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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) |
|---|---|---|---|---|---|
| STERIS CORP | COM | 859152100 | — | 113 shares | $6,000 |
| STRAYER ED INC | COM | 863236105 | CALL | 100 shares | $6,000 |
| SUNOPTA INC | COM | 8676EP108 | PUT | 500 shares | $6,000 |
| SWIFT TRANSN CO | CL A | 87074U101 | PUT | 300 shares | $6,000 |
| SYNTA PHARMACEUTICALS CORP | COM | 87162T206 | CALL | 2,000 shares | $6,000 |
| TAITRON COMPONENTS INC | CL A | 874028103 | — | 6,209 shares | $6,000 |
| TARENA INTL INC | ADR | 876108101 | — | 445 shares | $6,000 |
| TERRENO RLTY CORP | COM | 88146M101 | — | 315 shares | $6,000 |
| TEUCRIUM COMMODITY TR | SOYBEAN FD | 88166A607 | PUT | 300 shares | $6,000 |
| TIGER MEDIA INC | SHS | G88685105 | — | 10,200 shares | $6,000 |
| TOWNSQUARE MEDIA INC | CL A | 892231101 | — | 532 shares | $6,000 |
| TSAKOS ENERGY NAVIGATION LTD | SHS | G9108L108 | CALL | 900 shares | $6,000 |
| TTM TECHNOLOGIES INC | COM | 87305R109 | — | 850 shares | $6,000 |
| TTM TECHNOLOGIES INC | NOTE 3.250% 5/1 | 87305RAC3 | — | 6,000 principal | $6,000 |
| TUMI HLDGS INC | COM | 89969Q104 | — | 306 shares | $6,000 |
| UNITED FINL BANCORP INC NEW | COM | 910304104 | — | 462 shares | $6,000 |
| UNITED STS COMMODITY IDX FDT | COM UTS US AGR | 911718203 | — | 291 shares | $6,000 |
| VALE S A | ADR REPSTG PFD | 91912E204 | — | 587 shares | $6,000 |
| VERTEX ENERGY INC | COM | 92534K107 | CALL | 900 shares | $6,000 |
| VISTA GOLD CORP | COM NEW | 927926303 | — | 15,475 shares | $6,000 |
| WAYNE SVGS BANCSHARES INC NE | COM | 94624Q101 | — | 506 shares | $6,000 |
| WEB COM GROUP INC | COM | 94733A104 | CALL | 300 shares | $6,000 |
| WENDYS CO | COM | 95058W100 | — | 762 shares | $6,000 |
| WISDOMTREE TR | US S CAP DIV GRW | 97717X651 | — | 208 shares | $6,000 |
| WNS HOLDINGS LTD | SPON ADR | 92932M101 | — | 288 shares | $6,000 |
| WORLD WRESTLING ENTMT INC | CL A | 98156Q108 | CALL | 400 shares | $6,000 |
| XPLORE TECHNOLOGIES CORP | COM PAR $0.001 | 983950700 | — | 1,202 shares | $6,000 |
| ZEP INC | COM | 98944B108 | — | 417 shares | $6,000 |
| ABIOMED INC | COM | 003654100 | CALL | 200 shares | $5,000 |
| ABM INDS INC | COM | 000957100 | CALL | 200 shares | $5,000 |
| ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | CALL | 100 shares | $5,000 |
| ACELRX PHARMACEUTICALS INC | COM | 00444T100 | — | 1,000 shares | $5,000 |
| ADVANTEST CORP | SPON ADR NEW | 00762U200 | — | 385 shares | $5,000 |
| AGILE THERAPEUTICS INC | COM | 00847L100 | — | 631 shares | $5,000 |
| ALDEYRA THERAPEUTICS INC | COM | 01438T106 | — | 921 shares | $5,000 |
| AMERICAN EQTY INVT LIFE HLD | COM | 025676206 | CALL | 200 shares | $5,000 |
| AMERICAN WTR WKS CO INC NEW | COM | 030420103 | PUT | 100 shares | $5,000 |
| ANGIODYNAMICS INC | COM | 03475V101 | CALL | 400 shares | $5,000 |
| ANTERO RES CORP | COM | 03674X106 | CALL | 100 shares | $5,000 |
| API TECHNOLOGIES CORP | COM NEW | 00187E203 | — | 2,153 shares | $5,000 |
| ARLINGTON ASSET INVT CORP | CL A NEW | 041356205 | CALL | 200 shares | $5,000 |
| ATLANTIC COAST FINL CORP | COM | 048426100 | — | 1,336 shares | $5,000 |
| ATLANTIC TELE NETWORK INC | COM NEW | 049079205 | CALL | 100 shares | $5,000 |
| AUDIOCODES LTD | ORD | M15342104 | CALL | 1,100 shares | $5,000 |
| AUTONATION INC | COM | 05329W102 | CALL | 100 shares | $5,000 |
| AUTONATION INC | COM | 05329W102 | — | 108 shares | $5,000 |
| AVEO PHARMACEUTICALS INC | COM | 053588109 | — | 4,601 shares | $5,000 |
| BADGER METER INC | COM | 056525108 | PUT | 100 shares | $5,000 |
| BARCLAYS BANK PLC | ADS7.75%PFD S4 | 06739H511 | — | 208 shares | $5,000 |
| BERKLEY W R CORP | COM | 084423102 | CALL | 100 shares | $5,000 |
| BIND THERAPEUTICS INC | COM | 05548N107 | — | 563 shares | $5,000 |
| BIOTIME INC | COM | 09066L105 | CALL | 1,500 shares | $5,000 |
| BLACKROCK MUN 2020 TERM TR | COM SHS | 09249X109 | — | 310 shares | $5,000 |
| BLUE EARTH INC | COM | 095428108 | — | 1,300 shares | $5,000 |
| BOX SHIPS INCORPORATED | SHS | Y09675102 | CALL | 4,000 shares | $5,000 |
| BUCKLE INC | COM | 118440106 | PUT | 100 shares | $5,000 |
| CAL DIVE INTL INC DEL | COM | 12802T101 | — | 5,144 shares | $5,000 |
| CALIX INC | COM | 13100M509 | CALL | 500 shares | $5,000 |
| CARBONITE INC | COM | 141337105 | CALL | 500 shares | $5,000 |
| CECO ENVIRONMENTAL CORP | COM | 125141101 | PUT | 400 shares | $5,000 |
| CEDAR FAIR L P | DEPOSITRY UNIT | 150185106 | PUT | 100 shares | $5,000 |
| CELLCOM ISRAEL LTD | SHS | M2196U109 | CALL | 500 shares | $5,000 |
| CEL SCI CORP | COM PAR $0.01 | 150837508 | — | 5,959 shares | $5,000 |
| CENTRAL EUROPEAN MEDIA ENTRP | CL A NEW | G20045202 | CALL | 2,000 shares | $5,000 |
| CENVEO INC | COM | 15670S105 | — | 1,985 shares | $5,000 |
| CENVEO INC | COM | 15670S105 | PUT | 2,000 shares | $5,000 |
| CENVEO INC | COM | 15670S105 | — | 2,000 shares | $5,000 |
| CERUS CORP | COM | 157085101 | CALL | 1,300 shares | $5,000 |
| CHECKPOINT SYS INC | COM | 162825103 | CALL | 400 shares | $5,000 |
| CHEESECAKE FACTORY INC | COM | 163072101 | PUT | 100 shares | $5,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUG BUL 2020 HY | 18383M365 | — | 190 shares | $5,000 |
| COLUMBIA ETF TR | CORE BD ETF | 19761R802 | — | 106 shares | $5,000 |
| COMFORT SYS USA INC | COM | 199908104 | CALL | 400 shares | $5,000 |
| COMMUNITY WEST BANCSHARES | COM | 204157101 | — | 785 shares | $5,000 |
| COMPANHIA DE SANEAMENTO BASI | SPONSORED ADR | 20441A102 | PUT | 600 shares | $5,000 |
| CONCORD MED SVCS HLDGS LTD | SPONSORED ADR | 206277105 | — | 750 shares | $5,000 |
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | — | 139 shares | $5,000 |
| CREDIT SUISSE NASSAU BRH | BACK ETN LK IDX | 22542D456 | — | 288 shares | $5,000 |
| CYBERONICS INC | COM | 23251P102 | CALL | 100 shares | $5,000 |
| CYTORI THERAPEUTICS INC | COM | 23283K105 | — | 7,100 shares | $5,000 |
| DELTA APPAREL INC | COM | 247368103 | — | 504 shares | $5,000 |
| DIPEXIUM PHARMACEUTICALS INC | COM | 25456J104 | — | 500 shares | $5,000 |
| DIREXION SHS ETF TR | DLY MIDCAP ETF3X | 25459W730 | — | 65 shares | $5,000 |
| DIREXION SHS ETF TR | NAT GS BULL 3X | 25459W227 | CALL | 200 shares | $5,000 |
| DOMINION RES INC VA NEW | UNIT 07/01/2016 | 25746U885 | — | 80 shares | $5,000 |
| DS HEALTHCARE GROUP INC | COM | 23336Q109 | — | 4,730 shares | $5,000 |
| DUCOMMUN INC DEL | COM | 264147109 | CALL | 200 shares | $5,000 |
| ECHOSTAR CORP | CL A | 278768106 | PUT | 100 shares | $5,000 |
| ECLIPSE RES CORP | COM | 27890G100 | CALL | 300 shares | $5,000 |
| EDAP TMS S A | SPONSORED ADR | 268311107 | CALL | 3,500 shares | $5,000 |
| EDUCATIONAL DEV CORP | COM | 281479105 | — | 1,000 shares | $5,000 |
| EMPIRE RESORTS INC | COM NEW | 292052206 | CALL | 800 shares | $5,000 |
| EMULEX CORP | COM NEW | 292475209 | CALL | 1,000 shares | $5,000 |
| ENERJEX RESOURCES INC | COM PAR $0.001 | 292758406 | — | 851 shares | $5,000 |
| ENERNOC INC | COM | 292764107 | PUT | 300 shares | $5,000 |
| EPIZYME INC | COM | 29428V104 | CALL | 200 shares | $5,000 |
| EPR PPTYS | COM SH BEN INT | 26884U109 | PUT | 100 shares | $5,000 |
| EQUITY COMWLTH | CUM PFD E 7.25% | 294628409 | — | 188 shares | $5,000 |
| ESCO TECHNOLOGIES INC | COM | 296315104 | — | 143 shares | $5,000 |
| EVERCORE PARTNERS INC | CLASS A | 29977A105 | CALL | 100 shares | $5,000 |