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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) |
|---|---|---|---|---|---|
| NANOVIRICIDES INC | COM NEW | 630087203 | — | 7,808 shares | $23,000 |
| NATIONAL GEN HLDGS CORP | COM | 636220303 | — | 1,336 shares | $23,000 |
| NORTHWEST BIOTHERAPEUTICS IN | COM PAR $0.001 | 66737P600 | CALL | 4,500 shares | $23,000 |
| NOVADAQ TECHNOLOGIES INC | COM | 66987G102 | — | 1,781 shares | $23,000 |
| OLD POINT FINL CORP | COM | 680194107 | — | 1,572 shares | $23,000 |
| OM GROUP INC | COM | 670872100 | — | 875 shares | $23,000 |
| PCM FUND INC | COM | 69323T101 | — | 2,092 shares | $23,000 |
| PIMCO NEW YORK MUN INCM FD 1 | COM | 72201E105 | — | 2,387 shares | $23,000 |
| POWERSHARES ETF TR II | S&P EMRGHIBETA | 73937B670 | — | 1,115 shares | $23,000 |
| POWERSHARES ETF TRUST | FND PUR MIDCR PT | 73935X443 | — | 633 shares | $23,000 |
| PROSHARES TR | ULSH 20YRTRE NEW | 74348A491 | CALL | 400 shares | $23,000 |
| PROSHARES TR | ULTRPRO S&P500 | 74347X864 | CALL | 200 shares | $23,000 |
| QUALITY DISTR INC FLA | COM | 74756M102 | — | 1,779 shares | $23,000 |
| QUIKSILVER INC | COM | 74838C106 | CALL | 13,200 shares | $23,000 |
| RCM TECHNOLOGIES INC | COM NEW | 749360400 | — | 3,000 shares | $23,000 |
| REVENUESHARES ETF TR | ULTRA DIVID FD | 761396886 | — | 829 shares | $23,000 |
| SCHEIN HENRY INC | COM | 806407102 | PUT | 200 shares | $23,000 |
| SKULLCANDY INC | COM | 83083J104 | PUT | 3,000 shares | $23,000 |
| SOUTHERN NATL BANCORP OF VA | COM | 843395104 | — | 2,000 shares | $23,000 |
| SPANSION INC | COM CL A NEW | 84649R200 | — | 1,000 shares | $23,000 |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | — | 2,327 shares | $23,000 |
| STANDARD PAC CORP NEW | COM | 85375C101 | — | 3,016 shares | $23,000 |
| STARWOOD WAYPOINT RESIDENTL | COM SHS | 85571W109 | — | 900 shares | $23,000 |
| S & T BANCORP INC | COM | 783859101 | — | 971 shares | $23,000 |
| STEEL DYNAMICS INC | COM | 858119100 | PUT | 1,000 shares | $23,000 |
| SUNSHINE HEART INC | COM | 86782U106 | PUT | 4,000 shares | $23,000 |
| SYNERGY RES CORP | COM | 87164P103 | — | 1,883 shares | $23,000 |
| TECO ENERGY INC | COM | 872375100 | PUT | 1,300 shares | $23,000 |
| TRANSATLANTIC PETROLEUM LTD | SHS NEW | G89982113 | — | 2,610 shares | $23,000 |
| TUCOWS INC | COM NEW | 898697206 | — | 1,530 shares | $23,000 |
| UNISYS CORP | COM NEW | 909214306 | CALL | 1,000 shares | $23,000 |
| UNIVERSAL FST PRODS INC | COM | 913543104 | — | 535 shares | $23,000 |
| VEEVA SYS INC | CL A COM | 922475108 | CALL | 800 shares | $23,000 |
| WESCO INTL INC | COM | 95082P105 | CALL | 300 shares | $23,000 |
| WESTERN ASSET HIGH INCM OPP | COM | 95766K109 | — | 3,981 shares | $23,000 |
| ABERDEEN JAPAN EQUITY FD INC | COM | 00306J109 | — | 3,093 shares | $22,000 |
| AGILYSYS INC | COM | 00847J105 | — | 1,847 shares | $22,000 |
| ALLETE INC | COM NEW | 018522300 | CALL | 500 shares | $22,000 |
| AMPIO PHARMACEUTICALS INC | COM | 03209T109 | PUT | 6,300 shares | $22,000 |
| ASIA TIGERS FD INC | COM | 04516T105 | — | 1,870 shares | $22,000 |
| BBVA BANCO FRANCES S A | SPONSORED ADR | 07329M100 | — | 1,722 shares | $22,000 |
| BEAR ST FINL INC | COM | 073844102 | — | 2,410 shares | $22,000 |
| BENCHMARK ELECTRS INC | COM | 08160H101 | PUT | 1,000 shares | $22,000 |
| BIODEL INC | COM NEW | 09064M204 | — | 13,304 shares | $22,000 |
| BIO-REFERENCE LABS INC | COM $.01 NEW | 09057G602 | CALL | 800 shares | $22,000 |
| BOSTON BEER INC | CL A | 100557107 | CALL | 100 shares | $22,000 |
| CALLON PETE CO DEL | COM | 13123X102 | PUT | 2,500 shares | $22,000 |
| CASELLA WASTE SYS INC | CL A | 147448104 | — | 5,701 shares | $22,000 |
| CENTRAL SECS CORP | COM | 155123102 | — | 978 shares | $22,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUGG CA ENRG INC | 18383Q606 | — | 1,428 shares | $22,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUG INTL MLT ASS | 18383Q804 | — | 1,185 shares | $22,000 |
| CLUBCORP HLDGS INC | COM | 18948M108 | — | 1,100 shares | $22,000 |
| COMVERSE INC | COM | 20585P105 | — | 1,001 shares | $22,000 |
| DEUTSCHE BK AG LONDON BRH | MTL SHRT ETN38 | 25154K833 | — | 1,027 shares | $22,000 |
| DEUTSCHE BK AG LONDON BRH | PWRSHR DB GERM | 25154W506 | — | 825 shares | $22,000 |
| DIAMOND RESORTS INTL INC | COM | 25272T104 | — | 985 shares | $22,000 |
| DIREXION SHS ETF TR | DLY S&P 500 BEAR | 25459Y371 | CALL | 900 shares | $22,000 |
| DIREXION SHS ETF TR | LATN AM BULL3X | 25459Y652 | — | 1,123 shares | $22,000 |
| DRDGOLD LIMITED | SPON ADR REPSTG | 26152H301 | — | 6,457 shares | $22,000 |
| DYNATRONICS CORP | COM NEW | 268157401 | — | 5,598 shares | $22,000 |
| EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | — | 1,522 shares | $22,000 |
| EMMIS COMMUNICATIONS CORP | PFD CV SER A | 291525202 | — | 1,501 shares | $22,000 |
| EPR PPTYS | PFD C CNV 5.75% | 26884U208 | — | 1,000 shares | $22,000 |
| EVRYWARE GLOBAL INC | COM | 300439106 | — | 8,459 shares | $22,000 |
| EXCEL TR INC | COM | 30068C109 | — | 1,890 shares | $22,000 |
| EZCORP INC | CL A NON VTG | 302301106 | — | 2,206 shares | $22,000 |
| FIRST NBC BK HLDG CO | COM | 32115D106 | — | 664 shares | $22,000 |
| FLAHERTY & CRUMRINE DYN PFD | SHS | 33848W106 | — | 965 shares | $22,000 |
| GREAT SOUTHN BANCORP INC | COM | 390905107 | — | 733 shares | $22,000 |
| GRUPO AEROPORTUARIO CTR NORT | SPON ADR | 400501102 | — | 621 shares | $22,000 |
| GUIDEWIRE SOFTWARE INC | COM | 40171V100 | CALL | 500 shares | $22,000 |
| HALLMARK FINL SVCS INC EC | COM NEW | 40624Q203 | — | 2,177 shares | $22,000 |
| HANCOCK JOHN INVS TR | COM | 410142103 | — | 1,216 shares | $22,000 |
| ICAD INC | COM NEW | 44934S206 | — | 2,222 shares | $22,000 |
| INTREPID POTASH INC | COM | 46121Y102 | — | 1,450 shares | $22,000 |
| INVESCO BD FD | COM | 46132L107 | — | 1,174 shares | $22,000 |
| IRADIMED CORP | COM | 46266A109 | — | 3,136 shares | $22,000 |
| IRONWOOD PHARMACEUTICALS INC | COM CL A | 46333X108 | — | 1,727 shares | $22,000 |
| ISHARES TR | CORE US AGGBD ET | 464287226 | PUT | 200 shares | $22,000 |
| ISHARES TR | MSCI QATAR ETF | 46434V779 | — | 845 shares | $22,000 |
| KELLY SVCS INC | CL A | 488152208 | PUT | 1,400 shares | $22,000 |
| KRATOS DEFENSE & SEC SOLUTIO | COM NEW | 50077B207 | — | 3,367 shares | $22,000 |
| LAKELAND INDS INC | COM | 511795106 | — | 3,093 shares | $22,000 |
| MAGAL SECURITY SYS LTD | ORD | M6786D104 | — | 5,187 shares | $22,000 |
| MAGELLAN HEALTH INC | COM NEW | 559079207 | PUT | 400 shares | $22,000 |
| MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | — | 1,000 shares | $22,000 |
| MCGRATH RENTCORP | COM | 580589109 | — | 645 shares | $22,000 |
| MEDICAL PPTYS TRUST INC | COM | 58463J304 | CALL | 1,800 shares | $22,000 |
| MERCADOLIBRE INC | COM | 58733R102 | CALL | 200 shares | $22,000 |
| NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | CALL | 600 shares | $22,000 |
| NOVAGOLD RES INC | COM NEW | 66987E206 | CALL | 7,300 shares | $22,000 |
| NUVEEN GLOBAL EQUITY INCOME | COM | 6706EH103 | — | 1,670 shares | $22,000 |
| NUVEEN SELECT TAX FREE INCM | SH BEN INT | 67063C106 | — | 1,628 shares | $22,000 |
| ONE LIBERTY PPTYS INC | COM | 682406103 | CALL | 1,100 shares | $22,000 |
| OSHKOSH CORP | COM | 688239201 | PUT | 500 shares | $22,000 |
| PARTNERRE LTD | COM | G6852T105 | PUT | 200 shares | $22,000 |
| PFSWEB INC | COM NEW | 717098206 | — | 2,000 shares | $22,000 |
| POWERSHARES ETF TRUST | CLEANTECH PORT | 73935X278 | — | 744 shares | $22,000 |
| PRIMORIS SVCS CORP | COM | 74164F103 | — | 837 shares | $22,000 |
| PROASSURANCE CORP | COM | 74267C106 | PUT | 500 shares | $22,000 |