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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) |
|---|---|---|---|---|---|
| NAVISTAR INTL CORP NEW | COM | 63934E108 | CALL | 500 shares | $16,000 |
| NEW HAMPSHIRE THRIFT BANCSHS | COM | 644722100 | — | 1,000 shares | $16,000 |
| NIPPON TELEG & TEL CORP | SPONSORED ADR | 654624105 | CALL | 500 shares | $16,000 |
| NORTH AMERN ENERGY PARTNERS | COM | 656844107 | CALL | 2,500 shares | $16,000 |
| NXSTAGE MEDICAL INC | COM | 67072V103 | — | 1,193 shares | $16,000 |
| O2MICRO INTERNATIONAL LTD | SPONS ADR | 67107W100 | — | 6,200 shares | $16,000 |
| PACIFIC BIOSCIENCES CALIF IN | COM | 69404D108 | — | 3,343 shares | $16,000 |
| PENSKE AUTOMOTIVE GRP INC | COM | 70959W103 | CALL | 400 shares | $16,000 |
| PEOPLES UNITED FINANCIAL INC | COM | 712704105 | PUT | 1,100 shares | $16,000 |
| PETROLEO BRASILEIRO SA PETRO | SP ADR NON VTG | 71654V101 | — | 1,080 shares | $16,000 |
| PLATINUM GROUP METALS LTD | COM NEW | 72765Q205 | — | 18,200 shares | $16,000 |
| POLYPORE INTL INC | COM | 73179V103 | — | 408 shares | $16,000 |
| PORTLAND GEN ELEC CO | COM NEW | 736508847 | CALL | 500 shares | $16,000 |
| POWERSHS DB MULTI SECT COMM | DB SILVER FUND | 73936B309 | — | 579 shares | $16,000 |
| PRIMERO MNG CORP | COM | 74164W106 | CALL | 3,200 shares | $16,000 |
| PROPHASE LABS INC | COM | 74345W108 | — | 11,500 shares | $16,000 |
| PROSHARES TR | PSHS HLTH CARE | 74347B102 | — | 877 shares | $16,000 |
| QAD INC | CL A | 74727D306 | — | 869 shares | $16,000 |
| RADISYS CORP | COM | 750459109 | — | 6,053 shares | $16,000 |
| ROUNDYS INC | COM | 779268101 | — | 5,234 shares | $16,000 |
| SAGENT PHARMACEUTICALS INC | COM | 786692103 | — | 513 shares | $16,000 |
| SCHOLASTIC CORP | COM | 807066105 | — | 500 shares | $16,000 |
| SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | CALL | 200 shares | $16,000 |
| SEVCON INC | COM | 81783K108 | — | 1,919 shares | $16,000 |
| SEVERN BANCORP ANNAPOLIS MD | COM | 81811M100 | — | 3,461 shares | $16,000 |
| SPEEDWAY MOTORSPORTS INC | COM | 847788106 | — | 930 shares | $16,000 |
| STEINER LEISURE LTD | ORD | P8744Y102 | — | 432 shares | $16,000 |
| TEJON RANCH CO | *W EXP 08/31/201 | 879080133 | — | 8,076 shares | $16,000 |
| TETRALOGIC PHARMACEUTICALS C | COM | 88165U109 | — | 3,900 shares | $16,000 |
| TICC CAPITAL CORP | COM | 87244T109 | CALL | 1,800 shares | $16,000 |
| TOP SHIPS INC | SHS NEW 2014 | Y8897Y149 | — | 7,810 shares | $16,000 |
| TORCHMARK CORP | COM | 891027104 | CALL | 300 shares | $16,000 |
| TREEHOUSE FOODS INC | COM | 89469A104 | CALL | 200 shares | $16,000 |
| TRIUMPH GROUP INC NEW | COM | 896818101 | — | 250 shares | $16,000 |
| TRUEBLUE INC | COM | 89785X101 | — | 615 shares | $16,000 |
| TRUECAR INC | COM | 89785L107 | CALL | 900 shares | $16,000 |
| UNIVERSAL TECHNICAL INST INC | COM | 913915104 | — | 1,761 shares | $16,000 |
| VIMPELCOM LTD | SPONSORED ADR | 92719A106 | CALL | 2,265 shares | $16,000 |
| VIRNETX HLDG CORP | COM | 92823T108 | — | 2,747 shares | $16,000 |
| VISHAY PRECISION GROUP INC | COM | 92835K103 | — | 1,084 shares | $16,000 |
| WEIS MKTS INC | COM | 948849104 | — | 408 shares | $16,000 |
| WINTHROP RLTY TR | SH BEN INT NEW | 976391300 | — | 1,046 shares | $16,000 |
| WISDOMTREE TR | COMM COUNTRY EQ | 97717W752 | — | 546 shares | $16,000 |
| WISDOMTREE TR | LRGECP VALUE FD | 97717W547 | — | 265 shares | $16,000 |
| WOORI FIN HLDGS CO LTD | ADR NEW | 981063209 | — | 436 shares | $16,000 |
| ZHAOPIN LTD | SPONSORED ADR | 98954L103 | — | 1,250 shares | $16,000 |
| 1ST CENTURY BANCSHARES INC | COM | 31943X102 | — | 2,069 shares | $15,000 |
| ACASTI PHARMA INC | CL A SHS | 00430K105 | — | 19,457 shares | $15,000 |
| ALEXZA PHARMACEUTICALS INC | COM NEW | 015384209 | CALL | 6,400 shares | $15,000 |
| ALMADEN MINERALS LTD | COM | 020283107 | — | 11,500 shares | $15,000 |
| ALPINE GLOBAL DYNAMIC DIVD F | COM NEW | 02082E205 | — | 1,562 shares | $15,000 |
| ALTEVA | COM | 02153V102 | — | 2,098 shares | $15,000 |
| AMYRIS INC | COM | 03236M101 | — | 4,066 shares | $15,000 |
| APOLLO ED GROUP INC | CL A | 037604105 | CALL | 600 shares | $15,000 |
| APPLIED GENETIC TECHNOL CORP | COM | 03820J100 | — | 811 shares | $15,000 |
| ATHERSYS INC | COM | 04744L106 | CALL | 11,100 shares | $15,000 |
| AVX CORP NEW | COM | 002444107 | — | 1,115 shares | $15,000 |
| BALLARD PWR SYS INC NEW | COM | 058586108 | — | 4,560 shares | $15,000 |
| BARCLAYS BK PLC | 30 YR TREAS BEAR | 06740L444 | — | 540 shares | $15,000 |
| BASIC ENERGY SVCS INC NEW | COM | 06985P100 | CALL | 700 shares | $15,000 |
| BELLATRIX EXPLORATION LTD | COM | 078314101 | CALL | 2,500 shares | $15,000 |
| BLACK DIAMOND INC | COM | 09202G101 | — | 1,970 shares | $15,000 |
| BRIDGFORD FOODS CORP | COM | 108763103 | — | 1,918 shares | $15,000 |
| BROADWIND ENERGY INC | COM NEW | 11161T207 | CALL | 2,000 shares | $15,000 |
| BROOKFIELD CDA OFFICE PPTYS | TR UNIT | 112823109 | — | 602 shares | $15,000 |
| CATHAY GEN BANCORP | COM | 149150104 | — | 608 shares | $15,000 |
| CELSION CORPORATION | COM PAR $0.01 | 15117N404 | — | 4,968 shares | $15,000 |
| CHEROKEE INC DEL NEW | COM | 16444H102 | — | 811 shares | $15,000 |
| CHESAPEAKE ENERGY CORP | NOTE 2.750%11/1 | 165167BW6 | — | 17,000 principal | $15,000 |
| CHINA HGS REAL ESTATE INC | COM | 16948W100 | — | 2,994 shares | $15,000 |
| CONSOLIDATED WATER CO INC | ORD | G23773107 | — | 1,300 shares | $15,000 |
| CORE LABORATORIES N V | COM | N22717107 | CALL | 100 shares | $15,000 |
| CORE LABORATORIES N V | COM | N22717107 | PUT | 100 shares | $15,000 |
| CORENERGY INFRASTRUCTURE TR | COM | 21870U205 | — | 2,000 shares | $15,000 |
| CREDICORP LTD | COM | G2519Y108 | CALL | 100 shares | $15,000 |
| CREDIT SUISSE NASSAU BRH | SLVRFLO ETN LK | 22542D449 | — | 1,219 shares | $15,000 |
| CRYOLIFE INC | COM | 228903100 | PUT | 1,500 shares | $15,000 |
| CYCLACEL PHARMACEUTICALS INC | COM NEW | 23254L306 | — | 4,852 shares | $15,000 |
| DAKTRONICS INC | COM | 234264109 | PUT | 1,200 shares | $15,000 |
| DIREXION SHS ETF TR | DL FTSE BEAR 3X | 25459Y462 | — | 890 shares | $15,000 |
| DIREXION SHS ETF TR | DL RUSSIA BEAR | 25459W284 | — | 1,053 shares | $15,000 |
| DIREXION SHS ETF TR | DLY RUSSIA BUL | 25459Y645 | CALL | 1,300 shares | $15,000 |
| DIREXION SHS ETF TR II | DLY GLD BULL3X | 25490F100 | — | 492 shares | $15,000 |
| DORIAN LPG LTD | SHS USD | Y2106R110 | — | 854 shares | $15,000 |
| DXP ENTERPRISES INC NEW | COM NEW | 233377407 | — | 204 shares | $15,000 |
| DYNAMIC MATLS CORP | COM | 267888105 | — | 805 shares | $15,000 |
| DYNEGY INC NEW DEL | *W EXP 10/02/201 | 26817R116 | — | 3,581 shares | $15,000 |
| EASTMAN KODAK CO | COM NEW | 277461406 | — | 690 shares | $15,000 |
| EMPRESA DIST Y COMERCIAL NOR | SPON ADR | 29244A102 | — | 1,305 shares | $15,000 |
| EXLSERVICE HOLDINGS INC | COM | 302081104 | — | 611 shares | $15,000 |
| FIRST BUS FINL SVCS INC WIS | COM | 319390100 | — | 336 shares | $15,000 |
| FIRST SOUTH BANCORP INC VA | COM | 33646W100 | — | 1,827 shares | $15,000 |
| FLEXSTEEL INDS INC | COM | 339382103 | — | 435 shares | $15,000 |
| FORD MTR CO DEL | COM PAR $0.01 | 345370860 | PUT | 1,000 shares | $15,000 |
| GALECTIN THERAPEUTICS INC | COM NEW | 363225202 | — | 2,890 shares | $15,000 |
| GENERAL CABLE CORP DEL NEW | COM | 369300108 | CALL | 1,000 shares | $15,000 |
| GEOPARK LTD | USD SHS | G38327105 | — | 1,500 shares | $15,000 |
| GLOBAL TECH ADVANCED INNOVAT | SHS NEW | G39320117 | — | 2,661 shares | $15,000 |
| GLORI ENERGY INC | COM | 379606106 | — | 1,891 shares | $15,000 |
| GRIFFON CORP | COM | 398433102 | — | 1,284 shares | $15,000 |