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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) |
|---|---|---|---|---|---|
| ROYCE FOCUS TR | COM | 78080N108 | — | 2,239 shares | $18,000 |
| RPM INTL INC | COM | 749685103 | PUT | 400 shares | $18,000 |
| SALIENT MLP & ENERGY INFRSTR | COM SH BEN INT | 79471T100 | — | 531 shares | $18,000 |
| SOHU COM INC | COM | 83408W103 | — | 355 shares | $18,000 |
| SPDR SERIES TRUST | BRC MTG BCKD BD | 78464A383 | — | 664 shares | $18,000 |
| STAAR SURGICAL CO | COM PAR $0.01 | 852312305 | CALL | 1,700 shares | $18,000 |
| SYNERGY RES CORP | COM | 87164P103 | — | 1,460 shares | $18,000 |
| TELETECH HOLDINGS INC | COM | 879939106 | — | 735 shares | $18,000 |
| THAI FD INC | COM | 882904105 | — | 1,500 shares | $18,000 |
| TIMKEN CO | COM | 887389104 | — | 422 shares | $18,000 |
| TOWERSTREAM CORP | COM | 892000100 | — | 12,000 shares | $18,000 |
| TRACTOR SUPPLY CO | COM | 892356106 | CALL | 300 shares | $18,000 |
| TRUEBLUE INC | COM | 89785X101 | — | 714 shares | $18,000 |
| UBS AG JERSEY BRH | CMCI INDL ETN | 902641752 | — | 1,052 shares | $18,000 |
| VOXELJET AG | ADS | 92912L107 | CALL | 1,300 shares | $18,000 |
| WESTERN REFNG LOGISTICS LP | COM UNIT REP LTP | 95931Q205 | — | 506 shares | $18,000 |
| 1ST CONSTITUTION BANCORP | COM | 31986N102 | — | 1,648 shares | $17,000 |
| ABERDEEN JAPAN EQUITY FD INC | COM | 00306J109 | — | 2,361 shares | $17,000 |
| ADVANCED MICRO DEVICES INC | COM | 007903107 | — | 4,900 shares | $17,000 |
| ADVANCED SEMICONDUCTOR ENGR | SPONSORED ADR | 00756M404 | CALL | 2,800 shares | $17,000 |
| ADVANTAGE OIL & GAS LTD | COM | 00765F101 | CALL | 3,300 shares | $17,000 |
| ADVISORSHARES TR | ADVISR GLBECHO | 00768Y776 | — | 286 shares | $17,000 |
| ADVISORSHARES TR | ATHENA HGH DIV | 00768Y628 | — | 717 shares | $17,000 |
| ALEXANDER & BALDWIN INC NEW | COM | 014491104 | — | 467 shares | $17,000 |
| AMBER RD INC | COM | 02318Y108 | CALL | 1,000 shares | $17,000 |
| AMN HEALTHCARE SERVICES INC | COM | 001744101 | CALL | 1,100 shares | $17,000 |
| ARATANA THERAPEUTICS INC | COM | 03874P101 | — | 1,700 shares | $17,000 |
| AUTHENTIDATE HLDG CORP | COM NEW | 052666203 | — | 25,500 shares | $17,000 |
| BANK OF THE ST JAMES FINL GP | COM | 470299108 | — | 1,893 shares | $17,000 |
| BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | — | 987 shares | $17,000 |
| BJS RESTAURANTS INC | COM | 09180C106 | — | 476 shares | $17,000 |
| CAESARS ACQUISITION CO | CL A | 12768T103 | — | 1,806 shares | $17,000 |
| CAMBREX CORP | COM | 132011107 | CALL | 900 shares | $17,000 |
| CAREER EDUCATION CORP | COM | 141665109 | CALL | 3,320 shares | $17,000 |
| CASCADE BANCORP | COM NEW | 147154207 | — | 3,307 shares | $17,000 |
| CEVA INC | COM | 157210105 | — | 1,300 shares | $17,000 |
| CHINA MOBILE GAMES & ENTMT G | SPONSORED ADR | 16952T100 | — | 800 shares | $17,000 |
| CLAYMORE EXCHANGE-TRD FD TR | GUGG CHINA ALLCP | 18385P101 | — | 648 shares | $17,000 |
| CLIFTON BANCORP INC | COM | 186873105 | — | 1,388 shares | $17,000 |
| COLFAX CORP | COM | 194014106 | CALL | 300 shares | $17,000 |
| CRAWFORD & CO | CL A | 224633206 | — | 2,239 shares | $17,000 |
| CREDIT SUISSE NASSAU BRH | LG CP GRTH ENH | 22542D423 | — | 162 shares | $17,000 |
| CYNOSURE INC | CL A | 232577205 | PUT | 800 shares | $17,000 |
| CYRUSONE INC | COM | 23283R100 | — | 719 shares | $17,000 |
| DIREXION SHS ETF TR | DLY MIDCAP ETF3X | 25459W730 | PUT | 200 shares | $17,000 |
| DOMTAR CORP | COM NEW | 257559203 | — | 480 shares | $17,000 |
| ECHO GLOBAL LOGISTICS INC | COM | 27875T101 | — | 732 shares | $17,000 |
| EMPIRE ST RLTY OP L P | UNIT LTD PRT 250 | 292102308 | — | 1,146 shares | $17,000 |
| FACTORSHARES TR | ISE SILV SMLMI | 30304R308 | — | 1,659 shares | $17,000 |
| FLEXSTEEL INDS INC | COM | 339382103 | — | 500 shares | $17,000 |
| FRONTLINE LTD | SHS | G3682E127 | — | 13,590 shares | $17,000 |
| GENERAL STEEL HOLDINGS INC | COM | 370853103 | — | 17,552 shares | $17,000 |
| GLOBAL X FDS | COPPER MNR ETF | 37950E861 | — | 1,894 shares | $17,000 |
| GRAHAM CORP | COM | 384556106 | — | 577 shares | $17,000 |
| GUGGENHEIM BLD AMR BDS MANG | COM | 401664107 | — | 811 shares | $17,000 |
| HANWHA SOLARONE CO LTD | SPONSORED ADR | 41135V103 | — | 7,325 shares | $17,000 |
| HENNESSY CAP ACQUISITION COR | UNIT 99/99/9999 | 425886207 | — | 1,599 shares | $17,000 |
| HESKA CORP | COM RESTRC NEW | 42805E306 | — | 1,280 shares | $17,000 |
| IDERA PHARMACEUTICALS INC | COM NEW | 45168K306 | CALL | 7,300 shares | $17,000 |
| INTEL CORP | SDCV 2.950%12/1 | 458140AD2 | — | 13,000 principal | $17,000 |
| INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | CALL | 1,100 shares | $17,000 |
| KEYCORP NEW | COM | 493267108 | CALL | 1,300 shares | $17,000 |
| KRATOS DEFENSE & SEC SOLUTIO | COM NEW | 50077B207 | CALL | 2,600 shares | $17,000 |
| LANDS END INC NEW | COM | 51509F105 | — | 413 shares | $17,000 |
| LEUCADIA NATL CORP | COM | 527288104 | PUT | 700 shares | $17,000 |
| LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | — | 27,000 principal | $17,000 |
| LITTELFUSE INC | COM | 537008104 | CALL | 200 shares | $17,000 |
| MANHATTAN ASSOCS INC | COM | 562750109 | CALL | 500 shares | $17,000 |
| MARINEMAX INC | COM | 567908108 | — | 1,000 shares | $17,000 |
| MARKET VECTORS ETF TR | ISRAEL ETF | 57061R676 | — | 550 shares | $17,000 |
| MID PENN BANCORP INC | COM | 59540G107 | — | 1,099 shares | $17,000 |
| MISONIX INC | COM | 604871103 | — | 1,400 shares | $17,000 |
| NATIONAL RETAIL PPTYS INC | COM | 637417106 | PUT | 500 shares | $17,000 |
| NATURAL GAS SERVICES GROUP | COM | 63886Q109 | — | 711 shares | $17,000 |
| NAVIDEA BIOPHARMACEUTICALS I | COM | 63937X103 | CALL | 12,500 shares | $17,000 |
| NAVIGANT CONSULTING INC | COM | 63935N107 | — | 1,225 shares | $17,000 |
| NETEASE INC | SPONSORED ADR | 64110W102 | PUT | 200 shares | $17,000 |
| NORD ANGLIA EDUCATION INC | SHS | G6583A102 | — | 1,017 shares | $17,000 |
| NORTH EUROPEAN OIL RTY TR | SH BEN INT | 659310106 | — | 800 shares | $17,000 |
| NORTHRIM BANCORP INC | COM | 666762109 | — | 635 shares | $17,000 |
| NUTRACEUTICAL INTL CORP | COM | 67060Y101 | — | 819 shares | $17,000 |
| NUVASIVE INC | COM | 670704105 | CALL | 500 shares | $17,000 |
| NUVEEN FLOATING RATE INCOME | COM | 67072T108 | — | 1,495 shares | $17,000 |
| OMNOVA SOLUTIONS INC | COM | 682129101 | — | 3,216 shares | $17,000 |
| ORASURE TECHNOLOGIES INC | COM | 68554V108 | CALL | 2,400 shares | $17,000 |
| ORBIT INTL CORP | COM NEW | 685559304 | — | 5,758 shares | $17,000 |
| OTELCO INC | CL A NEW | 688823301 | — | 3,261 shares | $17,000 |
| PARAGON SHIPPING INC | CL A NEW | 69913R408 | — | 4,185 shares | $17,000 |
| PARKER DRILLING CO | COM | 701081101 | CALL | 3,400 shares | $17,000 |
| PENNYMAC MTG INVT TR | COM | 70931T103 | CALL | 800 shares | $17,000 |
| PERKINELMER INC | COM | 714046109 | — | 400 shares | $17,000 |
| PIMCO MUN INCOME FD III | COM | 72201A103 | — | 1,561 shares | $17,000 |
| POWERSHARES GLOBAL ETF TRUST | I-30 LAD TREAS | 73936T524 | — | 527 shares | $17,000 |
| PRIMO WTR CORP | COM | 74165N105 | — | 3,883 shares | $17,000 |
| PROSHARES TR | ULTRAPRO QQQ | 74347X831 | PUT | 200 shares | $17,000 |
| PROSHARES TR | ULT R/EST NEW | 74347X625 | CALL | 200 shares | $17,000 |
| PROSHARES TR | ULT R/EST NEW | 74347X625 | PUT | 200 shares | $17,000 |
| PROSHARES TR | ULTSH NASD BIOT | 74347B409 | — | 1,386 shares | $17,000 |
| PROSHARES TR II | VIX STRMFUT ETF | 74347W361 | PUT | 800 shares | $17,000 |
| QC HLDGS INC | COM | 74729T101 | — | 9,210 shares | $17,000 |