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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) |
|---|---|---|---|---|---|
| HUNTINGTON BANCSHARES INC | COM | 446150104 | CALL | 9,300 shares | $90,000 |
| INDIA FD INC | COM | 454089103 | — | 3,324 shares | $90,000 |
| INFOBLOX INC | COM | 45672H104 | PUT | 6,100 shares | $90,000 |
| MAXIMUS INC | COM | 577933104 | — | 2,251 shares | $90,000 |
| MONSTER WORLDWIDE INC | COM | 611742107 | — | 16,347 shares | $90,000 |
| OCH ZIFF CAP MGMT GROUP | CL A | 67551U105 | CALL | 8,400 shares | $90,000 |
| PENGROWTH ENERGY CORP | COM | 70706P104 | CALL | 17,400 shares | $90,000 |
| POWER INTEGRATIONS INC | COM | 739276103 | — | 1,672 shares | $90,000 |
| SPIRIT AIRLS INC | COM | 848577102 | PUT | 1,300 shares | $90,000 |
| TEXTRON INC | COM | 883203101 | CALL | 2,500 shares | $90,000 |
| THOR INDS INC | COM | 885160101 | — | 1,742 shares | $90,000 |
| TREDEGAR CORP | COM | 894650100 | — | 4,911 shares | $90,000 |
| TRICO BANCSHARES | COM | 896095106 | — | 3,967 shares | $90,000 |
| VANGUARD SCOTTSDALE FDS | LONG-TERM GOV | 92206C847 | — | 1,248 shares | $90,000 |
| VIASYSTEMS GROUP INC | COM PAR$.01 | 92553H803 | — | 5,729 shares | $90,000 |
| WINTHROP RLTY TR | SH BEN INT NEW | 976391300 | — | 5,975 shares | $90,000 |
| ZIONS BANCORPORATION | COM | 989701107 | PUT | 3,100 shares | $90,000 |
| BOSTON PRIVATE FINL HLDGS IN | COM | 101119105 | — | 7,187 shares | $89,000 |
| CAL MAINE FOODS INC | COM NEW | 128030202 | PUT | 1,000 shares | $89,000 |
| DIREXION SHS ETF TR | DLY JR GL MNR 3X | 25459Y611 | CALL | 7,500 shares | $89,000 |
| DIREXION SHS ETF TR | DLY R/E BULL3X | 25459W755 | — | 1,653 shares | $89,000 |
| DIREXION SHS ETF TR | DLY SMCAP BULL3X | 25459W847 | CALL | 1,400 shares | $89,000 |
| FIESTA RESTAURANT GROUP INC | COM | 31660B101 | CALL | 1,800 shares | $89,000 |
| GENERAL GROWTH PPTYS INC NEW | COM | 370023103 | PUT | 3,800 shares | $89,000 |
| HONDA MOTOR LTD | AMERN SHS | 438128308 | CALL | 2,600 shares | $89,000 |
| KANDI TECHNOLOGIES GROUP INC | COM | 483709101 | — | 6,856 shares | $89,000 |
| LAWSON PRODS INC | COM | 520776105 | — | 4,000 shares | $89,000 |
| MILLER INDS INC TENN | COM NEW | 600551204 | — | 5,250 shares | $89,000 |
| NUVEEN NEW YORK MUN VALUE FD | COM | 670706100 | — | 6,187 shares | $89,000 |
| NUVEEN PFD & INCOME TERM FD | COM | 67075A106 | — | 3,882 shares | $89,000 |
| OWENS RLTY MTG INC | COM | 690828108 | — | 6,255 shares | $89,000 |
| PIMCO ETF TR | SHTRM MUN BOND | 72201R874 | — | 1,765 shares | $89,000 |
| RARE ELEMENT RES LTD | COM | 75381M102 | — | 136,930 shares | $89,000 |
| WISDOMTREE TR | CHINADIV EX FI | 97717X719 | — | 1,702 shares | $89,000 |
| ALPS ETF TR | ALERIAN MLP | 00162Q866 | PUT | 4,600 shares | $88,000 |
| CREDIT SUISSE GROUP | SPONSORED ADR | 225401108 | CALL | 3,200 shares | $88,000 |
| CRESTWOOD MIDSTREAM PARTNERS | UNIT LTD PARTNER | 226378107 | CALL | 3,900 shares | $88,000 |
| CROCS INC | COM | 227046109 | CALL | 7,000 shares | $88,000 |
| DIREXION SHS ETF TR | DLY EMRGMKT BULL | 25459Y686 | — | 3,290 shares | $88,000 |
| DIREXION SHS ETF TR | GLD MNRS BEAR 3X | 25459W235 | CALL | 3,100 shares | $88,000 |
| FORTRESS INVESTMENT GROUP LL | CL A | 34958B106 | CALL | 12,800 shares | $88,000 |
| GATX CORP | COM | 361448103 | PUT | 1,500 shares | $88,000 |
| GLOBALSTAR INC | COM | 378973408 | — | 23,911 shares | $88,000 |
| GRACO INC | COM | 384109104 | CALL | 1,200 shares | $88,000 |
| ISHARES TR | IRELAND CAPD ETF | 46429B507 | — | 2,541 shares | $88,000 |
| LOUISIANA PAC CORP | COM | 546347105 | CALL | 6,500 shares | $88,000 |
| MARKET VECTORS ETF TR | MTG REIT ETF | 57060U324 | — | 3,700 shares | $88,000 |
| POST PPTYS INC | COM | 737464107 | — | 1,717 shares | $88,000 |
| POZEN INC | COM | 73941U102 | — | 12,000 shares | $88,000 |
| RENT A CTR INC NEW | COM | 76009N100 | — | 2,912 shares | $88,000 |
| RUTHS HOSPITALITY GROUP INC | COM | 783332109 | — | 8,000 shares | $88,000 |
| SILVERCORP METALS INC | COM | 82835P103 | — | 55,363 shares | $88,000 |
| SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | — | 9,987 shares | $88,000 |
| WD-40 CO | COM | 929236107 | PUT | 1,300 shares | $88,000 |
| ALPINE GLOBAL DYNAMIC DIVD F | COM NEW | 02082E205 | — | 8,784 shares | $87,000 |
| BANK AMER CORP | *W EXP 10/28/201 | 060505153 | — | 90,125 shares | $87,000 |
| BAYTEX ENERGY CORP | COM | 07317Q105 | CALL | 2,300 shares | $87,000 |
| CEMPRA INC | COM | 15130J109 | PUT | 7,900 shares | $87,000 |
| EXAMWORKS GROUP INC | COM | 30066A105 | — | 2,670 shares | $87,000 |
| GLOBAL X FDS | GLB X NXT EMRG | 37950E218 | — | 3,364 shares | $87,000 |
| GLOBE SPECIALTY METALS INC | COM | 37954N206 | — | 4,805 shares | $87,000 |
| ISHARES | AGGRES ALLOC ETF | 464289859 | — | 1,908 shares | $87,000 |
| MERRIMACK PHARMACEUTICALS IN | COM | 590328100 | CALL | 9,900 shares | $87,000 |
| MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADR | 606822104 | — | 15,532 shares | $87,000 |
| NETGEAR INC | COM | 64111Q104 | — | 2,787 shares | $87,000 |
| RIVERBED TECHNOLOGY INC | COM | 768573107 | CALL | 4,700 shares | $87,000 |
| SASOL LTD | SPONSORED ADR | 803866300 | — | 1,601 shares | $87,000 |
| ULTIMATE SOFTWARE GROUP INC | COM | 90385D107 | — | 615 shares | $87,000 |
| WILLIAMS SONOMA INC | COM | 969904101 | CALL | 1,300 shares | $87,000 |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | PUT | 1,100 shares | $86,000 |
| ALTERA CORP | COM | 021441100 | PUT | 2,400 shares | $86,000 |
| BANK N S HALIFAX | COM | 064149107 | — | 1,390 shares | $86,000 |
| BLDRS INDEX FDS TR | EUR 100 ADR | 09348R409 | — | 3,527 shares | $86,000 |
| CHILDRENS PL INC | COM | 168905107 | CALL | 1,800 shares | $86,000 |
| CLOROX CO DEL | COM | 189054109 | PUT | 900 shares | $86,000 |
| CLOROX CO DEL | COM | 189054109 | PUT | 900 shares | $86,000 |
| CREDIT SUISSE NASSAU BRH | VS 3XINV CRUDE | 22542D548 | — | 2,831 shares | $86,000 |
| CUBIST PHARMACEUTICALS INC | COM | 229678107 | PUT | 1,300 shares | $86,000 |
| DELPHI AUTOMOTIVE PLC | SHS | G27823106 | CALL | 1,400 shares | $86,000 |
| DIREXION SHS ETF TR | DLY JR GL MNR 3X | 25459Y611 | PUT | 7,300 shares | $86,000 |
| EL PASO ENERGY CAP TR I | PFD CV TR SECS | 283678209 | — | 1,510 shares | $86,000 |
| ETFS WHITE METALS BASKET TR | PHY WM BSK SHS | 26923B104 | — | 2,435 shares | $86,000 |
| GASLOG LTD | SHS | G37585109 | PUT | 3,900 shares | $86,000 |
| LIFELOCK INC | COM | 53224V100 | — | 6,012 shares | $86,000 |
| MONOLITHIC PWR SYS INC | COM | 609839105 | — | 1,949 shares | $86,000 |
| MORGAN STANLEY TRUSTS | INCOME SECS INC | 61745P874 | — | 4,835 shares | $86,000 |
| NATIONAL GRID PLC | SPON ADR NEW | 636274300 | PUT | 1,200 shares | $86,000 |
| NAVIOS MARITIME HOLDINGS INC | COM | Y62196103 | CALL | 14,300 shares | $86,000 |
| NAVIOS MARITIME PARTNERS L P | UNIT LPI | Y62267102 | CALL | 4,800 shares | $86,000 |
| NOAH HLDGS LTD | SPONSORED ADS | 65487X102 | — | 6,374 shares | $86,000 |
| POWERSECURE INTL INC | COM | 73936N105 | CALL | 9,000 shares | $86,000 |
| PROSHARES TR | HD REPLICATION | 74347X294 | — | 2,050 shares | $86,000 |
| RYANAIR HLDGS PLC | SPONSORED ADR | 783513104 | — | 1,532 shares | $86,000 |
| SM ENERGY CO | COM | 78454L100 | PUT | 1,100 shares | $86,000 |
| TEVA PHARMACEUTICAL FIN LLC | DBCV 0.250% 2/0 | 88163VAE9 | — | 67,000 principal | $86,000 |
| TIDEWATER INC | COM | 886423102 | — | 2,198 shares | $86,000 |
| TURKCELL ILETISIM HIZMETLERI | SPON ADR NEW | 900111204 | — | 6,562 shares | $86,000 |
| WEIBO CORP | SPONSORED ADR | 948596101 | CALL | 4,600 shares | $86,000 |
| WESTMORELAND COAL CO | COM | 960878106 | CALL | 2,300 shares | $86,000 |
| ADVANCED ENERGY INDS | COM | 007973100 | CALL | 4,500 shares | $85,000 |