | $57,000 |
| COMPUTER PROGRAMS & SYS INC | COM | 205306103 | CALL | 1,000 shares | $57,000 |
| CORPORATE EXECUTIVE BRD CO | COM | 21988R102 | — | 946 shares | $57,000 |
| FXCM INC | COM CL A | 302693106 | — | 3,608 shares | $57,000 |
| GLOBAL X FDS | FTSE NORDIC REG | 37950E101 | — | 2,296 shares | $57,000 |
| HFF INC | CL A | 40418F108 | — | 1,984 shares | $57,000 |
| ING GROEP N V | SPONSORED ADR | 456837103 | CALL | 4,000 shares | $57,000 |
| ISHARES | CORE US CR BD | 464288620 | — | 519 shares | $57,000 |
| LYDALL INC DEL | COM | 550819106 | — | 2,104 shares | $57,000 |
| MEDIFAST INC | COM | 58470H101 | — | 1,746 shares | $57,000 |
| NORTHERN OIL & GAS INC NEV | COM | 665531109 | PUT | 4,000 shares | $57,000 |
| NORTHERN TR CORP | COM | 665859104 | — | 831 shares | $57,000 |
| NORTHWEST BIOTHERAPEUTICS IN | COM PAR $0.001 | 66737P600 | — | 11,416 shares | $57,000 |
| NUVEEN SR INCOME FD | COM | 67067Y104 | — | 8,513 shares | $57,000 |
| ONCOMED PHARMACEUTICALS INC | COM | 68234X102 | — | 3,020 shares | $57,000 |
| PIMCO ETF TR | GB ADV INF BD | 72201R791 | — | 1,196 shares | $57,000 |
| POTBELLY CORP | COM | 73754Y100 | CALL | 4,900 shares | $57,000 |
| PROSHARES TR II | VIX MDTRM FUTR | 74347W684 | CALL | 3,600 shares | $57,000 |
| RAIT FINANCIAL TRUST | COM NEW | 749227609 | CALL | 7,700 shares | $57,000 |
| SPDR SERIES TRUST | S&P MTG FIN | 78464A524 | — | 1,090 shares | $57,000 |
| SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | — | 6,420 shares | $57,000 |
| TELEFONICA S A | SPONSORED ADR | 879382208 | CALL | 3,700 shares | $57,000 |