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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) |
|---|---|---|---|---|---|
| KONA GRILL INC | COM | 50047H201 | — | 1,209 shares | $24,000 |
| LIFE TIME FITNESS INC | COM | 53217R207 | — | 471 shares | $24,000 |
| LMI AEROSPACE INC | COM | 502079106 | — | 1,848 shares | $24,000 |
| MAGELLAN PETE CORP | COM | 559091301 | — | 11,386 shares | $24,000 |
| MARKET VECTORS ETF TR | COAL ETF | 57060U837 | — | 1,390 shares | $24,000 |
| MEDLEY CAP CORP | COM | 58503F106 | PUT | 2,000 shares | $24,000 |
| MFS INTERMEDIATE HIGH INC FD | SH BEN INT | 59318T109 | — | 8,937 shares | $24,000 |
| MILLER HERMAN INC | COM | 600544100 | — | 790 shares | $24,000 |
| MODUSLINK GLOBAL SOLUTIONS I | COM | 60786L107 | — | 6,856 shares | $24,000 |
| MONARCH FINANCIAL HOLDINGS I | COM | 60907Q100 | — | 1,881 shares | $24,000 |
| MONSTER WORLDWIDE INC | COM | 611742107 | — | 4,411 shares | $24,000 |
| MRC GLOBAL INC | COM | 55345K103 | — | 1,009 shares | $24,000 |
| MULTI COLOR CORP | COM | 625383104 | — | 521 shares | $24,000 |
| NB & T FINL GROUP INC | COM | 62874M104 | — | 800 shares | $24,000 |
| NEURALSTEM INC | COM | 64127R302 | PUT | 7,300 shares | $24,000 |
| NUVEEN CA DIV ADVANTG MUN FD | COM | 67069X104 | — | 1,768 shares | $24,000 |
| OASIS PETE INC NEW | COM | 674215108 | — | 584 shares | $24,000 |
| OMEGA PROTEIN CORP | COM | 68210P107 | CALL | 1,900 shares | $24,000 |
| OPPENHEIMER HLDGS INC | CL A NON VTG | 683797104 | — | 1,200 shares | $24,000 |
| ORRSTOWN FINL SVCS INC | COM | 687380105 | — | 1,448 shares | $24,000 |
| PAPA MURPHYS HLDGS INC | COM | 698814100 | — | 2,372 shares | $24,000 |
| PDL BIOPHARMA INC | COM | 69329Y104 | CALL | 3,200 shares | $24,000 |
| PERMA-FIX ENVIRONMENTAL SVCS | COM NEW | 714157203 | — | 6,404 shares | $24,000 |
| PHILLIPS 66 | COM | 718546104 | — | 299 shares | $24,000 |
| POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | PUT | 1,000 shares | $24,000 |
| PRECISION CASTPARTS CORP | COM | 740189105 | CALL | 100 shares | $24,000 |
| PRECISION CASTPARTS CORP | COM | 740189105 | PUT | 100 shares | $24,000 |
| PREMIERE GLOBAL SVCS INC | COM | 740585104 | — | 1,974 shares | $24,000 |
| PRETIUM RES INC | COM | 74139C102 | — | 4,542 shares | $24,000 |
| PRICE T ROWE GROUP INC | COM | 74144T108 | CALL | 300 shares | $24,000 |
| PROSHARES TR II | ULT BLOOMB CMD | 74347W106 | — | 1,403 shares | $24,000 |
| QUEST DIAGNOSTICS INC | COM | 74834L100 | PUT | 400 shares | $24,000 |
| RECON TECHNOLOGY LTD | SHS | G7415M108 | — | 5,000 shares | $24,000 |
| REIS INC | COM | 75936P105 | — | 1,000 shares | $24,000 |
| ROYAL BK OF SCOTLAND PLC | ROGR ENH PRECI | 78009P200 | — | 1,381 shares | $24,000 |
| ROYALE ENERGY INC | COM NEW | 78074G200 | CALL | 8,200 shares | $24,000 |
| SAUL CTRS INC | COM | 804395101 | — | 515 shares | $24,000 |
| SEABRIDGE GOLD INC | COM | 811916105 | CALL | 3,000 shares | $24,000 |
| SPARTON CORP | COM | 847235108 | — | 969 shares | $24,000 |
| SPDR SERIES TRUST | DJ REIT ETF | 78464A607 | CALL | 300 shares | $24,000 |
| STEWARDSHIP FINL CORP | COM | 860326107 | — | 5,397 shares | $24,000 |
| T2 BIOSYSTEMS INC | COM | 89853L104 | — | 1,330 shares | $24,000 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | PUT | 200 shares | $24,000 |
| TRULIA INC | COM | 897888103 | CALL | 500 shares | $24,000 |
| ULTRA CLEAN HLDGS INC | COM | 90385V107 | — | 2,696 shares | $24,000 |
| UNITY BANCORP INC | COM | 913290102 | — | 2,523 shares | $24,000 |
| VIAD CORP | COM NEW | 92552R406 | — | 1,148 shares | $24,000 |
| WOLVERINE WORLD WIDE INC | COM | 978097103 | — | 972 shares | $24,000 |
| 3-D SYS CORP DEL | COM NEW | 88554D205 | — | 500 shares | $23,000 |
| ADVISORSHARES TR | MEIDELL TCT AD | 00768Y826 | — | 767 shares | $23,000 |
| AMC ENTMT HLDGS INC | CL A COM | 00165C104 | CALL | 1,000 shares | $23,000 |
| ANIXTER INTL INC | COM | 035290105 | — | 276 shares | $23,000 |
| ARES COML REAL ESTATE CORP | COM | 04013V108 | — | 1,957 shares | $23,000 |
| ARROW ETF TR | ARROW DJ GLB YLD | 04273H104 | — | 885 shares | $23,000 |
| ASANKO GOLD INC | COM | 04341Y105 | — | 11,178 shares | $23,000 |
| BANCO BRADESCO S A | SPONSORED ADR | 059460402 | — | 1,585 shares | $23,000 |
| BANKFINANCIAL CORP | COM | 06643P104 | — | 2,230 shares | $23,000 |
| BARCLAYS BANK PLC | IPATH GEMS INDEX | 06739H453 | — | 630 shares | $23,000 |
| BBCN BANCORP INC | COM | 073295107 | — | 1,604 shares | $23,000 |
| BLYTH INC | COM NEW | 09643P207 | — | 2,828 shares | $23,000 |
| BOYD GAMING CORP | COM | 103304101 | PUT | 2,300 shares | $23,000 |
| CARRIAGE SVCS INC | COM | 143905107 | CALL | 1,300 shares | $23,000 |
| CLEARSIGN COMBUSTION CORP | COM | 185064102 | — | 3,421 shares | $23,000 |
| COOPER TIRE & RUBR CO | COM | 216831107 | CALL | 800 shares | $23,000 |
| CORESITE RLTY CORP | COM | 21870Q105 | CALL | 700 shares | $23,000 |
| DELHAIZE GROUP | SPONSORED ADR | 29759W101 | — | 1,335 shares | $23,000 |
| DEUTSCHE BK AG LDN BRH | PS AGRI LG ETN | 25154H533 | — | 1,782 shares | $23,000 |
| DEUTSCHE BK AG LONDON BRH | PS CR OIL LG ETN | 25154K866 | — | 1,798 shares | $23,000 |
| DIREXION SHS ETF TR | DLYFINBEAR3X NEW | 25459Y447 | — | 1,402 shares | $23,000 |
| ENERSYS | COM | 29275Y102 | — | 384 shares | $23,000 |
| EVERTEC INC | COM | 30040P103 | — | 1,009 shares | $23,000 |
| FARMERS CAP BK CORP | COM | 309562106 | — | 1,000 shares | $23,000 |
| GAMING & LEISURE PPTYS INC | COM | 36467J108 | — | 746 shares | $23,000 |
| GDL FUND | COM SH BEN IT | 361570104 | — | 2,159 shares | $23,000 |
| GENERAL MLS INC | COM | 370334104 | — | 455 shares | $23,000 |
| GLOBAL POWER EQUIPMENT GRP I | COM PAR $0.01 | 37941P306 | — | 1,575 shares | $23,000 |
| GLOBAL X FDS | GLB X FERTIL | 37950E499 | — | 2,123 shares | $23,000 |
| GP STRATEGIES CORP | COM | 36225V104 | — | 812 shares | $23,000 |
| GRUMA SAB DE CV | SPON ADR CL B | 400131306 | — | 530 shares | $23,000 |
| HEALTHWAYS INC | COM | 422245100 | — | 1,465 shares | $23,000 |
| HECLA MNG CO | PFD CV SER B | 422704205 | — | 468 shares | $23,000 |
| HMN FINL INC | COM | 40424G108 | — | 1,705 shares | $23,000 |
| HMS HLDGS CORP | COM | 40425J101 | CALL | 1,200 shares | $23,000 |
| IGATE CORP | COM | 45169U105 | — | 626 shares | $23,000 |
| INGREDION INC | COM | 457187102 | CALL | 300 shares | $23,000 |
| ISHARES INC | MSCI CLB CP ETF | 46434G202 | — | 925 shares | $23,000 |
| JIVE SOFTWARE INC | COM | 47760A108 | PUT | 3,900 shares | $23,000 |
| KOFAX LTD | COM USD | G5307C105 | — | 3,020 shares | $23,000 |
| LINCOLN NATL CORP IND | *W EXP 07/10/201 | 534187117 | — | 506 shares | $23,000 |
| LIONS GATE ENTMNT CORP | COM NEW | 535919203 | CALL | 700 shares | $23,000 |
| LIQUIDITY SERVICES INC | COM | 53635B107 | PUT | 1,700 shares | $23,000 |
| LOCAL CORP | COM | 53954W104 | — | 11,581 shares | $23,000 |
| MARKET VECTORS ETF TR | ISRAEL ETF | 57061R676 | — | 736 shares | $23,000 |
| MEDIA GEN INC | COM | 584404107 | — | 1,740 shares | $23,000 |
| MEDICAL ACTION INDS INC | COM | 58449L100 | — | 1,638 shares | $23,000 |
| MILLENNIAL MEDIA INC | COM | 60040N105 | — | 12,520 shares | $23,000 |
| MODUSLINK GLOBAL SOLUTIONS I | COM | 60786L107 | — | 6,403 shares | $23,000 |
| MONEYGRAM INTL INC | COM NEW | 60935Y208 | — | 1,859 shares | $23,000 |
| MOOG INC | CL B | 615394301 | — | 340 shares | $23,000 |
| M & T BK CORP | *W EXP 12/23/201 | 55261F112 | — | 461 shares | $23,000 |