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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) |
|---|---|---|---|---|---|
| MIMEDX GROUP INC | COM | 602496101 | CALL | 500 shares | $4,000 |
| MITCHAM INDS INC | COM | 606501104 | — | 400 shares | $4,000 |
| MONOLITHIC PWR SYS INC | COM | 609839105 | PUT | 100 shares | $4,000 |
| MYRIAD GENETICS INC | COM | 62855J104 | PUT | 100 shares | $4,000 |
| NATIONAL HEALTHCARE CORP | PFD CONV SER A | 635906209 | — | 245 shares | $4,000 |
| NEW GERMANY FD INC | COM | 644465106 | — | 212 shares | $4,000 |
| OHR PHARMACEUTICAL INC | COM NEW | 67778H200 | PUT | 500 shares | $4,000 |
| ONCOGENEX PHARMACEUTICALS IN | COM | 68230A106 | — | 1,506 shares | $4,000 |
| ONCOTHYREON INC | COM | 682324108 | CALL | 2,000 shares | $4,000 |
| ONE HORIZON GROUP INC | COM NEW | 68235H205 | — | 1,431 shares | $4,000 |
| OPEXA THERAPEUTICS INC | COM NEW | 68372T202 | — | 4,122 shares | $4,000 |
| OSHKOSH CORP | COM | 688239201 | CALL | 100 shares | $4,000 |
| OXBRIDGE RE HLDGS LTD | SHS | G6856M106 | — | 661 shares | $4,000 |
| PACIFIC DRILLING SA LUXEMBOU | REG SHS | L7257P106 | CALL | 500 shares | $4,000 |
| PACWEST BANCORP DEL | COM | 695263103 | CALL | 100 shares | $4,000 |
| PERFECT WORLD CO LTD | SPON ADR REP B | 71372U104 | CALL | 200 shares | $4,000 |
| PETMED EXPRESS INC | COM | 716382106 | — | 326 shares | $4,000 |
| PINGTAN MARINE ENTERPRISE LT | SHS | G7114V102 | — | 1,788 shares | $4,000 |
| POLONIA BACORP INC MD | COM | 73158Q109 | — | 374 shares | $4,000 |
| PORTUGAL TELECOM SGPS S A | SPONSORED ADR | 737273102 | CALL | 2,000 shares | $4,000 |
| POST PPTYS INC | COM | 737464107 | — | 71 shares | $4,000 |
| POWERSHARES ETF TR II | S&P500 LOW VOL | 73937B779 | CALL | 100 shares | $4,000 |
| PREFERRED APT CMNTYS INC | COM | 74039L103 | — | 500 shares | $4,000 |
| PRETIUM RES INC | COM | 74139C102 | PUT | 700 shares | $4,000 |
| PRIMERO MNG CORP | COM | 74164W106 | PUT | 800 shares | $4,000 |
| PROLOGIS INC | COM | 74340W103 | PUT | 100 shares | $4,000 |
| PROSHARES TR II | ULTRA GOLD | 74347W601 | — | 100 shares | $4,000 |
| PRUDENTIAL BANCORP INC NEW | COM | 74431A101 | — | 301 shares | $4,000 |
| PRUDENTIAL PLC | ADR | 74435K204 | CALL | 100 shares | $4,000 |
| Q2 HLDGS INC | COM | 74736L109 | — | 300 shares | $4,000 |
| QLT INC | COM | 746927102 | — | 977 shares | $4,000 |
| QUAD / GRAPHICS INC | COM CL A | 747301109 | PUT | 200 shares | $4,000 |
| RAPTOR PHARMACEUTICAL CORP | COM | 75382F106 | PUT | 400 shares | $4,000 |
| REALTY INCOME CORP | COM | 756109104 | PUT | 100 shares | $4,000 |
| RETROPHIN INC | COM | 761299106 | — | 425 shares | $4,000 |
| RHINO RESOURCE PARTNERS LP | COM UNIT REPST | 76218Y103 | — | 350 shares | $4,000 |
| RICEBRAN TECHNOLOGIES | COM NEW | 762831204 | — | 792 shares | $4,000 |
| ROGERS COMMUNICATIONS INC | CL B | 775109200 | PUT | 100 shares | $4,000 |
| ROSETTA GENOMICS LTD | SHS NEW NIS 0.6 | M82183126 | CALL | 1,000 shares | $4,000 |
| ROYAL BANCSHARES PA INC | CL A | 780081105 | — | 2,292 shares | $4,000 |
| RPX CORP | COM | 74972G103 | PUT | 300 shares | $4,000 |
| RPX CORP | COM | 74972G103 | — | 316 shares | $4,000 |
| RUBICON TECHNOLOGY INC | COM | 78112T107 | CALL | 1,000 shares | $4,000 |
| RUTHIGEN INC | COM | 783330103 | — | 844 shares | $4,000 |
| SEMLER SCIENTIFIC INC | COM | 81684M104 | — | 1,547 shares | $4,000 |
| SERVICE CORP INTL | COM | 817565104 | CALL | 200 shares | $4,000 |
| SERVICESOURCE INTL LLC | COM | 81763U100 | — | 1,089 shares | $4,000 |
| SHOE CARNIVAL INC | COM | 824889109 | — | 218 shares | $4,000 |
| SINOCOKING COAL & COKE CH IN | COM | 829357102 | — | 1,000 shares | $4,000 |
| SIZMEK INC | COM | 83013P105 | — | 466 shares | $4,000 |
| SKYWEST INC | COM | 830879102 | PUT | 500 shares | $4,000 |
| SOLAZYME INC | COM | 83415T101 | CALL | 500 shares | $4,000 |
| SONOCO PRODS CO | COM | 835495102 | CALL | 100 shares | $4,000 |
| SONOCO PRODS CO | COM | 835495102 | PUT | 100 shares | $4,000 |
| SOTHEBYS | COM | 835898107 | CALL | 100 shares | $4,000 |
| SOUTHERN FIRST BANCSHARES IN | COM | 842873101 | — | 271 shares | $4,000 |
| SPARTANNASH CO | COM | 847215100 | CALL | 200 shares | $4,000 |
| SPDR INDEX SHS FDS | EUROPE ETF | 78463X608 | — | 100 shares | $4,000 |
| SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | CALL | 100 shares | $4,000 |
| SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 | PUT | 500 shares | $4,000 |
| STAGE STORES INC | COM NEW | 85254C305 | — | 259 shares | $4,000 |
| STAR BULK CARRIERS CORP | SHS NEW | Y8162K121 | CALL | 400 shares | $4,000 |
| STEINER LEISURE LTD | ORD | P8744Y102 | CALL | 100 shares | $4,000 |
| STEREOTAXIS INC | COM NEW | 85916J409 | — | 1,656 shares | $4,000 |
| STMICROELECTRONICS N V | NY REGISTRY | 861012102 | PUT | 500 shares | $4,000 |
| STONEGATE BK FT LAUDERDALE F | COM | 861811107 | — | 163 shares | $4,000 |
| SUNSHINE BANCORP INC | COM | 86777J108 | — | 346 shares | $4,000 |
| SUPERCONDUCTOR TECHNOLOGIES | COM PAR $0.001 | 867931404 | — | 1,502 shares | $4,000 |
| SUPERNUS PHARMACEUTICALS INC | COM | 868459108 | PUT | 500 shares | $4,000 |
| SYNERGY PHARMACEUTICALS DEL | UNIT 12/06/20166 | 871639209 | — | 600 shares | $4,000 |
| SYNTHESIS ENERGY SYS INC | COM | 871628103 | CALL | 3,900 shares | $4,000 |
| TANZANIAN ROYALTY EXPL CORP | COM | 87600U104 | PUT | 2,000 shares | $4,000 |
| TAOMEE HLDGS LTD | SPONSORED ADR | 87600Y106 | — | 978 shares | $4,000 |
| TASMAN METALS LTD | COM | 87652B103 | — | 5,600 shares | $4,000 |
| TAT TECHNOLOGIES LTD | ORD NEW | M8740S227 | — | 570 shares | $4,000 |
| TERRAPIN 3 ACQUISITION CORP | UNIT 06/27/2019 | 88104P203 | — | 350 shares | $4,000 |
| TIANYIN PHARMACEUTICAL CO IN | COM | 88630M104 | — | 5,690 shares | $4,000 |
| TIGER MEDIA INC | SHS | G88685105 | — | 6,598 shares | $4,000 |
| TILE SHOP HLDGS INC | COM | 88677Q109 | PUT | 400 shares | $4,000 |
| TRIO TECH INTL | COM NEW | 896712205 | — | 950 shares | $4,000 |
| TRIVASCULAR TECHNOLOGIES INC | COM | 89685A102 | — | 298 shares | $4,000 |
| UBS AG LONDON BRH | ETRACS 2XLEV | 90270L792 | — | 134 shares | $4,000 |
| UNITED STS BRENT OIL FD LP | UNIT | 91167Q100 | CALL | 100 shares | $4,000 |
| UROPLASTY INC | COM NEW | 917277204 | — | 1,439 shares | $4,000 |
| U S ENERGY CORP WYO | COM | 911805109 | CALL | 1,200 shares | $4,000 |
| U S GEOTHERMAL INC | COM | 90338S102 | — | 6,470 shares | $4,000 |
| VALERO ENERGY PARTNERS LP | COM UNT REP LP | 91914J102 | CALL | 100 shares | $4,000 |
| VECTRUS INC | COM | 92242T101 | — | 198 shares | $4,000 |
| VIRNETX HLDG CORP | COM | 92823T108 | PUT | 600 shares | $4,000 |
| VIRTUSA CORP | COM | 92827P102 | — | 100 shares | $4,000 |
| VIVUS INC | COM | 928551100 | CALL | 1,000 shares | $4,000 |
| VOYA PRIME RATE TR | SH BEN INT | 92913A100 | — | 679 shares | $4,000 |
| VRINGO INC | COM | 92911N104 | — | 4,450 shares | $4,000 |
| WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | — | 3,000 principal | $4,000 |
| WAFERGEN BIO-SYSTEMS INC | COM PAR$ | 93041P308 | — | 1,005 shares | $4,000 |
| WAVE SYSTEMS CORP | CL A PAR $0.01 | 943526400 | — | 3,401 shares | $4,000 |
| WELLS FARGO & CO NEW | *W EXP 10/28/201 | 949746119 | — | 200 shares | $4,000 |
| WESTERN ASSET VAR RT STRG FD | COM | 957667108 | — | 240 shares | $4,000 |
| WEYCO GROUP INC | COM | 962149100 | — | 159 shares | $4,000 |
| WHITESTONE REIT | COM | 966084204 | — | 313 shares | $4,000 |