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Institutional Investment Manager
UBS AG
UBS AG (CIK: 0001114446), registered under National Commercial Banks, located at Bahnhofstrasse 45, Zurich, V8. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q2)
Portfolio Summary: 10,453 holdings with a total value of $127,753,358,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 CELSION CORPORATION COM PAR 100 0 0.00% Call
2 XG TECHNOLOGY INC 200 0 0.00%
3 VENAXIS INC 24 0 0.00%
4 AOL INC 6 0 0.00%
5 U S ENERGY CORP WYO 100 0 0.00% Put
6 PROSHARES TR 10 0 0.00%
7 SUNLINK HEALTH SYS INC COM 171 0 0.00%
8 DELCATH SYS INC COM NEW 75 0 0.00%
9 NCI INC 12 0 0.00%
10 METHES ENERGIES INTL LTD 1,200 0 0.00%
11 HUDSON GLOBAL INC 50 0 0.00%
12 COLONIAL FINL SVCS INC 25 0 0.00%
13 BORDERFREE INC COM 13 0 0.00%
14 URANIUM RES INC 100 0 0.00%
15 CYCLACEL PHARMACEUTICALS INC 34 0 0.00%
16 MAXCOM TELECOMUNICACIONES SA 100 0 0.00%
17 China Ceramics Co. Ltd. 21,633 0 0.00%
18 Smith Micro Software 300 0 0.00% Call
19 COLLABRIUM JAPAN ACQUISITN C 1,761 0 0.00%
20 MICRONET ENERTEC TECH INC 557 0 0.00%
21 CESCA THERAPEUTICS INC 350 0 0.00%
22 PERMA-FIX ENVIRONMENTAL SVCS 48 0 0.00%
23 AMERICAN SPECTRUM REALTY INC COM 321 0 0.00%
24 EMERSON RADIO CORP NEW 3/94 267 0 0.00%
25 NET ELEMENT INC COM 200 0 0.00%
26 MIDWAY GOLD CORP 1 0 0.00%
27 ROI ACQUISITION CORP II 300 0 0.00%
28 AQUASITION CORP 10 0 0.00%
29 SOLITARIO EXPL & RTY CORP COM 116 0 0.00%
30 TWIN DISC INC 8 0 0.00%
31 RIVER VY BANCORP 8 0 0.00%
32 BTU INTERNATIONAL INC 52 0 0.00%
33 GLOBALSCAPE INC 200 0 0.00%
34 CRESUD SA COMERCIAL 5,491 0 0.00%
35 Cosi Inc. 125 0 0.00%
36 Principled Equity Market Fund 438 0 0.00%
37 NORDION INC 9 0 0.00%
38 READING INTERNATIONAL INC 1 0 0.00%
39 Progenics Pharmaceuticals Inc 100 0 0.00% Put
40 TIGERLOGIC CORP 310 0 0.00%
41 DEUTSCHE X-TRACKERS MSCI GERMANY HEDGED EQUITY ETF 3 0 0.00%
42 CRUMBS BAKE SHOP INC 600 0 0.00%
43 INDIA GLOBALIZATION CAP CW11 EXP 3/6/15 2,167 0 0.00%
44 BERKSHIRE HATHAWAY INC DEL 227 0 0.00%
45 SPORT CHALET INC CLASS B 17 0 0.00%
46 NEW YORK & CO 100 0 0.00% Call
47 Gevo Inc 500 0 0.00% Call
48 FIELDPOINT PETROLEUM CORP WT EXP 032318 239 0 0.00%
49 AVIAT NETWORKS INC COM 201 0 0.00%
50 RLJ ENTMT INC 1 0 0.00%
Page 1 of 210

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000950123-14-008944, filed 2014.08.14).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.