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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) |
|---|---|---|---|---|---|
| GTT COMMUNICATIONS INC | COM | 362393100 | — | 1,268 shares | $15,000 |
| GULF COAST ULTRA DEEP RTY TR | ROYALTY TR UNT | 40222T104 | — | 7,558 shares | $15,000 |
| HANWHA SOLARONE CO LTD | SPONSORED ADR | 41135V103 | — | 6,211 shares | $15,000 |
| HENNESSY ADVISORS INC | COM | 425885100 | — | 742 shares | $15,000 |
| HOME INNS & HOTELS MGMT INC | SPON ADR | 43713W107 | CALL | 500 shares | $15,000 |
| HORSEHEAD HLDG CORP | COM | 440694305 | — | 924 shares | $15,000 |
| HOWARD HUGHES CORP | COM | 44267D107 | CALL | 100 shares | $15,000 |
| HOWARD HUGHES CORP | COM | 44267D107 | PUT | 100 shares | $15,000 |
| HSBC USA INC | S&P CTI ETN 23 | 4042EP602 | — | 2,312 shares | $15,000 |
| ICONIX BRAND GROUP INC | COM | 451055107 | PUT | 400 shares | $15,000 |
| IDERA PHARMACEUTICALS INC | COM NEW | 45168K306 | — | 6,502 shares | $15,000 |
| INDEXIQ ETF TR | GLB CRUDE OIL | 45409B842 | — | 708 shares | $15,000 |
| INFOBLOX INC | COM | 45672H104 | CALL | 1,000 shares | $15,000 |
| INGLES MKTS INC | CL A | 457030104 | — | 635 shares | $15,000 |
| ISHARES TR | MSCI USAMOMFCT | 46432F396 | — | 238 shares | $15,000 |
| ITT EDUCATIONAL SERVICES INC | COM | 45068B109 | — | 3,514 shares | $15,000 |
| JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | — | 1,654 shares | $15,000 |
| JIAYUAN COM INTL LTD | SPONSORED ADR | 477374102 | — | 2,300 shares | $15,000 |
| JIVE SOFTWARE INC | COM | 47760A108 | CALL | 2,600 shares | $15,000 |
| KINROSS GOLD CORP | COM NO PAR | 496902404 | CALL | 4,600 shares | $15,000 |
| LAPORTE BANCORP INC MD | COM | 516651106 | — | 1,315 shares | $15,000 |
| LEGG MASON INC | COM | 524901105 | PUT | 300 shares | $15,000 |
| LIBERTY INTERACTIVE CORP | LBT VENT COM B | 53071M872 | — | 393 shares | $15,000 |
| MAINSOURCE FINANCIAL GP INC | COM | 56062Y102 | — | 856 shares | $15,000 |
| MANULIFE FINL CORP | COM | 56501R106 | PUT | 800 shares | $15,000 |
| MARINEMAX INC | COM | 567908108 | CALL | 900 shares | $15,000 |
| MARKET VECTORS ETF TR | GULF STS ETF | 57060U779 | — | 454 shares | $15,000 |
| MARKET VECTORS ETF TR | URAN NUCLR ENRGY | 57061R577 | — | 292 shares | $15,000 |
| MASIMO CORP | COM | 574795100 | CALL | 700 shares | $15,000 |
| MEDICINES CO | COM | 584688105 | — | 659 shares | $15,000 |
| MFS INTERMARKET INCOME TRUST | SH BEN INT | 59318R103 | — | 1,742 shares | $15,000 |
| MONOTYPE IMAGING HOLDINGS IN | COM | 61022P100 | — | 528 shares | $15,000 |
| NATIONAL WESTMINSTER BK PLC | SPON ADR C | 638539882 | — | 576 shares | $15,000 |
| NAVISTAR INTL CORP NEW | NOTE 3.000%10/1 | 63934EAL2 | — | 15,000 principal | $15,000 |
| NEW AMER HIGH INCOME FD INC | COM NEW | 641876800 | — | 1,563 shares | $15,000 |
| NOVA MEASURING INSTRUMENTS L | COM | M7516K103 | — | 1,414 shares | $15,000 |
| NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | — | 1,615 shares | $15,000 |
| NUVEEN QUALITY PFD INC FD 3 | COM | 67072W101 | — | 1,759 shares | $15,000 |
| ONCOTHYREON INC | COM | 682324108 | — | 7,899 shares | $15,000 |
| PALMETTO BANCSHARES INC | COM NEW | 697062206 | — | 1,075 shares | $15,000 |
| PARAGON OFFSHORE PLC | SHS | G6S01W108 | CALL | 2,400 shares | $15,000 |
| P C CONNECTION | COM | 69318J100 | — | 711 shares | $15,000 |
| PEGASYSTEMS INC | COM | 705573103 | CALL | 800 shares | $15,000 |
| PENDRELL CORP | COM | 70686R104 | — | 11,000 shares | $15,000 |
| POWER SOLUTIONS INTL INC | COM NEW | 73933G202 | — | 213 shares | $15,000 |
| PROSHARES TR | GERMAN SOV/SUB | 74348A889 | — | 382 shares | $15,000 |
| PROSHARES TR | MSCI EMRG ETF | 74347X302 | PUT | 200 shares | $15,000 |
| PROSHARES TR | PSHS ULTRUSS2000 | 74347R842 | PUT | 200 shares | $15,000 |
| PROSHARES TR | REAL EST NEW 11 | 74348A871 | — | 939 shares | $15,000 |
| PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | PUT | 200 shares | $15,000 |
| PTC INC | COM | 69370C100 | CALL | 400 shares | $15,000 |
| QUANTA SVCS INC | COM | 74762E102 | CALL | 400 shares | $15,000 |
| QUIKSILVER INC | COM | 74838C106 | — | 8,810 shares | $15,000 |
| RENREN INC | SPONSORED ADR | 759892102 | — | 4,410 shares | $15,000 |
| REVLON INC | CL A NEW | 761525609 | — | 472 shares | $15,000 |
| ROCKWOOD HLDGS INC | COM | 774415103 | PUT | 200 shares | $15,000 |
| ROWAN COMPANIES PLC | SHS CL A | G7665A101 | — | 600 shares | $15,000 |
| ROYAL BK SCOTLAND GROUP PLC | SP ADR PREF T | 780097713 | — | 595 shares | $15,000 |
| RTI SURGICAL INC | COM | 74975N105 | — | 3,081 shares | $15,000 |
| RYDEX ETF TRUST | GUG S&P500 EQ WT | 78355W106 | PUT | 200 shares | $15,000 |
| SANMINA CORPORATION | COM | 801056102 | PUT | 700 shares | $15,000 |
| SAPIENS INTL CORP N V | SHS NEW | N7716A151 | — | 2,087 shares | $15,000 |
| SENIOR HSG PPTYS TR | SH BEN INT | 81721M109 | PUT | 700 shares | $15,000 |
| SIFCO INDS INC | COM | 826546103 | — | 504 shares | $15,000 |
| SIRONA DENTAL SYSTEMS INC | COM | 82966C103 | CALL | 200 shares | $15,000 |
| SONIC FDRY INC | COM NEW | 83545R207 | — | 1,614 shares | $15,000 |
| SPARK NETWORKS INC | COM | 84651P100 | — | 3,140 shares | $15,000 |
| SPARTANNASH CO | COM | 847215100 | — | 760 shares | $15,000 |
| SPDR SERIES TRUST | NUVN BR NY MUNI | 78464A433 | — | 643 shares | $15,000 |
| SPDR SER TR | S&P1500MOMTILT | 78468R705 | — | 174 shares | $15,000 |
| SUNSHINE HEART INC | COM | 86782U106 | — | 2,650 shares | $15,000 |
| SYPRIS SOLUTIONS INC | COM | 871655106 | — | 4,652 shares | $15,000 |
| TOTAL SYS SVCS INC | COM | 891906109 | PUT | 500 shares | $15,000 |
| TRANSALTA CORP | COM | 89346D107 | — | 1,461 shares | $15,000 |
| TRANSGENOMIC INC | COM NEW | 89365K305 | — | 4,009 shares | $15,000 |
| TREDEGAR CORP | COM | 894650100 | CALL | 800 shares | $15,000 |
| TURTLE BEACH CORP | COM | 900450107 | — | 1,918 shares | $15,000 |
| UNITED CMNTY FINL CORP OHIO | COM | 909839102 | — | 3,231 shares | $15,000 |
| UNITED STS COMMODITY IDX FDT | CM REP COPP FD | 911718104 | — | 750 shares | $15,000 |
| UNIVERSAL AMERN CORP NEW | COM | 91338E101 | — | 1,882 shares | $15,000 |
| VIACOM INC NEW | CL B | 92553P201 | PUT | 200 shares | $15,000 |
| WEST MARINE INC | COM | 954235107 | — | 1,640 shares | $15,000 |
| YY INC | ADS REPCOM CLA | 98426T106 | PUT | 200 shares | $15,000 |
| AETRIUM INC | COM NEW | 00817R202 | — | 3,290 shares | $14,000 |
| AGENUS INC | COM NEW | 00847G705 | — | 4,500 shares | $14,000 |
| AG MTG INVT TR INC | COM | 001228105 | PUT | 800 shares | $14,000 |
| ALTEVA | COM | 02153V102 | — | 2,000 shares | $14,000 |
| AMIRA NATURE FOODS LTD | SHS | G0335L102 | — | 868 shares | $14,000 |
| ASIA PAC FD INC | COM | 044901106 | — | 1,281 shares | $14,000 |
| ASTRAZENECA PLC | SPONSORED ADR | 046353108 | PUT | 200 shares | $14,000 |
| AVALONBAY CMNTYS INC | COM | 053484101 | CALL | 100 shares | $14,000 |
| BARCLAYS BANK PLC | ETN DJUBSLEAD 38 | 06739H263 | — | 293 shares | $14,000 |
| BARD C R INC | COM | 067383109 | CALL | 100 shares | $14,000 |
| BDCA VENTURE INC | COM | 05543L106 | — | 2,584 shares | $14,000 |
| BELMOND LTD | CL A | G1154H107 | — | 1,223 shares | $14,000 |
| BLACKROCK ENHANCED GOVT FD I | COM | 09255K108 | — | 1,017 shares | $14,000 |
| BLACKROCK NY MUN INCOME TR I | COM | 09249R102 | — | 1,000 shares | $14,000 |
| BLACKROCK UTIL & INFRASTRCTU | COM | 09248D104 | — | 693 shares | $14,000 |
| BOB EVANS FARMS INC | COM | 096761101 | PUT | 300 shares | $14,000 |
| BROWN SHOE INC NEW | COM | 115736100 | PUT | 500 shares | $14,000 |