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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) |
|---|---|---|---|---|---|
| JOHNSON & JOHNSON | COM | 478160104 | CALL | 900 shares | $96,000 |
| KNIGHT TRANSN INC | COM | 499064103 | — | 3,518 shares | $96,000 |
| LANNET INC | COM | 516012101 | PUT | 2,100 shares | $96,000 |
| LINCOLN NATL CORP IND | COM | 534187109 | PUT | 1,800 shares | $96,000 |
| NEW ENGLAND RLTY ASSOC LTD P | DEPOSITRY RCPT | 644206104 | — | 2,022 shares | $96,000 |
| PDC ENERGY INC | COM | 69327R101 | PUT | 1,900 shares | $96,000 |
| PIMCO ETF TR | 25YR+ ZERO U S | 72201R882 | — | 919 shares | $96,000 |
| RAMBUS INC DEL | COM | 750917106 | PUT | 7,700 shares | $96,000 |
| SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 86562M209 | — | 11,725 shares | $96,000 |
| TEEKAY LNG PARTNERS L P | PRTNRSP UNITS | Y8564M105 | PUT | 2,200 shares | $96,000 |
| TG THERAPEUTICS INC | COM | 88322Q108 | — | 9,000 shares | $96,000 |
| ABRAXAS PETE CORP | COM | 003830106 | — | 17,950 shares | $95,000 |
| AEROPOSTALE | COM | 007865108 | PUT | 28,800 shares | $95,000 |
| CON-WAY INC | COM | 205944101 | CALL | 2,000 shares | $95,000 |
| DEUTSCHE BK AG LONDON BRH | DB 3X LONG UST | 25154N522 | — | 2,138 shares | $95,000 |
| INDEPENDENT BK GROUP INC | COM | 45384B106 | — | 2,003 shares | $95,000 |
| INVACARE CORP | COM | 461203101 | — | 8,059 shares | $95,000 |
| NICE SYS LTD | SPONSORED ADR | 653656108 | — | 2,340 shares | $95,000 |
| PHOENIX NEW MEDIA LTD | SPONSORED ADS | 71910C103 | — | 10,131 shares | $95,000 |
| PIXELWORKS INC | COM NEW | 72581M305 | — | 14,633 shares | $95,000 |
| PUTMAN HIGH INCOME SEC FUND | SHS BEN INT | 746779107 | — | 11,475 shares | $95,000 |
| ADAMS EXPRESS CO | COM | 006212104 | — | 6,743 shares | $94,000 |
| BAXTER INTL INC | COM | 071813109 | — | 1,310 shares | $94,000 |
| BRUNSWICK CORP | COM | 117043109 | — | 2,241 shares | $94,000 |
| DARDEN RESTAURANTS INC | COM | 237194105 | — | 1,826 shares | $94,000 |
| DIGITAL RLTY TR INC | COM | 253868103 | CALL | 1,500 shares | $94,000 |
| DIREXION SHS ETF TR | NAS100 EQL WGT | 25459Y207 | — | 1,580 shares | $94,000 |
| HEALTHEQUITY INC | COM | 42226A107 | — | 5,134 shares | $94,000 |
| NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | — | 4,058 shares | $94,000 |
| NOVARTIS A G | SPONSORED ADR | 66987V109 | PUT | 1,000 shares | $94,000 |
| NUVEEN NY DIVID ADVNTG MUN F | COM | 67066X107 | — | 7,044 shares | $94,000 |
| ONEBEACON INSURANCE GROUP LT | CL A | G67742109 | — | 6,123 shares | $94,000 |
| ROYAL DUTCH SHELL PLC | SPONS ADR A | 780259206 | — | 1,241 shares | $94,000 |
| SCIENTIFIC GAMES CORP | CL A | 80874P109 | CALL | 8,700 shares | $94,000 |
| TRINA SOLAR LIMITED | SPON ADR | 89628E104 | PUT | 7,800 shares | $94,000 |
| WESTMORELAND COAL CO | COM | 960878106 | — | 2,507 shares | $94,000 |
| WILLBROS GROUP INC DEL | COM | 969203108 | — | 11,240 shares | $94,000 |
| ALLIANCE ONE INTL INC | COM | 018772103 | — | 47,015 shares | $93,000 |
| ATMEL CORP | COM | 049513104 | CALL | 11,500 shares | $93,000 |
| BLUE NILE INC | COM | 09578R103 | — | 3,247 shares | $93,000 |
| CERUS CORP | COM | 157085101 | — | 23,192 shares | $93,000 |
| CST BRANDS INC | COM | 12646R105 | CALL | 2,600 shares | $93,000 |
| DEX MEDIA INC NEW | COM | 25213A107 | PUT | 9,700 shares | $93,000 |
| GROUPE CGI INC | CL A SUB VTG | 39945C109 | — | 2,763 shares | $93,000 |
| GUESS INC | COM | 401617105 | — | 4,252 shares | $93,000 |
| ISHARES TR | JAPAN LG-CAP ETF | 464287382 | — | 1,845 shares | $93,000 |
| JD COM INC | SPON ADR CL A | 47215P106 | CALL | 3,600 shares | $93,000 |
| OMEROS CORP | COM | 682143102 | CALL | 7,300 shares | $93,000 |
| PENNANTPARK FLOATING RATE CA | COM | 70806A106 | — | 6,762 shares | $93,000 |
| POWERSHS DB MULTI SECT COMM | DB GOLD FUND | 73936B606 | — | 2,326 shares | $93,000 |
| PROSHARES TR | ULTRA FNCLS NEW | 74347X633 | — | 722 shares | $93,000 |
| RADIAN GROUP INC | COM | 750236101 | PUT | 6,500 shares | $93,000 |
| RUBICON MINERALS CORP | COM | 780911103 | — | 67,674 shares | $93,000 |
| BLACKROCK N J MUN INCOME TR | SH BEN INT | 09248J101 | — | 6,352 shares | $92,000 |
| CENCOSUD S A | SPONSORED ADS | 15132H101 | — | 10,190 shares | $92,000 |
| DIVIDEND & INCOME FUND | COM NEW | 25538A204 | — | 5,546 shares | $92,000 |
| DREAMWORKS ANIMATION SKG INC | CL A | 26153C103 | — | 3,374 shares | $92,000 |
| EAGLE ROCK ENERGY PARTNERS L | UNIT | 26985R104 | PUT | 25,900 shares | $92,000 |
| ELBIT SYS LTD | ORD | M3760D101 | — | 1,482 shares | $92,000 |
| ENDOCYTE INC | COM | 29269A102 | PUT | 15,100 shares | $92,000 |
| FLAHERTY & CRUMRINE PFD INC | COM | 33848E106 | — | 8,500 shares | $92,000 |
| FLOWERS FOODS INC | COM | 343498101 | CALL | 5,000 shares | $92,000 |
| HALLADOR ENERGY COMPANY | COM | 40609P105 | — | 7,806 shares | $92,000 |
| ISHARES | MSCI EMK MAT ETF | 464289198 | — | 6,100 shares | $92,000 |
| ISHARES TR | MSCI USASZEFCT | 46432F370 | — | 1,500 shares | $92,000 |
| LUMBER LIQUIDATORS HLDGS INC | COM | 55003T107 | CALL | 1,600 shares | $92,000 |
| MOVADO GROUP INC | COM | 624580106 | — | 2,797 shares | $92,000 |
| NEWPARK RES INC | COM PAR $.01NEW | 651718504 | — | 7,370 shares | $92,000 |
| PROSHARES TR | PSHS ULT SCAP600 | 74347R818 | — | 951 shares | $92,000 |
| PROSHARES TR II | PROSHS U/SHAUS | 74347W460 | — | 2,010 shares | $92,000 |
| REGAL BELOIT CORP | COM | 758750103 | — | 1,437 shares | $92,000 |
| TANGER FACTORY OUTLET CTRS I | COM | 875465106 | — | 2,798 shares | $92,000 |
| TRIANGLE PETE CORP | COM NEW | 89600B201 | — | 8,367 shares | $92,000 |
| TUESDAY MORNING CORP | COM NEW | 899035505 | — | 4,730 shares | $92,000 |
| AEROPOSTALE | COM | 007865108 | CALL | 27,705 shares | $91,000 |
| BARCLAYS BK PLC | IPTH NAT GAS | 06740P239 | — | 3,245 shares | $91,000 |
| CADENCE DESIGN SYSTEM INC | COM | 127387108 | CALL | 5,300 shares | $91,000 |
| EMERALD OIL INC | COM NEW | 29101U209 | — | 14,799 shares | $91,000 |
| GENESEE & WYO INC | UNIT 10/01/2015 | 371559204 | — | 739 shares | $91,000 |
| GLOBAL X FDS | GLOBX SUPDV US | 37950E291 | — | 3,130 shares | $91,000 |
| HIGHLAND FDS I | HI LD IBOXX SRLN | 430101774 | — | 4,691 shares | $91,000 |
| KAR AUCTION SVCS INC | COM | 48238T109 | — | 3,177 shares | $91,000 |
| LCNB CORP | COM | 50181P100 | — | 6,033 shares | $91,000 |
| MICROSTRATEGY INC | CL A NEW | 594972408 | — | 693 shares | $91,000 |
| PACIFIC ETHANOL INC | COM PAR $.001 | 69423U305 | CALL | 6,500 shares | $91,000 |
| RENTECH NITROGEN PARTNERS L | COM UNIT | 760113100 | CALL | 7,300 shares | $91,000 |
| ROUNDYS INC | COM | 779268101 | — | 30,355 shares | $91,000 |
| ROVI CORP | COM | 779376102 | — | 4,596 shares | $91,000 |
| SKECHERS U S A INC | CL A | 830566105 | PUT | 1,700 shares | $91,000 |
| TASER INTL INC | COM | 87651B104 | CALL | 5,900 shares | $91,000 |
| TEKMIRA PHARMACEUTICALS CORP | COM NEW | 87911B209 | PUT | 4,300 shares | $91,000 |
| TELEFONICA BRASIL SA | SPONSORED ADR | 87936R106 | — | 4,638 shares | $91,000 |
| AGREE REALTY CORP | COM | 008492100 | — | 3,299 shares | $90,000 |
| ALLIANCE RES PARTNER L P | UT LTD PART | 01877R108 | PUT | 2,100 shares | $90,000 |
| CAMPUS CREST CMNTYS INC | COM | 13466Y105 | — | 14,032 shares | $90,000 |
| DUNKIN BRANDS GROUP INC | COM | 265504100 | PUT | 2,000 shares | $90,000 |
| GOLAR LNG LTD BERMUDA | SHS | G9456A100 | — | 1,358 shares | $90,000 |
| GRUBHUB INC | COM | 400110102 | — | 2,630 shares | $90,000 |
| HAWAIIAN ELEC INDUSTRIES | COM | 419870100 | — | 3,391 shares | $90,000 |
| HECLA MNG CO | COM | 422704106 | — | 36,318 shares | $90,000 |