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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) |
|---|---|---|---|---|---|
| GAMCO INVESTORS INC | COM | 361438104 | — | 502 shares | $36,000 |
| GRACE W R & CO DEL NEW | COM | 38388F108 | CALL | 400 shares | $36,000 |
| HATTERAS FINL CORP | COM | 41902R103 | PUT | 2,000 shares | $36,000 |
| HILL INTERNATIONAL INC | COM | 431466101 | — | 9,000 shares | $36,000 |
| HOSPIRA INC | COM | 441060100 | CALL | 700 shares | $36,000 |
| IDT CORP | CL B NEW | 448947507 | — | 2,250 shares | $36,000 |
| INDIA FD INC | COM | 454089103 | — | 1,328 shares | $36,000 |
| INVESCO PA VALUE MUN INCOME | COM | 46132K109 | — | 2,757 shares | $36,000 |
| KRATOS DEFENSE & SEC SOLUTIO | COM NEW | 50077B207 | PUT | 5,500 shares | $36,000 |
| MARATHON OIL CORP | COM | 565849106 | — | 945 shares | $36,000 |
| MATTRESS FIRM HLDG CORP | COM | 57722W106 | PUT | 600 shares | $36,000 |
| MBIA INC | COM | 55262C100 | — | 3,900 shares | $36,000 |
| MGIC INVT CORP WIS | NOTE 2.000% 4/0 | 552848AE3 | — | 27,000 principal | $36,000 |
| NETSUITE INC | COM | 64118Q107 | PUT | 400 shares | $36,000 |
| NUVERRA ENVIRONMENTAL SOLUTI | COM NEW | 67091K203 | — | 2,432 shares | $36,000 |
| ONEIDA FINL CORP MD | COM | 682479100 | — | 2,715 shares | $36,000 |
| POTBELLY CORP | COM | 73754Y100 | — | 3,053 shares | $36,000 |
| PREFORMED LINE PRODS CO | COM | 740444104 | — | 686 shares | $36,000 |
| PRIMERO MNG CORP | COM | 74164W106 | — | 7,430 shares | $36,000 |
| PROSHARES TR | ULTR RUSSL2000 | 74347X799 | CALL | 500 shares | $36,000 |
| RE MAX HLDGS INC | CL A | 75524W108 | — | 1,219 shares | $36,000 |
| RETAILMENOT INC | COM SER 1 | 76132B106 | — | 2,243 shares | $36,000 |
| REVENUESHARES ETF TR | NAVELLR A-100 | 761396704 | — | 650 shares | $36,000 |
| SANDRIDGE PERMIAN TR | COM UNIT BEN INT | 80007A102 | — | 3,693 shares | $36,000 |
| SANDY SPRING BANCORP INC | COM | 800363103 | — | 1,559 shares | $36,000 |
| SILVERCORP METALS INC | COM | 82835P103 | CALL | 22,600 shares | $36,000 |
| STRATASYS LTD | SHS | M85548101 | PUT | 300 shares | $36,000 |
| SUN BANCORP INC | COM NEW | 86663B201 | — | 2,000 shares | $36,000 |
| TENET HEALTHCARE CORP | COM NEW | 88033G407 | PUT | 600 shares | $36,000 |
| TRANSGLOBE ENERGY CORP | COM | 893662106 | — | 5,996 shares | $36,000 |
| UBIC INC | SPONSORED ADR | 90346V105 | — | 2,357 shares | $36,000 |
| VCA INC | COM | 918194101 | — | 906 shares | $36,000 |
| 1347 CAP CORP | UNIT 99/99/9999 | 68245V202 | — | 3,466 shares | $35,000 |
| ABERDEEN EMERGING MKTS SMALL | COM | 00301T102 | — | 2,538 shares | $35,000 |
| ACUITY BRANDS INC | COM | 00508Y102 | CALL | 300 shares | $35,000 |
| APPLIED INDL TECHNOLOGIES IN | COM | 03820C105 | — | 756 shares | $35,000 |
| BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR | 05946K101 | — | 2,938 shares | $35,000 |
| BARCLAYS BK PLC | US TRES FLATT | 06740L485 | — | 584 shares | $35,000 |
| BROOKFIELD TOTAL RETURN FD I | COM | 11283U108 | — | 1,386 shares | $35,000 |
| CARDTRONICS INC | COM | 14161H108 | CALL | 1,000 shares | $35,000 |
| CHICAGO RIVET & MACH CO | COM | 168088102 | — | 1,131 shares | $35,000 |
| CHINA EASTN AIRLS LTD | SPON ADR CL H | 16937R104 | — | 2,174 shares | $35,000 |
| CIRCOR INTL INC | COM | 17273K109 | — | 526 shares | $35,000 |
| CME GROUP INC | COM | 12572Q105 | — | 435 shares | $35,000 |
| CONTAINER STORE GROUP INC | COM | 210751103 | PUT | 1,600 shares | $35,000 |
| CURRENCYSHARES AUSTRALIAN DL | AUSTRALIAN DOL | 23129U101 | CALL | 400 shares | $35,000 |
| DIANA CONTAINERSHIPS INC | COM | Y2069P101 | CALL | 15,500 shares | $35,000 |
| DIEBOLD INC | COM | 253651103 | CALL | 1,000 shares | $35,000 |
| EARTHLINK HLDGS CORP | COM | 27033X101 | — | 10,230 shares | $35,000 |
| FEDERATED INVS INC PA | CL B | 314211103 | CALL | 1,200 shares | $35,000 |
| FLUSHING FINL CORP | COM | 343873105 | — | 1,900 shares | $35,000 |
| FRANKLIN FINL CORP VA | COM | 35353C102 | — | 1,864 shares | $35,000 |
| GUIDEWIRE SOFTWARE INC | COM | 40171V100 | PUT | 800 shares | $35,000 |
| INTL FCSTONE INC | COM | 46116V105 | — | 2,000 shares | $35,000 |
| KB FINANCIAL GROUP INC | SPONSORED ADR | 48241A105 | — | 965 shares | $35,000 |
| MOBILE TELESYSTEMS OJSC | SPONSORED ADR | 607409109 | — | 2,360 shares | $35,000 |
| NORTHWEST BIOTHERAPEUTICS IN | COM PAR $0.001 | 66737P600 | — | 7,012 shares | $35,000 |
| NOVATEL WIRELESS INC | COM NEW | 66987M604 | — | 9,433 shares | $35,000 |
| NUVEEN PA MUN VALUE FD | COM | 67074K105 | — | 2,350 shares | $35,000 |
| OCONEE FED FINL CORP | COM | 675607105 | — | 2,006 shares | $35,000 |
| PARK CITY GROUP INC | COM NEW | 700215304 | — | 3,509 shares | $35,000 |
| POWERSHARES ETF TRUST | FND PUR MIDCR PT | 73935X443 | — | 957 shares | $35,000 |
| POWERSHARES ETF TRUST | ZACKS MC PRTFL | 73935X740 | — | 2,253 shares | $35,000 |
| POWERSHARES ETF TRUST II | GLBL ST HI YLD | 73936Q710 | — | 1,452 shares | $35,000 |
| PROSHARES TR | ULTRA SH DOW30 | 74347X112 | CALL | 1,400 shares | $35,000 |
| SANDERSON FARMS INC | COM | 800013104 | CALL | 400 shares | $35,000 |
| SPDR SER TR | BARCLAYS 0-5YR | 78468R879 | — | 1,799 shares | $35,000 |
| TERRAFORM PWR INC | CL A COM | 88104R100 | — | 1,206 shares | $35,000 |
| THL CR INC | COM | 872438106 | PUT | 2,700 shares | $35,000 |
| VALLEY FINL CORP VA | COM | 919629105 | — | 2,863 shares | $35,000 |
| VRINGO INC | COM | 92911N104 | CALL | 37,200 shares | $35,000 |
| WARREN RES INC | COM | 93564A100 | — | 6,665 shares | $35,000 |
| WEYERHAEUSER CO | COM | 962166104 | — | 1,100 shares | $35,000 |
| WOLVERINE BANCORP INC | COM | 977880103 | — | 1,559 shares | $35,000 |
| WORLD WRESTLING ENTMT INC | CL A | 98156Q108 | — | 2,546 shares | $35,000 |
| XENOPORT INC | COM | 98411C100 | — | 6,466 shares | $35,000 |
| YADKIN FINL CORP | COM | 984305102 | — | 1,928 shares | $35,000 |
| YRC WORLDWIDE INC | COM PAR $.01 | 984249607 | — | 1,700 shares | $35,000 |
| ZHONE TECHNOLOGIES INC NEW | COM NEW | 98950P884 | — | 13,077 shares | $35,000 |
| AIR METHODS CORP | COM PAR $.06 | 009128307 | — | 608 shares | $34,000 |
| AMERICAN WOODMARK CORP | COM | 030506109 | — | 927 shares | $34,000 |
| BARCLAYS BANK PLC | ETN DJUBS TIN 38 | 06739H198 | — | 759 shares | $34,000 |
| BARCLAYS BK PLC | BARC YLD ETN LKD | 06742C152 | — | 278 shares | $34,000 |
| BCE INC | COM NEW | 05534B760 | CALL | 800 shares | $34,000 |
| BLACKROCK MUNIYIELD PA QLTY | COM | 09255G107 | — | 2,393 shares | $34,000 |
| BRADY CORP | CL A | 104674106 | PUT | 1,500 shares | $34,000 |
| BUNGE LIMITED | COM | G16962105 | CALL | 400 shares | $34,000 |
| CAMDEN NATL CORP | COM | 133034108 | — | 975 shares | $34,000 |
| CAMTEK LTD | ORD | M20791105 | — | 8,700 shares | $34,000 |
| CLEARONE INC | COM | 18506U104 | — | 4,078 shares | $34,000 |
| COHERENT INC | COM | 192479103 | — | 551 shares | $34,000 |
| COHU INC | COM | 192576106 | — | 2,828 shares | $34,000 |
| COMPUGEN LTD | ORD | M25722105 | — | 4,000 shares | $34,000 |
| CORRECTIONS CORP AMER NEW | COM NEW | 22025Y407 | CALL | 1,000 shares | $34,000 |
| DEUTSCHE BK AG LONDON BRH | US DEFLATION | 25154W217 | — | 645 shares | $34,000 |
| DUFF & PHELPS UTIL CORP BD T | COM | 26432K108 | — | 3,456 shares | $34,000 |
| ENSTAR GROUP LIMITED | SHS | G3075P101 | — | 252 shares | $34,000 |
| ESCALADE INC | COM | 296056104 | — | 2,822 shares | $34,000 |
| FOREST CITY ENTERPRISES INC | CL B CONV | 345550305 | — | 1,746 shares | $34,000 |
| FS BANCORP INC | COM | 30263Y104 | — | 2,014 shares | $34,000 |