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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) |
|---|---|---|---|---|---|
| MICRON TECHNOLOGY INC | COM | 595112103 | — | 61,840 shares | $2,119,000 |
| PIEDMONT NAT GAS INC | COM | 720186105 | — | 63,193 shares | $2,119,000 |
| XL GROUP PLC | SHS | G98290102 | — | 63,847 shares | $2,118,000 |
| QR ENERGY LP | UNIT LTD PRTNS | 74734R108 | PUT | 108,900 shares | $2,115,000 |
| CLAYMORE EXCHANGE TRD FD TR | GUGG CRP BD 2014 | 18383M571 | — | 100,290 shares | $2,114,000 |
| GREEN DOT CORP | CL A | 39304D102 | — | 99,990 shares | $2,114,000 |
| TRONOX LTD | SHS CL A | Q9235V101 | — | 81,161 shares | $2,114,000 |
| NGP CAP RES CO | COM | 62912R107 | — | 341,540 shares | $2,111,000 |
| NUVEEN DIVID ADVANTAGE MUN I | COM | 67071L106 | — | 149,614 shares | $2,111,000 |
| RYDEX ETF TRUST | GUG S&P500EQWTFI | 78355W858 | — | 50,791 shares | $2,109,000 |
| FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 33739E108 | — | 111,651 shares | $2,106,000 |
| SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | CALL | 71,000 shares | $2,101,000 |
| ARCHER DANIELS MIDLAND CO | COM | 039483102 | — | 41,100 shares | $2,100,000 |
| DISH NETWORK CORP | CL A | 25470M109 | PUT | 32,500 shares | $2,099,000 |
| DOMINION RES INC VA NEW | COM | 25746U109 | — | 30,347 shares | $2,097,000 |
| MARKET VECTORS ETF TR | MKTVEC LMUNETF | 57060U886 | — | 107,339 shares | $2,097,000 |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | — | 147,294 shares | $2,096,000 |
| CBOE HLDGS INC | COM | 12503M108 | — | 39,160 shares | $2,096,000 |
| NEUBERGER BERMAN CA INT MUN | COM | 64123C101 | — | 137,487 shares | $2,095,000 |
| PERKINELMER INC | COM | 714046109 | — | 48,049 shares | $2,095,000 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | PUT | 103,800 shares | $2,095,000 |
| PIMCO ETF TR | ENHAN SHRT MAT | 72201R833 | — | 20,658 shares | $2,094,000 |
| OILTANKING PARTNERS L P | UNIT LTD | 678049107 | — | 42,204 shares | $2,093,000 |
| SALLY BEAUTY HLDGS INC | COM | 79546E104 | — | 76,462 shares | $2,093,000 |
| CUMMINS INC | COM | 231021106 | — | 15,850 shares | $2,092,000 |
| DISCOVER FINL SVCS | COM | 254709108 | — | 32,495 shares | $2,092,000 |
| FIRSTENERGY CORP | COM | 337932107 | — | 62,324 shares | $2,092,000 |
| THOMSON REUTERS CORP | COM | 884903105 | — | 57,444 shares | $2,092,000 |
| AMETEK INC NEW | COM | 031100100 | — | 41,620 shares | $2,090,000 |
| SPDR SERIES TRUST | S&P SEMICNDCTR | 78464A862 | — | 28,461 shares | $2,089,000 |
| VALMONT INDS INC | COM | 920253101 | — | 15,457 shares | $2,086,000 |
| BP PLC | SPONSORED ADR | 055622104 | — | 47,440 shares | $2,085,000 |
| HERBALIFE LTD | COM USD SHS | G4412G101 | — | 47,668 shares | $2,085,000 |
| CEDAR FAIR L P | DEPOSITRY UNIT | 150185106 | — | 44,063 shares | $2,083,000 |
| D R HORTON INC | COM | 23331A109 | — | 101,494 shares | $2,083,000 |
| PROLOGIS INC | COM | 74340W103 | — | 55,249 shares | $2,083,000 |
| OCEANEERING INTL INC | COM | 675232102 | — | 31,940 shares | $2,082,000 |
| ISHARES TR | 2018 CP TM ETF | 46432FAW7 | — | 20,233 shares | $2,081,000 |
| HILL ROM HLDGS INC | COM | 431475102 | — | 50,199 shares | $2,080,000 |
| PHOENIX COS INC NEW | COM NEW | 71902E604 | — | 37,061 shares | $2,078,000 |
| ITT CORP NEW | COM NEW | 450911201 | — | 46,210 shares | $2,077,000 |
| WADDELL & REED FINL INC | CL A | 930059100 | — | 40,178 shares | $2,077,000 |
| LAZARD WORLD DIVID & INCOME | COM | 521076109 | — | 144,960 shares | $2,076,000 |
| PLAINS GP HLDGS L P | SHS A REP LTPN | 72651A108 | — | 67,742 shares | $2,076,000 |
| TEKMIRA PHARMACEUTICALS CORP | COM NEW | 87911B209 | — | 98,159 shares | $2,075,000 |
| AKORN INC | COM | 009728106 | — | 57,176 shares | $2,074,000 |
| FLAHERTY & CRUMRINE DYN PFD | SHS | 33848W106 | — | 91,724 shares | $2,072,000 |
| GREEN PLAINS INC | COM | 393222104 | — | 55,376 shares | $2,071,000 |
| KERYX BIOPHARMACEUTICALS INC | COM | 492515101 | — | 150,630 shares | $2,071,000 |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | — | 26,500 shares | $2,070,000 |
| BALLY TECHNOLOGIES INC | COM | 05874B107 | PUT | 25,600 shares | $2,066,000 |
| TRANSCANADA CORP | COM | 89353D107 | — | 40,102 shares | $2,066,000 |
| MONDELEZ INTL INC | CL A | 609207105 | PUT | 60,200 shares | $2,063,000 |
| COMPASS DIVERSIFIED HOLDINGS | SH BEN INT | 20451Q104 | — | 117,746 shares | $2,062,000 |
| NATIONAL OILWELL VARCO INC | COM | 637071101 | — | 27,082 shares | $2,061,000 |
| MANULIFE FINL CORP | COM | 56501R106 | — | 107,000 shares | $2,060,000 |
| HONEYWELL INTL INC | COM | 438516106 | PUT | 22,100 shares | $2,058,000 |
| WELLPOINT INC | COM | 94973V107 | — | 17,196 shares | $2,057,000 |
| DIREXION SHS ETF TR | DLY SMCAP BULL3X | 25459W847 | PUT | 32,400 shares | $2,054,000 |
| MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | — | 152,293 shares | $2,053,000 |
| NORFOLK SOUTHERN CORP | COM | 655844108 | — | 18,400 shares | $2,053,000 |
| BLACKROCK MUNI INCOME TR II | COM | 09249N101 | — | 142,504 shares | $2,048,000 |
| TRAVELERS COMPANIES INC | COM | 89417E109 | CALL | 21,800 shares | $2,048,000 |
| VANGUARD ADMIRAL FDS INC | SMLLCP 600 IDX | 921932828 | — | 21,631 shares | $2,048,000 |
| TOWER INTL INC | COM | 891826109 | — | 81,281 shares | $2,047,000 |
| EMBRAER S A | SP ADR REP 4 COM | 29082A107 | — | 52,155 shares | $2,046,000 |
| TRIMBLE NAVIGATION LTD | COM | 896239100 | — | 67,084 shares | $2,046,000 |
| TRAVELERS COMPANIES INC | COM | 89417E109 | — | 21,757 shares | $2,044,000 |
| VALLEY NATL BANCORP | COM | 919794107 | — | 210,686 shares | $2,042,000 |
| CLIFFS NAT RES INC | COM | 18683K101 | CALL | 196,600 shares | $2,041,000 |
| SCHWAB CHARLES CORP NEW | COM | 808513105 | — | 69,400 shares | $2,040,000 |
| AMTRUST FINL SVCS INC | COM | 032359309 | — | 51,157 shares | $2,037,000 |
| MARATHON PETE CORP | COM | 56585A102 | — | 24,012 shares | $2,033,000 |
| BLACKSTONE GSO FLTING RTE FU | COM | 09256U105 | — | 118,344 shares | $2,032,000 |
| EATON VANCE TX MNG BY WRT OP | COM | 27828Y108 | — | 137,047 shares | $2,032,000 |
| CDN IMPERIAL BK COMM TORONTO | COM | 136069101 | — | 22,600 shares | $2,031,000 |
| CBL & ASSOC PPTYS INC | COM | 124830100 | — | 113,430 shares | $2,030,000 |
| LKQ CORP | COM | 501889208 | — | 76,300 shares | $2,029,000 |
| II VI INC | COM | 902104108 | — | 172,243 shares | $2,027,000 |
| CHEMED CORP NEW | COM | 16359R103 | — | 19,690 shares | $2,026,000 |
| MICROSOFT CORP | COM | 594918104 | PUT | 43,700 shares | $2,026,000 |
| VISHAY INTERTECHNOLOGY INC | COM | 928298108 | — | 141,802 shares | $2,026,000 |
| COMMSCOPE HLDG CO INC | COM | 20337X109 | — | 84,577 shares | $2,022,000 |
| AERCAP HOLDINGS NV | SHS | N00985106 | CALL | 49,400 shares | $2,020,000 |
| TREEHOUSE FOODS INC | COM | 89469A104 | — | 25,092 shares | $2,020,000 |
| SANDRIDGE ENERGY INC | COM | 80007P307 | — | 469,790 shares | $2,015,000 |
| DOLLAR TREE INC | COM | 256746108 | — | 35,917 shares | $2,014,000 |
| ADOBE SYS INC | COM | 00724F101 | — | 29,100 shares | $2,013,000 |
| VANGUARD BD INDEX FD INC | LONG TERM BOND | 921937793 | — | 22,315 shares | $2,013,000 |
| BANKUNITED INC | COM | 06652K103 | CALL | 66,000 shares | $2,012,000 |
| MACROGENICS INC | COM | 556099109 | — | 96,264 shares | $2,012,000 |
| NETEASE INC | SPONSORED ADR | 64110W102 | — | 23,454 shares | $2,009,000 |
| WHITEWAVE FOODS CO | COM | 966244105 | — | 55,268 shares | $2,008,000 |
| ISHARES TR | MSCI PHILIPS ETF | 46429B408 | — | 52,705 shares | $2,006,000 |
| VECTREN CORP | COM | 92240G101 | — | 50,269 shares | $2,006,000 |
| AMERICAN STS WTR CO | COM | 029899101 | — | 65,915 shares | $2,005,000 |
| WABCO HLDGS INC | COM | 92927K102 | — | 22,049 shares | $2,005,000 |
| KING DIGITAL ENTMT PLC | ORD SHS | G5258J109 | PUT | 157,700 shares | $2,003,000 |
| SERVICENOW INC | COM | 81762P102 | — | 34,055 shares | $2,002,000 |
| KNOWLES CORP | COM | 49926D109 | — | 75,448 shares | $1,999,000 |