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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) |
|---|---|---|---|---|---|
| GLIMCHER RLTY TR | SH BEN INT | 379302102 | — | 2,934 shares | $40,000 |
| HERITAGE FINL CORP WASH | COM | 42722X106 | — | 2,518 shares | $40,000 |
| INTRICON CORP | COM | 46121H109 | — | 6,600 shares | $40,000 |
| ISHARES | GLB AGRIC PR ETF | 464286350 | — | 1,508 shares | $40,000 |
| ISHARES TR | JAPAN LG-CAP ETF | 464287382 | — | 798 shares | $40,000 |
| KEY TECHNOLOGY INC | COM | 493143101 | — | 3,000 shares | $40,000 |
| KRONOS WORLDWIDE INC | COM | 50105F105 | — | 2,887 shares | $40,000 |
| LAREDO PETROLEUM INC | COM | 516806106 | CALL | 1,800 shares | $40,000 |
| LEAPFROG ENTERPRISES INC | CL A | 52186N106 | — | 6,739 shares | $40,000 |
| LEXICON PHARMACEUTICALS INC | COM | 528872104 | — | 28,590 shares | $40,000 |
| MARKET VECTORS ETF TR | BRAZL SMCP ETF | 57060U613 | PUT | 1,500 shares | $40,000 |
| MECHEL OAO | SPONSORED ADR | 583840103 | CALL | 35,800 shares | $40,000 |
| MEXICO FD INC | COM | 592835102 | — | 1,462 shares | $40,000 |
| MIDWAY GOLD CORP | COM | 598153104 | — | 38,537 shares | $40,000 |
| MOBILE MINI INC | COM | 60740F105 | — | 1,137 shares | $40,000 |
| NAVIGATORS GROUP INC | COM | 638904102 | — | 658 shares | $40,000 |
| NORANDA ALUM HLDG CORP | COM | 65542W107 | — | 8,913 shares | $40,000 |
| NORTHWEST PIPE CO | COM | 667746101 | — | 1,173 shares | $40,000 |
| NUVEEN NJ DIV ADVANTAGE MUN | COM | 67069Y102 | — | 3,000 shares | $40,000 |
| PARK OHIO HLDGS CORP | COM | 700666100 | — | 833 shares | $40,000 |
| PATTERSON COMPANIES INC | COM | 703395103 | — | 961 shares | $40,000 |
| PROSHARES TR | ULTSHRT QQQ | 74348A426 | PUT | 900 shares | $40,000 |
| SPECTRA ENERGY CORP | COM | 847560109 | — | 1,020 shares | $40,000 |
| SUNCOKE ENERGY INC | COM | 86722A103 | CALL | 1,800 shares | $40,000 |
| TAHOE RES INC | COM | 873868103 | — | 1,957 shares | $40,000 |
| TEXAS CAPITAL BANCSHARES INC | *W EXP 01/16/201 | 88224Q115 | — | 930 shares | $40,000 |
| THORATEC CORP | COM NEW | 885175307 | CALL | 1,500 shares | $40,000 |
| UNIVERSAL CORP VA | COM | 913456109 | PUT | 900 shares | $40,000 |
| VAIL RESORTS INC | COM | 91879Q109 | — | 456 shares | $40,000 |
| VALERO ENERGY PARTNERS LP | COM UNT REP LP | 91914J102 | — | 899 shares | $40,000 |
| ZIX CORP | COM | 98974P100 | — | 11,550 shares | $40,000 |
| AMCON DISTRG CO | COM NEW | 02341Q205 | — | 462 shares | $39,000 |
| ANALOGIC CORP | COM PAR $0.05 | 032657207 | — | 615 shares | $39,000 |
| ARAMARK | COM | 03852U106 | — | 1,495 shares | $39,000 |
| BARCLAYS BK PLC | IPTH SUGAR ETN | 06740P163 | — | 1,314 shares | $39,000 |
| CAI INTERNATIONAL INC | COM | 12477X106 | CALL | 2,000 shares | $39,000 |
| CERAGON NETWORKS LTD | ORD | M22013102 | — | 16,584 shares | $39,000 |
| CREDIT SUISSE NASSAU BRH | ETN IDX-LKD 20 | 22542D845 | — | 1,969 shares | $39,000 |
| DB-X EXCHANGE-TRADED FDS INC | XTRAK 2020TGT DT | 233052208 | — | 1,401 shares | $39,000 |
| DEUTSCHE BK AG LDN BRH | PS CMDTY SH ETN | 25154H467 | — | 1,143 shares | $39,000 |
| DIGITAL RIV INC | COM | 25388B104 | — | 2,665 shares | $39,000 |
| ELBIT SYS LTD | ORD | M3760D101 | — | 620 shares | $39,000 |
| ELLIE MAE INC | COM | 28849P100 | CALL | 1,200 shares | $39,000 |
| ENBRIDGE ENERGY PARTNERS L P | COM | 29250R106 | PUT | 1,000 shares | $39,000 |
| EVERBANK FINL CORP | COM | 29977G102 | — | 2,234 shares | $39,000 |
| FLUIDIGM CORP DEL | COM | 34385P108 | — | 1,600 shares | $39,000 |
| FREEPORT-MCMORAN INC | CL B | 35671D857 | — | 1,200 shares | $39,000 |
| GALENA BIOPHARMA INC | COM | 363256108 | PUT | 18,800 shares | $39,000 |
| GERDAU S A | SPON ADR REP PFD | 373737105 | — | 8,030 shares | $39,000 |
| GRIFOLS S A | SP ADR REP B NVT | 398438408 | CALL | 1,100 shares | $39,000 |
| GRUPO SIMEC S A B DE C V | ADR | 400491106 | — | 2,942 shares | $39,000 |
| HANDY & HARMAN LTD | COM | 410315105 | — | 1,499 shares | $39,000 |
| INDEXIQ ETF TR | HDG MACTRK ETF | 45409B206 | — | 1,500 shares | $39,000 |
| INTERCONTINENTAL EXCHANGE IN | COM | 45866F104 | PUT | 200 shares | $39,000 |
| INTERNET INITIATIVE JAPAN IN | SPONSORED ADR | 46059T109 | — | 3,918 shares | $39,000 |
| INTERSIL CORP | CL A | 46069S109 | — | 2,752 shares | $39,000 |
| INTRALINKS HLDGS INC | COM | 46118H104 | — | 4,864 shares | $39,000 |
| JANUS CAP GROUP INC | COM | 47102X105 | CALL | 2,700 shares | $39,000 |
| MARKETO INC | COM | 57063L107 | — | 1,211 shares | $39,000 |
| MARKET VECTORS ETF TR | MKTVEC SMUNETF | 57060U803 | — | 2,232 shares | $39,000 |
| MARTIN MARIETTA MATLS INC | COM | 573284106 | PUT | 300 shares | $39,000 |
| MCKESSON CORP | COM | 58155Q103 | PUT | 200 shares | $39,000 |
| NABORS INDUSTRIES LTD | SHS | G6359F103 | — | 1,725 shares | $39,000 |
| NATURAL RESOURCE PARTNERS L | COM UNIT L P | 63900P103 | PUT | 3,000 shares | $39,000 |
| NORTHERN TECH INTL CORP | COM | 665809109 | — | 1,831 shares | $39,000 |
| PEAPACK-GLADSTONE FINL CORP | COM | 704699107 | — | 2,244 shares | $39,000 |
| PROSHARES TR | ULTRASHORT INDL | 74348A368 | — | 801 shares | $39,000 |
| ROYAL BK OF SCOTLAND PLC | RBS OIL TRNDPL | 78009P127 | — | 1,920 shares | $39,000 |
| RSP PERMIAN INC | COM | 74978Q105 | — | 1,540 shares | $39,000 |
| SCHWEITZER-MAUDUIT INTL INC | COM | 808541106 | — | 932 shares | $39,000 |
| TARGET CORP | COM | 87612E106 | — | 615 shares | $39,000 |
| TERADYNE INC | COM | 880770102 | — | 2,000 shares | $39,000 |
| TIDEWATER INC | COM | 886423102 | — | 1,000 shares | $39,000 |
| UNILIFE CORP NEW | COM | 90478E103 | — | 17,000 shares | $39,000 |
| UNITED DEV FDG IV | COM | 910187103 | — | 1,991 shares | $39,000 |
| WESTPORT INNOVATIONS INC | COM NEW | 960908309 | — | 3,707 shares | $39,000 |
| WILLIAMS COS INC DEL | COM | 969457100 | CALL | 700 shares | $39,000 |
| ZS PHARMA INC | COM | 98979G105 | — | 1,000 shares | $39,000 |
| 1ST CONSTITUTION BANCORP | COM | 31986N102 | — | 3,689 shares | $38,000 |
| ALAMOS GOLD INC | COM | 011527108 | — | 4,776 shares | $38,000 |
| AMERIANA BANCORP | COM | 023613102 | — | 2,488 shares | $38,000 |
| BARCLAYS BK PLC | ETN DJUBS NCKL37 | 06739F119 | — | 1,736 shares | $38,000 |
| BARCLAYS BK PLC | IP EUR/USD ETN | 06739F184 | — | 791 shares | $38,000 |
| BERKSHIRE HILLS BANCORP INC | COM | 084680107 | — | 1,600 shares | $38,000 |
| BHP BILLITON LTD | SPONSORED ADR | 088606108 | — | 650 shares | $38,000 |
| BLACKROCK MD MUNICIPAL BOND | COM | 09249L105 | — | 2,657 shares | $38,000 |
| BON-TON STORES INC | COM | 09776J101 | CALL | 4,600 shares | $38,000 |
| BORGWARNER INC | COM | 099724106 | — | 731 shares | $38,000 |
| BRIXMOR PPTY GROUP INC | COM | 11120U105 | — | 1,708 shares | $38,000 |
| CANON INC | SPONSORED ADR | 138006309 | — | 1,178 shares | $38,000 |
| CENTRAL GOLDTRUST | TR UNIT | 153546106 | — | 910 shares | $38,000 |
| DB-X EXCHANGE-TRADED FDS INC | XTRAK 2010TGT DT | 233052109 | — | 1,563 shares | $38,000 |
| DEAN FOODS CO NEW | COM NEW | 242370203 | CALL | 2,900 shares | $38,000 |
| DEUTSCHE BK AG LONDON BRH | INV JAP GOV BD | 25154P170 | — | 2,054 shares | $38,000 |
| DIAMOND HILL INVESTMENT GROU | COM NEW | 25264R207 | — | 312 shares | $38,000 |
| DIREXION SHS ETF TR | DLY SEMICONDUCT | 25459Y314 | — | 2,049 shares | $38,000 |
| ENBRIDGE INC | COM | 29250N105 | CALL | 800 shares | $38,000 |
| EXCHANGE TRADED CONCEPTS TR | FORENSIC ACCTG | 301505400 | — | 1,202 shares | $38,000 |
| EZCHIP SEMICONDUCTOR LIMITED | ORD | M4146Y108 | — | 1,585 shares | $38,000 |
| GASTAR EXPL INC NEW | COM | 36729W202 | PUT | 6,500 shares | $38,000 |