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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) |
|---|---|---|---|---|---|
| CLEARBRIDGE ENERGY MLP OPP F | COM | 18469P100 | — | 469 shares | $11,000 |
| CODEXIS INC | COM | 192005106 | — | 4,708 shares | $11,000 |
| COLFAX CORP | COM | 194014106 | PUT | 200 shares | $11,000 |
| COMMUNITYONE BANCORP | COM | 20416Q108 | — | 1,202 shares | $11,000 |
| COMSTOCK HLDG COS INC | CL A | 205684103 | — | 9,867 shares | $11,000 |
| COMTECH TELECOMMUNICATIONS C | COM NEW | 205826209 | CALL | 300 shares | $11,000 |
| CRAY INC | COM NEW | 225223304 | PUT | 400 shares | $11,000 |
| DCP MIDSTREAM PARTNERS LP | COM UT LTD PTN | 23311P100 | PUT | 200 shares | $11,000 |
| DEMANDWARE INC | COM | 24802Y105 | — | 208 shares | $11,000 |
| DIREXION SHS ETF TR | BAS MAT BULL3X | 25459Y504 | — | 168 shares | $11,000 |
| DIREXION SHS ETF TR | DLY FTS BUL 3X | 25459Y280 | — | 316 shares | $11,000 |
| DIREXION SHS ETF TR | DLY SCOND 3XBU | 25459W458 | PUT | 100 shares | $11,000 |
| DISCOVERY COMMUNICATNS NEW | COM SER B | 25470F203 | — | 290 shares | $11,000 |
| DOMINION DIAMOND CORP | COM | 257287102 | — | 780 shares | $11,000 |
| DRAGONWAVE INC | COM | 26144M103 | — | 8,900 shares | $11,000 |
| DUCOMMUN INC DEL | COM | 264147109 | — | 393 shares | $11,000 |
| DYAX CORP | COM | 26746E103 | PUT | 1,100 shares | $11,000 |
| EAGLE CAP GROWTH FD INC | COM | 269451100 | — | 1,419 shares | $11,000 |
| EASTMAN KODAK CO | COM NEW | 277461406 | PUT | 500 shares | $11,000 |
| EATON VANCE MICH MUN BD FD | COM | 27828M104 | — | 853 shares | $11,000 |
| ELBIT IMAGING LTD | SHS NEW | M37605116 | — | 3,730 shares | $11,000 |
| ELDORADO RESORTS INC | COM | 28470R102 | — | 2,623 shares | $11,000 |
| ELECTRO-SENSORS INC | COM | 285233102 | — | 2,941 shares | $11,000 |
| EMPIRE ST RLTY OP L P | UNIT LTD PRT 250 | 292102308 | — | 728 shares | $11,000 |
| EMPIRE ST RLTY OP L P | UNIT LTD PRT 60 | 292102209 | — | 715 shares | $11,000 |
| ENERPLUS CORP | COM | 292766102 | PUT | 600 shares | $11,000 |
| EUROPEAN EQUITY FUND | COM | 298768102 | — | 1,324 shares | $11,000 |
| EXETER RES CORP | COM | 301835104 | — | 18,783 shares | $11,000 |
| FARMERS NATL BANC CORP | COM | 309627107 | — | 1,426 shares | $11,000 |
| FELCOR LODGING TR INC | COM | 31430F101 | — | 1,220 shares | $11,000 |
| FIELDPOINT PETROLEUM CORP | COM | 316570100 | — | 2,839 shares | $11,000 |
| FLEXSHARES TR | INT QLTDVDYNAM | 33939L829 | — | 398 shares | $11,000 |
| FLEXSHARES TR | STOXX GLOBR INF | 33939L795 | — | 250 shares | $11,000 |
| FUEL TECH INC | COM | 359523107 | — | 2,700 shares | $11,000 |
| GAS NAT INC | COM | 367204104 | — | 943 shares | $11,000 |
| GFI GROUP INC | COM | 361652209 | PUT | 2,000 shares | $11,000 |
| GLAXOSMITHKLINE PLC | SPONSORED ADR | 37733W105 | — | 250 shares | $11,000 |
| GLOBALSTAR INC | COM | 378973408 | PUT | 2,900 shares | $11,000 |
| GT ADVANCED TECHNOLOGIES INC | COM | 36191U106 | PUT | 1,000 shares | $11,000 |
| HACKETT GROUP INC | COM | 404609109 | — | 1,852 shares | $11,000 |
| HARMONY GOLD MNG LTD | SPONSORED ADR | 413216300 | CALL | 4,900 shares | $11,000 |
| HASBRO INC | COM | 418056107 | CALL | 200 shares | $11,000 |
| HD SUPPLY HLDGS INC | COM | 40416M105 | PUT | 400 shares | $11,000 |
| HERITAGE FINL GROUP INC | COM | 42726X102 | — | 564 shares | $11,000 |
| HINGHAM INSTN SVGS MASS | COM | 433323102 | — | 131 shares | $11,000 |
| ICONIX BRAND GROUP INC | COM | 451055107 | CALL | 300 shares | $11,000 |
| ICON PLC | SHS | G4705A100 | CALL | 200 shares | $11,000 |
| IDREAMSKY TECHNOLOGY LIMITED | SPONSORED ADS | 45173K101 | — | 621 shares | $11,000 |
| IMMUNOGEN INC | COM | 45253H101 | CALL | 1,000 shares | $11,000 |
| IMMUNOGEN INC | COM | 45253H101 | PUT | 1,000 shares | $11,000 |
| INGERSOLL-RAND PLC | SHS | G47791101 | PUT | 200 shares | $11,000 |
| INSPERITY INC | COM | 45778Q107 | — | 402 shares | $11,000 |
| INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | CALL | 700 shares | $11,000 |
| IRELAND BK | SPNSRD ADR NEW | 46267Q202 | CALL | 700 shares | $11,000 |
| ISHARES | 3YRTB ETF | 464288125 | — | 126 shares | $11,000 |
| ISHARES TR | TIPS BD ETF | 464287176 | CALL | 100 shares | $11,000 |
| JMP GROUP INC | COM | 46629U107 | — | 1,729 shares | $11,000 |
| JOHN BEAN TECHNOLOGIES CORP | COM | 477839104 | — | 384 shares | $11,000 |
| KOPIN CORP | COM | 500600101 | CALL | 3,100 shares | $11,000 |
| KOPPERS HOLDINGS INC | COM | 50060P106 | — | 331 shares | $11,000 |
| KT CORP | SPONSORED ADR | 48268K101 | CALL | 700 shares | $11,000 |
| LKQ CORP | COM | 501889208 | PUT | 400 shares | $11,000 |
| LUBYS INC | COM | 549282101 | — | 2,000 shares | $11,000 |
| LUXFER HLDGS PLC | SPONSORED ADR | 550678106 | — | 642 shares | $11,000 |
| MAG SILVER CORP | COM | 55903Q104 | PUT | 1,500 shares | $11,000 |
| MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | CALL | 400 shares | $11,000 |
| MANDALAY DIGITAL GROUP INC | COM NEW | 562562207 | CALL | 2,500 shares | $11,000 |
| MANNATECH INC | COM NEW | 563771203 | — | 684 shares | $11,000 |
| MARKET VECTORS ETF TR | EMKT AGGR BD ETF | 57060U431 | — | 452 shares | $11,000 |
| MATTSON TECHNOLOGY INC | COM | 577223100 | — | 4,508 shares | $11,000 |
| MURPHY OIL CORP | COM | 626717102 | PUT | 200 shares | $11,000 |
| MURPHY USA INC | COM | 626755102 | CALL | 200 shares | $11,000 |
| NAM TAI PPTY INC | SHS | G63907102 | PUT | 1,800 shares | $11,000 |
| NANOSPHERE INC | COM | 63009F105 | — | 20,036 shares | $11,000 |
| NAPCO SEC TECHNOLOGIES INC | COM | 630402105 | — | 2,345 shares | $11,000 |
| NEENAH PAPER INC | COM | 640079109 | CALL | 200 shares | $11,000 |
| NEKTAR THERAPEUTICS | COM | 640268108 | CALL | 900 shares | $11,000 |
| NEPTUNE TECHNOLOGIES BIORESO | COM | 64077P108 | — | 5,460 shares | $11,000 |
| NUVEEN MUN INCOME FD INC | COM | 67062J102 | — | 1,000 shares | $11,000 |
| OREXIGEN THERAPEUTICS INC | COM | 686164104 | CALL | 2,600 shares | $11,000 |
| PACIFIC BIOSCIENCES CALIF IN | COM | 69404D108 | — | 2,300 shares | $11,000 |
| PENGROWTH ENERGY CORP | COM | 70706P104 | PUT | 2,200 shares | $11,000 |
| PENNS WOODS BANCORP INC | COM | 708430103 | — | 263 shares | $11,000 |
| PHARMATHENE INC | COM | 71714G102 | — | 6,196 shares | $11,000 |
| PIKE CORP | COM | 721283109 | CALL | 900 shares | $11,000 |
| POINTER TELOCATION LTD | SHS | M7946T104 | — | 1,302 shares | $11,000 |
| PROSHARES TR | PSHS TECHNOLOGY | 74347X153 | — | 730 shares | $11,000 |
| PROSHARES TR | PSHS ULSHRT TELE | 74347X252 | — | 730 shares | $11,000 |
| PROSHARES TR | PSHS ULTSH 20YRS | 74347B201 | — | 200 shares | $11,000 |
| PROSHARES TR | ULTSHT FT CH 50 | 74348A350 | CALL | 200 shares | $11,000 |
| PROSHARES TR II | PSHS ULSSLVR NEW | 74347W114 | PUT | 100 shares | $11,000 |
| PSYCHEMEDICS CORP | COM NEW | 744375205 | — | 748 shares | $11,000 |
| REALOGY HLDGS CORP | COM | 75605Y106 | — | 296 shares | $11,000 |
| REGULUS THERAPEUTICS INC | COM | 75915K101 | CALL | 1,600 shares | $11,000 |
| RELYPSA INC | COM | 759531106 | — | 500 shares | $11,000 |
| SANDRIDGE MISSISSIPPIAN TR I | UNIT BEN INT | 80007T101 | PUT | 2,600 shares | $11,000 |
| SCOTTS MIRACLE GRO CO | CL A | 810186106 | CALL | 200 shares | $11,000 |
| SEI INVESTMENTS CO | COM | 784117103 | PUT | 300 shares | $11,000 |
| SGOCO GROUP LTD | SHS | G80751103 | — | 6,143 shares | $11,000 |
| SILGAN HOLDINGS INC | COM | 827048109 | — | 239 shares | $11,000 |