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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) |
|---|---|---|---|---|---|
| STERLITE INDS INDIA LTD | NOTE 4.000%10/3 | 859737AB4 | — | 1,000 principal | $1,000 |
| STEWART INFORMATION SVCS COR | COM | 860372101 | — | 20 shares | $1,000 |
| STONE HBR EMERG MKTS TL INC | COM | 86164W100 | — | 47 shares | $1,000 |
| STUDENT TRANSN INC | COM | 86388A108 | — | 231 shares | $1,000 |
| SUCAMPO PHARMACEUTICALS INC | CL A | 864909106 | — | 100 shares | $1,000 |
| SUTOR TECH GROUP LTD | COM | 869362103 | — | 2,000 shares | $1,000 |
| SYNERGY PHARMACEUTICALS DEL | *W EXP 12/06/201 | 871639118 | — | 1,709 shares | $1,000 |
| SYNUTRA INTL INC | COM | 87164C102 | — | 229 shares | $1,000 |
| SYPRIS SOLUTIONS INC | COM | 871655106 | — | 270 shares | $1,000 |
| SYSTEMAX INC | COM | 871851101 | CALL | 100 shares | $1,000 |
| TETRALOGIC PHARMACEUTICALS C | COM | 88165U109 | — | 156 shares | $1,000 |
| TILLYS INC | CL A | 886885102 | — | 88 shares | $1,000 |
| TORCHLIGHT ENERGY RES INC | COM | 89102U103 | — | 211 shares | $1,000 |
| TRANSCEPT PHARMACEUTICALS IN | COM | 89354M106 | — | 610 shares | $1,000 |
| TROVAGENE INC | UNIT 12/31/2017 | 897238200 | — | 100 shares | $1,000 |
| TSR INC | COM NEW | 872885207 | — | 206 shares | $1,000 |
| UNITED STATES ANTIMONY CORP | COM | 911549103 | CALL | 500 shares | $1,000 |
| UNIVERSAL AMERN CORP NEW | COM | 91338E101 | — | 100 shares | $1,000 |
| URANIUM RES INC | COM PAR$0.001NEW | 916901606 | PUT | 200 shares | $1,000 |
| URANIUM RES INC | COM PAR$0.001NEW | 916901606 | — | 200 shares | $1,000 |
| U S ENERGY CORP WYO | COM | 911805109 | PUT | 400 shares | $1,000 |
| VALLEY NATL BANCORP | *W EXP 06/30/201 | 919794123 | — | 10,534 shares | $1,000 |
| VESTIN REALTY MORTGAGE I INC | COM | 925490104 | — | 805 shares | $1,000 |
| VILLAGE BK & TR FINANCIAL CO | COM NEW | 92705T200 | — | 37 shares | $1,000 |
| VIMPELCOM LTD | SPONSORED ADR | 92719A106 | PUT | 100 shares | $1,000 |
| VISHAY PRECISION GROUP INC | COM | 92835K103 | — | 39 shares | $1,000 |
| VISTA GOLD CORP | COM NEW | 927926303 | — | 2,145 shares | $1,000 |
| VONAGE HLDGS CORP | COM | 92886T201 | CALL | 400 shares | $1,000 |
| VRINGO INC | *W EXP 06/21/201 | 92911N112 | — | 11,500 shares | $1,000 |
| WASHINGTON FED INC | *W EXP 11/14/201 | 938824117 | — | 140 shares | $1,000 |
| WAUSAU PAPER CORP | COM | 943315101 | — | 165 shares | $1,000 |
| WAUSAU PAPER CORP | COM | 943315101 | — | 179 shares | $1,000 |
| WCI CMNTYS INC | COM PAR $0.01 | 92923C807 | — | 29 shares | $1,000 |
| WEBSTER FINL CORP CONN | *W EXP 11/21/201 | 947890117 | — | 50 shares | $1,000 |
| WHEELER REAL ESTATE INVT TR | COM | 963025101 | — | 189 shares | $1,000 |
| WHITING USA TR I | TR UNIT | 966389108 | — | 200 shares | $1,000 |
| WILLAMETTE VY VINEYARD INC | COM | 969136100 | — | 100 shares | $1,000 |
| WISDOMTREE TR | AUST NEW ZEAL DB | 97717W216 | — | 55 shares | $1,000 |
| WISDOMTREE TR | JAP HD HLTH CR | 97717X503 | — | 24 shares | $1,000 |
| XENITH BANKSHARES INC | COM | 98410X105 | — | 138 shares | $1,000 |
| XENOPORT INC | COM | 98411C100 | CALL | 200 shares | $1,000 |
| ZION OIL & GAS INC | COM | 989696109 | CALL | 500 shares | $1,000 |
| ZUOAN FASHION LTD | SPONSORED ADR | 98982X103 | — | 1,105 shares | $1,000 |
| 1347 CAP CORP | RIGHT 07/21/2016 | 68245V111 | — | 300 shares | $0 |
| AASTROM BIOSCIENCES INC | COM PAR$ | 00253U404 | — | 7 shares | $0 |
| AEGEAN MARINE PETROLEUM NETW | SHS | Y0017S102 | — | 32 shares | $0 |
| AMERICAN RIVER BANKSHARES | COM | 029326105 | — | 26 shares | $0 |
| AMERICAN SPECTRUM REALTY INC | COM NEW | 02970Q203 | — | 321 shares | $0 |
| ANI PHARMACEUTICALS INC | COM | 00182C103 | — | 5 shares | $0 |
| AQUASITION CORP | COM | Y0192H103 | — | 10 shares | $0 |
| ARCA BIOPHARMA INC | COM NEW | 00211Y209 | — | 191 shares | $0 |
| ATLANTIC PWR CORP | COM NEW | 04878Q863 | PUT | 200 shares | $0 |
| ATOSSA GENETICS INC | COM | 04962H100 | — | 100 shares | $0 |
| ATOSSA GENETICS INC | COM | 04962H100 | — | 114 shares | $0 |
| AURINIA PHARMACEUTICALS INC | COM | 05156V102 | — | 40 shares | $0 |
| AVALON HLDGS CORP | CL A | 05343P109 | — | 83 shares | $0 |
| AVALON RARE METALS INC | COM | 053470100 | CALL | 800 shares | $0 |
| AVIAT NETWORKS INC | COM | 05366Y102 | — | 207 shares | $0 |
| BANCO SANTANDER SA | ADR | 05964H105 | — | 7 shares | $0 |
| BANRO CORP | COM | 066800103 | — | 800 shares | $0 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | — | 4 shares | $0 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | — | 42 shares | $0 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | — | 208 shares | $0 |
| BIRKS GROUP INC | CL A COM | 09088U109 | — | 250 shares | $0 |
| BLUELINX HLDGS INC | COM | 09624H109 | — | 122 shares | $0 |
| BTU INTL INC | COM | 056032105 | — | 52 shares | $0 |
| CAN-FITE BIOPHARMA LTD | SPONSORED ADR | 13471N102 | — | 20 shares | $0 |
| CENTRAIS ELETRICAS BRASILEIR | SPONSORED ADR | 15234Q207 | — | 14 shares | $0 |
| CENTRAL GARDEN & PET CO | COM | 153527106 | — | 36 shares | $0 |
| CESCA THERAPEUTICS INC | COM | 157131103 | — | 350 shares | $0 |
| CHARLES & COLVARD LTD | COM | 159765106 | — | 161 shares | $0 |
| CHINA ADVANCED CONSTR MATLS | COM NEW | 169365202 | — | 83 shares | $0 |
| CHINA HOUSING & LAND DEV INC | COM | 16939V103 | — | 295 shares | $0 |
| CHINA METRO-RURAL HLDGS LTD | SHS | G3163G104 | — | 39 shares | $0 |
| CITIZENS INC | CL A | 174740100 | — | 53 shares | $0 |
| CLEAR CHANNEL OUTDOOR HLDGS | CL A | 18451C109 | — | 41 shares | $0 |
| COFFEE HLDGS INC | COM | 192176105 | — | 60 shares | $0 |
| COLLABRIUM JAPAN ACQUISITN C | UNIT 99/99/9999 | G2266G128 | — | 5 shares | $0 |
| COLLABRIUM JAPAN ACQUISITN C | *W EXP 04/01/201 | G2266G110 | — | 1,661 shares | $0 |
| COLONIAL FINL SVCS INC | COM | 19566B101 | — | 25 shares | $0 |
| COMMUNITYONE BANCORP | COM | 20416Q108 | — | 1 shares | $0 |
| CUBIST PHARMACEUTICALS INC | RIGHT 99/99/9999 | 229678123 | — | 1,315 shares | $0 |
| CURIS INC | COM | 231269101 | PUT | 200 shares | $0 |
| DELCATH SYS INC | COM NEW | 24661P401 | — | 75 shares | $0 |
| DELCATH SYS INC | COM NEW | 24661P401 | CALL | 200 shares | $0 |
| DIGITAL PWR CORP | COM | 253862106 | — | 196 shares | $0 |
| DORAL FINL CORP | COM PAR 0.01 | 25811P852 | — | 3 shares | $0 |
| DRDGOLD LIMITED | SPON ADR REPSTG | 26152H301 | — | 19 shares | $0 |
| EAGLE BANCORP INC MD | COM | 268948106 | — | 1 shares | $0 |
| ECHO THERAPEUTICS INC | COM NEW | 27876L206 | — | 335 shares | $0 |
| EDAP TMS S A | SPONSORED ADR | 268311107 | PUT | 200 shares | $0 |
| EGAIN CORP | COM NEW | 28225C806 | — | 3 shares | $0 |
| ELBIT IMAGING LTD | SHS NEW | M37605116 | — | 3 shares | $0 |
| ELLIS PERRY INTL INC | COM | 288853104 | — | 1 shares | $0 |
| ENDEAVOUR INTL CORP | COM NEW | 29259G200 | PUT | 1,000 shares | $0 |
| ENDEAVOUR INTL CORP | COM NEW | 29259G200 | — | 1,626 shares | $0 |
| ENDURANCE INTL GROUP HLDGS I | COM | 29272B105 | — | 8 shares | $0 |
| EPIRUS BIOPHARMACEUTICALS IN | COM | 29428P107 | — | 8 shares | $0 |
| ESSEX RENT CORP | COM | 297187106 | — | 100 shares | $0 |
| EUROSEAS LTD | COM NEW | Y23592200 | — | 185 shares | $0 |