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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) |
|---|---|---|---|---|---|
| MAXWELL TECHNOLOGIES INC | COM | 577767106 | — | 3,254 shares | $28,000 |
| MONRO MUFFLER BRAKE INC | COM | 610236101 | — | 572 shares | $28,000 |
| NAVIOS MARITIME ACQUIS CORP | SHS | Y62159101 | — | 10,494 shares | $28,000 |
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | PUT | 3,500 shares | $28,000 |
| NORTH VALLEY BANCORP | COM NEW | 66304M204 | — | 1,298 shares | $28,000 |
| OCI PARTNERS LP | COM UNIT REP LP | 67091N108 | — | 1,300 shares | $28,000 |
| OXIGENE INC | COM PAR$.001 | 691828404 | — | 12,984 shares | $28,000 |
| POPEYES LA KITCHEN INC | COM | 732872106 | — | 701 shares | $28,000 |
| PRECIDIAN ETFS TR | MAXIS NIKKEI | 74016W106 | — | 1,599 shares | $28,000 |
| PROSHARES TR | PSHS ULTRA TECH | 74347R693 | CALL | 200 shares | $28,000 |
| PROSHARES TR | ULTPRO SH 10YR | 74348A830 | — | 650 shares | $28,000 |
| PROSHARES TR II | PSHS ULTRA YEN | 74347W866 | — | 1,657 shares | $28,000 |
| REALNETWORKS INC | COM NEW | 75605L708 | CALL | 4,000 shares | $28,000 |
| REGIONS FINL CORP NEW | COM | 7591EP100 | — | 2,815 shares | $28,000 |
| RENAISSANCE FDS | IPO ETF | 759937204 | — | 1,229 shares | $28,000 |
| REPUBLIC AWYS HLDGS INC | COM | 760276105 | — | 2,500 shares | $28,000 |
| RESOLUTE ENERGY CORP | COM | 76116A108 | — | 4,490 shares | $28,000 |
| RF MICRODEVICES INC | COM | 749941100 | — | 2,454 shares | $28,000 |
| RLJ LODGING TR | COM | 74965L101 | — | 1,000 shares | $28,000 |
| RYDEX ETF TRUST | GUG RUSS MCP EQL | 78355W577 | — | 573 shares | $28,000 |
| SEQUENOM INC | COM NEW | 817337405 | PUT | 9,300 shares | $28,000 |
| SESA STERLITE LTD | SPONSORED ADR | 78413F103 | — | 1,638 shares | $28,000 |
| SI FINL GROUP INC MD | COM | 78425V104 | — | 2,537 shares | $28,000 |
| SILICON LABORATORIES INC | COM | 826919102 | CALL | 700 shares | $28,000 |
| SPAN AMER MED SYS INC | COM | 846396109 | — | 1,430 shares | $28,000 |
| STANDEX INTL CORP | COM | 854231107 | — | 379 shares | $28,000 |
| STMICROELECTRONICS N V | NY REGISTRY | 861012102 | — | 3,650 shares | $28,000 |
| SYNOPSYS INC | COM | 871607107 | — | 710 shares | $28,000 |
| TEUCRIUM COMMODITY TR | AGRICULTURE FD | 88166A706 | — | 936 shares | $28,000 |
| ULTRAGENYX PHARMACEUTICAL IN | COM | 90400D108 | CALL | 500 shares | $28,000 |
| VOLCANO CORPORATION | COM | 928645100 | — | 2,662 shares | $28,000 |
| XINYUAN REAL ESTATE CO LTD | SPONS ADR | 98417P105 | — | 9,555 shares | $28,000 |
| ZOES KITCHEN INC | COM | 98979J109 | — | 895 shares | $28,000 |
| AARONS INC | COM PAR $0.50 | 002535300 | — | 1,098 shares | $27,000 |
| ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | — | 1,466 shares | $27,000 |
| AECOM TECHNOLOGY CORP DELAWA | COM | 00766T100 | CALL | 800 shares | $27,000 |
| ALERE INC | PERP PFD CONV SE | 01449J204 | — | 82 shares | $27,000 |
| ALMOST FAMILY INC | COM | 020409108 | — | 983 shares | $27,000 |
| AMERESCO INC | CL A | 02361E108 | — | 4,000 shares | $27,000 |
| BARCLAYS BK PLC | IP GBP/USD ETN | 06739F176 | — | 635 shares | $27,000 |
| BARCLAYS BK PLC | IPSP CROIL ETN | 06738C786 | — | 1,196 shares | $27,000 |
| BLOUNT INTL INC NEW | COM | 095180105 | — | 1,769 shares | $27,000 |
| BLUCORA INC | COM | 095229100 | PUT | 1,800 shares | $27,000 |
| BREEZE EASTERN CORP | COM | 106764103 | — | 2,637 shares | $27,000 |
| BRISTOW GROUP INC | COM | 110394103 | CALL | 400 shares | $27,000 |
| BUILD A BEAR WORKSHOP | COM | 120076104 | — | 2,101 shares | $27,000 |
| CAMPUS CREST CMNTYS INC | COM | 13466Y105 | — | 4,180 shares | $27,000 |
| CAPITAL ONE FINL CORP | *W EXP 11/14/201 | 14040H139 | — | 685 shares | $27,000 |
| CARE COM INC | COM | 141633107 | — | 3,260 shares | $27,000 |
| CAROLINA BK HLDGS INC GREENS | COM | 143785103 | — | 2,764 shares | $27,000 |
| CEL SCI CORP | COM PAR $0.01 | 150837508 | — | 29,677 shares | $27,000 |
| CENOVUS ENERGY INC | COM | 15135U109 | PUT | 1,000 shares | $27,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUGG FRNTR MKT | 18383Q838 | — | 1,638 shares | $27,000 |
| CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | — | 2,280 shares | $27,000 |
| DEMAND MEDIA INC | COM NEW | 24802N208 | — | 3,064 shares | $27,000 |
| DERMA SCIENCES INC | COM PAR $.01 | 249827502 | — | 3,197 shares | $27,000 |
| DIGITAL ALLY INC | COM NEW | 25382P208 | — | 1,667 shares | $27,000 |
| DIREXION SHS ETF TR | DLY DEV MKT BULL | 25459W789 | PUT | 400 shares | $27,000 |
| DIREXION SHS ETF TR | DLY EMKT 3X NEW | 25459Y470 | — | 778 shares | $27,000 |
| DIREXION SHS ETF TR | DLYFINBEAR3X NEW | 25459Y447 | CALL | 1,600 shares | $27,000 |
| DIREXION SHS ETF TR | DLY R/E BULL3X | 25459W755 | PUT | 500 shares | $27,000 |
| DIREXION SHS ETF TR | GLD MNRS BEAR 3X | 25459W235 | — | 949 shares | $27,000 |
| EARTHLINK HLDGS CORP | COM | 27033X101 | — | 7,916 shares | $27,000 |
| EZCHIP SEMICONDUCTOR LIMITED | ORD | M4146Y108 | CALL | 1,100 shares | $27,000 |
| FEDERAL SIGNAL CORP | COM | 313855108 | — | 2,069 shares | $27,000 |
| FERRELLGAS PARTNERS L.P. | UNIT LTD PART | 315293100 | PUT | 1,000 shares | $27,000 |
| FIRST TR ISE GLB WIND ENRG E | COM SHS | 33736G106 | — | 2,354 shares | $27,000 |
| FIVE9 INC | COM | 338307101 | — | 4,057 shares | $27,000 |
| FORWARD AIR CORP | COM | 349853101 | — | 600 shares | $27,000 |
| GABELLI GLB SML & MD CP VAL | COM | 36249W104 | — | 2,673 shares | $27,000 |
| GOLD RESOURCE CORP | COM | 38068T105 | — | 5,283 shares | $27,000 |
| GREENHILL & CO INC | COM | 395259104 | — | 586 shares | $27,000 |
| GSI TECHNOLOGY | COM | 36241U106 | — | 5,000 shares | $27,000 |
| HATTERAS FINL CORP | COM | 41902R103 | CALL | 1,500 shares | $27,000 |
| HUB GROUP INC | CL A | 443320106 | — | 670 shares | $27,000 |
| HURON CONSULTING GROUP INC | COM | 447462102 | — | 449 shares | $27,000 |
| INFORMATICA CORP | COM | 45666Q102 | PUT | 800 shares | $27,000 |
| INSTEEL INDUSTRIES INC | COM | 45774W108 | — | 1,289 shares | $27,000 |
| INVESCO HIGH INCOME TR II | COM | 46131F101 | — | 1,704 shares | $27,000 |
| ISHARES | MSCI SINGAP ETF | 464286673 | CALL | 2,000 shares | $27,000 |
| KELLY SVCS INC | CL A | 488152208 | CALL | 1,700 shares | $27,000 |
| KRISPY KREME DOUGHNUTS INC | COM | 501014104 | — | 1,580 shares | $27,000 |
| LIBERTY TRIPADVISOR HLDGS IN | COM SER B | 531465201 | — | 793 shares | $27,000 |
| MARKET VECTORS ETF TR | BRAZL SMCP ETF | 57060U613 | — | 1,030 shares | $27,000 |
| MARKET VECTORS ETF TR | INVT GRD FL RT | 57060U514 | — | 1,074 shares | $27,000 |
| MCCORMICK & CO INC | COM NON VTG | 579780206 | PUT | 400 shares | $27,000 |
| MEDICAL ACTION INDS INC | COM | 58449L100 | — | 1,925 shares | $27,000 |
| NATIONAL BK HLDGS CORP | CL A | 633707104 | — | 1,419 shares | $27,000 |
| NEOGEN CORP | COM | 640491106 | — | 687 shares | $27,000 |
| NEW MEDIA INVT GROUP INC | COM | 64704V106 | — | 1,598 shares | $27,000 |
| NIMBLE STORAGE INC | COM | 65440R101 | — | 1,052 shares | $27,000 |
| NORTHEAST UTILS | COM | 664397106 | CALL | 600 shares | $27,000 |
| NORTHEAST UTILS | COM | 664397106 | PUT | 600 shares | $27,000 |
| NUVEEN NJ INVT QUALITY MUN F | COM | 670971100 | — | 1,992 shares | $27,000 |
| ONCOTHYREON INC | COM | 682324108 | — | 14,012 shares | $27,000 |
| ORASURE TECHNOLOGIES INC | COM | 68554V108 | — | 3,763 shares | $27,000 |
| PLUMAS BANCORP | COM | 729273102 | — | 3,600 shares | $27,000 |
| PMFG INC | COM | 69345P103 | — | 5,360 shares | $27,000 |
| POWERSHARES ETF TR II | NYSE CENT PORT | 73937B613 | — | 1,056 shares | $27,000 |
| QUALITY SYS INC | COM | 747582104 | — | 1,962 shares | $27,000 |