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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) |
|---|---|---|---|---|---|
| CALLIDUS SOFTWARE INC | COM | 13123E500 | — | 366 shares | $4,000 |
| CARNIVAL PLC | ADR | 14365C103 | CALL | 100 shares | $4,000 |
| CASI PHARMACEUTICALS INC | COM | 14757U109 | — | 2,054 shares | $4,000 |
| C D I CORP | COM | 125071100 | — | 296 shares | $4,000 |
| CELGENE CORP | RIGHT 12/31/2030 | 151020112 | — | 1,290 shares | $4,000 |
| CEMPRA INC | COM | 15130J109 | CALL | 400 shares | $4,000 |
| CEVA INC | COM | 157210105 | CALL | 300 shares | $4,000 |
| CGG | SPONSORED ADR | 12531Q105 | — | 401 shares | $4,000 |
| CHANTICLEER HLDGS INC | COM PAR $.0001 N | 15930P404 | — | 2,000 shares | $4,000 |
| CHENIERE ENERGY PTNRS LP HLD | COM REP LLC IN | 16411W108 | — | 175 shares | $4,000 |
| CHESAPEAKE GRANITE WASH TR | COM SH BEN INT | 165185109 | PUT | 400 shares | $4,000 |
| CHINACACHE INTL HLDG LTD | SPON ADR | 16950M107 | PUT | 300 shares | $4,000 |
| CHINA CERAMICS CO LTD | SHS | G2113X100 | — | 4,407 shares | $4,000 |
| CHINA LODGING GROUP LTD | SPONSORED ADR | 16949N109 | — | 145 shares | $4,000 |
| COEUR MNG INC | *W EXP 04/16/201 | 192108116 | — | 6,068 shares | $4,000 |
| COLLABRX INC | COM | 19422J108 | — | 3,443 shares | $4,000 |
| COMPX INTERNATIONAL INC | CL A | 20563P101 | — | 418 shares | $4,000 |
| CONCURRENT COMPUTER CORP NEW | COM PAR $.01 | 206710402 | PUT | 500 shares | $4,000 |
| CONTROLADORA VUELA CIA DE AV | SPON ADR RP 10 | 21240E105 | — | 502 shares | $4,000 |
| CORNERSTONE STRATEGIC VALUE | COM NEW | 21924B203 | — | 667 shares | $4,000 |
| COSAN LTD | SHS A | G25343107 | CALL | 400 shares | $4,000 |
| COUPONS COM INC | COM | 22265J102 | PUT | 300 shares | $4,000 |
| COVANTA HLDG CORP | COM | 22282E102 | PUT | 200 shares | $4,000 |
| CRESUD SA COMERCIAL | *W EXP 05/22/201 | P3311R192 | — | 142,564 shares | $4,000 |
| CSG SYS INTL INC | COM | 126349109 | — | 162 shares | $4,000 |
| CUMULUS MEDIA INC | CL A | 231082108 | CALL | 1,000 shares | $4,000 |
| DANA HLDG CORP | COM | 235825205 | PUT | 200 shares | $4,000 |
| DATALINK CORP | COM | 237934104 | CALL | 400 shares | $4,000 |
| DAWSON GEOPHYSICAL CO | COM | 239359102 | CALL | 200 shares | $4,000 |
| DENDREON CORP | COM | 24823Q107 | — | 2,913 shares | $4,000 |
| DESCARTES SYS GROUP INC | COM | 249906108 | — | 291 shares | $4,000 |
| DEUTSCHE BK AG LDN BRH | PS CMDT DS ETN | 25154H483 | — | 96 shares | $4,000 |
| DEXCOM INC | COM | 252131107 | PUT | 100 shares | $4,000 |
| DIANA CONTAINERSHIPS INC | COM | Y2069P101 | — | 1,630 shares | $4,000 |
| DICE HLDGS INC | COM | 253017107 | CALL | 500 shares | $4,000 |
| DIREXION SHS ETF TR | DLY JR GMNR BEAR | 25459Y561 | PUT | 200 shares | $4,000 |
| DOCUMENT SEC SYS INC | COM | 25614T101 | — | 4,797 shares | $4,000 |
| DONALDSON INC | COM | 257651109 | PUT | 100 shares | $4,000 |
| DYNAVAX TECHNOLOGIES CORP | COM | 268158102 | CALL | 2,900 shares | $4,000 |
| EMAGIN CORP | COM NEW | 29076N206 | — | 1,551 shares | $4,000 |
| EMBRAER S A | SP ADR REP 4 COM | 29082A107 | PUT | 100 shares | $4,000 |
| ENSERVCO CORP | COM | 29358Y102 | — | 1,124 shares | $4,000 |
| ENSERVCO CORP | COM | 29358Y102 | — | 1,200 shares | $4,000 |
| ESSA BANCORP INC | COM | 29667D104 | — | 310 shares | $4,000 |
| ESSA BANCORP INC | COM | 29667D104 | — | 394 shares | $4,000 |
| FIDELITY SOUTHERN CORP NEW | COM | 316394105 | — | 304 shares | $4,000 |
| FIRST FINANCIAL NORTHWEST IN | COM | 32022K102 | — | 433 shares | $4,000 |
| FRIEDMAN INDS INC | COM | 358435105 | — | 465 shares | $4,000 |
| GENCORP INC | COM | 368682100 | — | 235 shares | $4,000 |
| GEO GROUP INC NEW | COM | 36162J106 | CALL | 100 shares | $4,000 |
| GERON CORP | COM | 374163103 | CALL | 1,800 shares | $4,000 |
| GLOBEIMMUNE INC | COM | 37957B100 | — | 551 shares | $4,000 |
| GOLDEN STAR RES LTD CDA | COM | 38119T104 | CALL | 10,000 shares | $4,000 |
| GRIFOLS S A | SP ADR REP B NVT | 398438408 | PUT | 100 shares | $4,000 |
| GULF RESOURCES INC | COM PAR $0.0005 | 40251W309 | CALL | 2,500 shares | $4,000 |
| HANGER INC | COM NEW | 41043F208 | PUT | 200 shares | $4,000 |
| HARDINGE INC | COM | 412324303 | — | 398 shares | $4,000 |
| HARVARD BIOSCIENCE INC | COM | 416906105 | — | 950 shares | $4,000 |
| HAWAIIAN TELCOM HOLDCO INC | COM | 420031106 | — | 174 shares | $4,000 |
| HEALTHEQUITY INC | COM | 42226A107 | — | 200 shares | $4,000 |
| HELIX ENERGY SOLUTIONS GRP I | COM | 42330P107 | PUT | 200 shares | $4,000 |
| HOST HOTELS & RESORTS INC | COM | 44107P104 | CALL | 200 shares | $4,000 |
| HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | — | 200 shares | $4,000 |
| HUDSON VALLEY HOLDING CORP | COM | 444172100 | — | 228 shares | $4,000 |
| HUGOTON RTY TR TEX | UNIT BEN INT | 444717102 | PUT | 500 shares | $4,000 |
| HYPERDYNAMICS CORP | COM NEW | 448954206 | — | 2,018 shares | $4,000 |
| IMAGE SENSING SYS INC | COM | 45244C104 | — | 1,182 shares | $4,000 |
| INTELLICHECK MOBILISA INC | COM NEW | 45817G201 | — | 1,044 shares | $4,000 |
| INTERACTIVE BROKERS GROUP IN | COM | 45841N107 | — | 162 shares | $4,000 |
| INTERACTIVE INTELLIGENCE GRO | COM | 45841V109 | PUT | 100 shares | $4,000 |
| INTL FCSTONE INC | COM | 46116V105 | — | 247 shares | $4,000 |
| INVESCO LTD | SHS | G491BT108 | CALL | 100 shares | $4,000 |
| IRIDIUM COMMUNICATIONS INC | COM | 46269C102 | PUT | 500 shares | $4,000 |
| ISHARES TR | EX JAP MIN VOL | 46434V746 | — | 75 shares | $4,000 |
| ISHARES TR | JAPAN MIN VOL | 46434V712 | — | 73 shares | $4,000 |
| ISHARES TR | MSCI UTD KNGDM | 46434V548 | PUT | 200 shares | $4,000 |
| ISHARES TR | YLD OPTIM BD | 46434V787 | — | 141 shares | $4,000 |
| ISORAY INC | COM | 46489V104 | — | 2,500 shares | $4,000 |
| IXYS CORP | COM | 46600W106 | — | 341 shares | $4,000 |
| IXYS CORP | COM | 46600W106 | CALL | 400 shares | $4,000 |
| JPMORGAN CHASE & CO | *W EXP 10/28/201 | 46634E114 | — | 200 shares | $4,000 |
| KADANT INC | COM | 48282T104 | CALL | 100 shares | $4,000 |
| KEMET CORP | COM NEW | 488360207 | CALL | 1,000 shares | $4,000 |
| KINGOLD JEWELRY INC | COM NEW | 49579A204 | — | 3,264 shares | $4,000 |
| KONA GRILL INC | COM | 50047H201 | — | 197 shares | $4,000 |
| LAKE SHORE GOLD CORP | COM | 510728108 | — | 3,690 shares | $4,000 |
| LANDEC CORP | COM | 514766104 | CALL | 300 shares | $4,000 |
| LA QUINTA HLDGS INC | COM | 50420D108 | — | 200 shares | $4,000 |
| LA QUINTA HLDGS INC | COM | 50420D108 | — | 225 shares | $4,000 |
| LIFEVANTAGE CORP | COM | 53222K106 | — | 3,581 shares | $4,000 |
| LIGHTBRIDGE CORP | COM | 53224K104 | — | 1,701 shares | $4,000 |
| LSB INDS INC | COM | 502160104 | PUT | 100 shares | $4,000 |
| LYON WILLIAM HOMES | CL A NEW | 552074700 | CALL | 200 shares | $4,000 |
| MANAGED HIGH YIELD PLUS FD I | COM | 561911108 | — | 2,141 shares | $4,000 |
| MARRONE BIO INNOVATIONS INC | COM | 57165B106 | — | 1,400 shares | $4,000 |
| MEDIDATA SOLUTIONS INC | COM | 58471A105 | PUT | 100 shares | $4,000 |
| MERCER INTL INC | COM | 588056101 | PUT | 400 shares | $4,000 |
| MERGE HEALTHCARE INC | COM | 589499102 | — | 2,000 shares | $4,000 |
| MERIDIAN BIOSCIENCE INC | COM | 589584101 | PUT | 200 shares | $4,000 |
| MGM RESORTS INTERNATIONAL | NOTE 4.250% 4/1 | 55303QAE0 | — | 3,000 principal | $4,000 |