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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) |
|---|---|---|---|---|---|
| CENTERSTATE BANKS INC | COM | 15201P109 | — | 2,441 shares | $25,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUGG BULL 2015 | 18383M423 | — | 951 shares | $25,000 |
| CONCHO RES INC | COM | 20605P101 | CALL | 200 shares | $25,000 |
| CONCHO RES INC | COM | 20605P101 | PUT | 200 shares | $25,000 |
| CONSTELLATION ENERGY PRTNR L | COM UNIT LLC B | 21038E101 | — | 7,145 shares | $25,000 |
| CRANE CO | COM | 224399105 | PUT | 400 shares | $25,000 |
| DEJOUR ENERGY INC | COM | 24486R103 | — | 102,452 shares | $25,000 |
| DIREXION SHS ETF TR | DL FTSE BLL 3X | 25459W771 | PUT | 900 shares | $25,000 |
| DREAMWORKS ANIMATION SKG INC | CL A | 26153C103 | CALL | 900 shares | $25,000 |
| EBIX INC | COM NEW | 278715206 | — | 1,771 shares | $25,000 |
| ENTERCOM COMMUNICATIONS CORP | CL A | 293639100 | — | 3,107 shares | $25,000 |
| ENTERPRISE FINL SVCS CORP | COM | 293712105 | — | 1,473 shares | $25,000 |
| ESPEY MFG & ELECTRS CORP | COM | 296650104 | — | 1,241 shares | $25,000 |
| ETFS SILVER TR | SILVER SHS | 26922X107 | — | 1,519 shares | $25,000 |
| FAIRCHILD SEMICONDUCTOR INTL | COM | 303726103 | — | 1,620 shares | $25,000 |
| FORMULA SYS 1985 LTD | SPONSORED ADR | 346414105 | — | 954 shares | $25,000 |
| FRESH DEL MONTE PRODUCE INC | ORD | G36738105 | — | 778 shares | $25,000 |
| GAMING & LEISURE PPTYS INC | COM | 36467J108 | CALL | 800 shares | $25,000 |
| G-III APPAREL GROUP LTD | COM | 36237H101 | CALL | 300 shares | $25,000 |
| GRUMA SAB DE CV | SPON ADR CL B | 400131306 | — | 588 shares | $25,000 |
| HEARTLAND FINL USA INC | COM | 42234Q102 | — | 1,064 shares | $25,000 |
| HORIZON PHARMA PLC | SHS | G4617B105 | PUT | 2,000 shares | $25,000 |
| HUDSON PAC PPTYS INC | COM | 444097109 | — | 1,000 shares | $25,000 |
| ITRON INC | COM | 465741106 | — | 625 shares | $25,000 |
| JPMORGAN CHINA REGION FD INC | COM | 48126T104 | — | 1,656 shares | $25,000 |
| KCG HLDGS INC | CL A | 48244B100 | CALL | 2,500 shares | $25,000 |
| KEY TRONICS CORP | COM | 493144109 | — | 2,337 shares | $25,000 |
| LAZARD LTD | SHS A | G54050102 | CALL | 500 shares | $25,000 |
| LEXICON PHARMACEUTICALS INC | COM | 528872104 | — | 17,927 shares | $25,000 |
| LIVEPERSON INC | COM | 538146101 | — | 1,950 shares | $25,000 |
| MAGNETEK INC | COM NEW | 559424403 | — | 794 shares | $25,000 |
| MARKET VECTORS ETF TR | JR GOLD MINERS E | 57061R544 | — | 750 shares | $25,000 |
| MCGRATH RENTCORP | COM | 580589109 | — | 733 shares | $25,000 |
| MEDICINOVA INC | COM NEW | 58468P206 | — | 8,351 shares | $25,000 |
| MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | — | 2,767 shares | $25,000 |
| NEURALSTEM INC | COM | 64127R302 | CALL | 7,600 shares | $25,000 |
| NF ENERGY SAVING CORP | COM PAR $0.001 | 629099300 | — | 8,833 shares | $25,000 |
| ORASURE TECHNOLOGIES INC | COM | 68554V108 | — | 3,505 shares | $25,000 |
| PAREXEL INTL CORP | COM | 699462107 | CALL | 400 shares | $25,000 |
| PARTNER COMMUNICATIONS CO LT | ADR | 70211M109 | — | 3,483 shares | $25,000 |
| PDF SOLUTIONS INC | COM | 693282105 | PUT | 2,000 shares | $25,000 |
| PHARMATHENE INC | COM | 71714G102 | — | 14,031 shares | $25,000 |
| PIMCO ETF TR | 1-3YR USTREIDX | 72201R106 | — | 493 shares | $25,000 |
| PIMCO ETF TR | 1-5 US TIP IDX | 72201R205 | — | 484 shares | $25,000 |
| PIPER JAFFRAY COS | COM | 724078100 | — | 470 shares | $25,000 |
| PROCERA NETWORKS INC | COM NEW | 74269U203 | — | 2,659 shares | $25,000 |
| PROSHARES TR | MSCI EAFE DIVD | 74347B839 | — | 649 shares | $25,000 |
| PROSHARES TR | ULTRPRO DOW30 | 74347X823 | CALL | 200 shares | $25,000 |
| QUESTAR CORP | COM | 748356102 | CALL | 1,100 shares | $25,000 |
| QUEST RARE MINERALS LTD | COM | 74836T101 | — | 158,023 shares | $25,000 |
| RBC BEARINGS INC | COM | 75524B104 | — | 439 shares | $25,000 |
| ROYCE VALUE TR INC | COM | 780910105 | — | 1,693 shares | $25,000 |
| SB FINL GROUP INC | COM | 78408D105 | — | 2,801 shares | $25,000 |
| SOHU COM INC | COM | 83408W103 | PUT | 500 shares | $25,000 |
| SOLAZYME INC | COM | 83415T101 | PUT | 3,300 shares | $25,000 |
| SPDR INDEX SHS FDS | INTL UTILT ETF | 78463X632 | — | 1,312 shares | $25,000 |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | CALL | 100 shares | $25,000 |
| SUCAMPO PHARMACEUTICALS INC | CL A | 864909106 | — | 3,771 shares | $25,000 |
| SUN BANCORP INC | COM NEW | 86663B201 | — | 1,385 shares | $25,000 |
| UNITED STATES LIME & MINERAL | COM | 911922102 | — | 426 shares | $25,000 |
| WASHINGTON REAL ESTATE INVT | SH BEN INT | 939653101 | — | 966 shares | $25,000 |
| XYLEM INC | COM | 98419M100 | CALL | 700 shares | $25,000 |
| ZELTIQ AESTHETICS INC | COM | 98933Q108 | CALL | 1,100 shares | $25,000 |
| AAR CORP | COM | 000361105 | CALL | 1,000 shares | $24,000 |
| ABRAXAS PETE CORP | COM | 003830106 | CALL | 4,600 shares | $24,000 |
| ADAMS RES & ENERGY INC | COM NEW | 006351308 | — | 548 shares | $24,000 |
| ADVENT CLAY CONV SEC INC FD | COM | 007639107 | — | 3,603 shares | $24,000 |
| AETNA INC NEW | COM | 00817Y108 | PUT | 300 shares | $24,000 |
| AMERICAN INDEPENDENCE CORP | COM NEW | 026760405 | — | 2,158 shares | $24,000 |
| AMERICAN MIDSTREAM PARTNERS | COM UNITS | 02752P100 | — | 810 shares | $24,000 |
| AMKOR TECHNOLOGY INC | COM | 031652100 | CALL | 2,800 shares | $24,000 |
| AQUA AMERICA INC | COM | 03836W103 | PUT | 1,000 shares | $24,000 |
| ASHFORD HOSPITALITY TR INC | 9% CUM PFD SER E | 044103505 | — | 870 shares | $24,000 |
| BARRETT BILL CORP | COM | 06846N104 | PUT | 1,100 shares | $24,000 |
| BEL FUSE INC | CL A | 077347201 | — | 984 shares | $24,000 |
| BRIDGE BANCORP INC | COM | 108035106 | — | 1,000 shares | $24,000 |
| CHUNGHWA TELECOM CO LTD | SPON ADR NEW11 | 17133Q502 | — | 794 shares | $24,000 |
| CLAYMORE EXCHANGE TRD FD TR | WLSHR US REIT | 18383M472 | — | 597 shares | $24,000 |
| CME GROUP INC | COM | 12572Q105 | PUT | 300 shares | $24,000 |
| COGENT COMMUNICATIONS HLDGS | COM NEW | 19239V302 | — | 722 shares | $24,000 |
| COMSTOCK RES INC | COM NEW | 205768203 | PUT | 1,300 shares | $24,000 |
| DESTINATION MATERNITY CORP | COM | 25065D100 | — | 1,584 shares | $24,000 |
| DISCOVERY LABORATORIES INC N | COM NEW | 254668403 | — | 13,166 shares | $24,000 |
| ECHOSTAR CORP | CL A | 278768106 | CALL | 500 shares | $24,000 |
| ECLIPSE RES CORP | COM | 27890G100 | — | 1,470 shares | $24,000 |
| EPIQ SYS INC | COM | 26882D109 | — | 1,357 shares | $24,000 |
| FACEBOOK INC | CL A | 30303M102 | PUT | 300 shares | $24,000 |
| FIDELITY | MSCI FINLS IDX | 316092501 | — | 875 shares | $24,000 |
| FST TR NEW OPPORT MLP & ENE | COM | 33739M100 | — | 1,295 shares | $24,000 |
| GEOSPACE TECHNOLOGIES CORP | COM | 37364X109 | — | 695 shares | $24,000 |
| GREAT PLAINS ENERGY INC | COM | 391164100 | CALL | 1,000 shares | $24,000 |
| H & E EQUIPMENT SERVICES INC | COM | 404030108 | PUT | 600 shares | $24,000 |
| HOLLYSYS AUTOMATION TECHNOLO | SHS | G45667105 | — | 1,055 shares | $24,000 |
| HOUSTON WIRE & CABLE CO | COM | 44244K109 | — | 2,002 shares | $24,000 |
| INSIGHT ENTERPRISES INC | COM | 45765U103 | — | 1,075 shares | $24,000 |
| INTERFACE INC | COM | 458665304 | — | 1,495 shares | $24,000 |
| ISHARES | 3-7 YR TR BD ETF | 464288661 | — | 198 shares | $24,000 |
| ISHARES | GL MET&MINPR ETF | 464286368 | — | 1,340 shares | $24,000 |
| ISHARES | MSCI ITALCPD ETF | 464286855 | CALL | 1,500 shares | $24,000 |
| ITURAN LOCATION AND CONTROL | SHS | M6158M104 | — | 1,150 shares | $24,000 |