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Institutional Investment Manager
UBS Group AG
UBS Group AG (CIK: 0001610520), registered under National Commercial Banks, located at Bahnhofstrasse 45, Zurich, V8. Institutional holdings reported to the SEC.

Institutional Holdings (2015Q3)
Portfolio Summary: 8,481 holdings with a total value of $141,241,616,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 CHINA HOUSING & LAND DEV INC 129 0 0.00%
52 ParkerVision Inc. (PRKR) 1,500 0 0.00% Call
53 NUVEEN MUN INCOME FD INC 21 0 0.00%
54 KU6 MEDIA CO LTD 150 0 0.00%
55 REMARK MEDIA INC 74 0 0.00%
56 PERSEON EQUITY WARRANTS 1,000 0 0.00%
57 CAMBRIDGE CAP ACQUISITION CO 220 0 0.00%
58 CELLADON CORP 78 0 0.00%
59 METHES ENERGIES INTL LTD 4,304 0 0.00%
60 O'SHARES FTSE ASIA PACIFIC QUALITY DIVIDEND ETF 2 0 0.00%
61 CHINA TECHFAITH WIRELESS S ADR 540 0 0.00%
62 GAIAM INC 30 0 0.00%
63 GULFMARK OFFSHORE INC 55 0 0.00%
64 ABERDEEN SINGAPORE FD INC COM 6 0 0.00%
65 PENN WEST PETE LTD NEW 800 0 0.00% Put
66 ParkerVision Inc. (PRKR) 100 0 0.00% Put
67 OPOWER INC 9 0 0.00%
68 ARMCO METALS HLDGS INC 400 0 0.00%
69 CESCA THERAPEUTICS INC 100 0 0.00%
70 CHINA NEW BORUN CORP ADR 600 0 0.00%
71 AMPLIPHI BIOSCIENCES CORP 28 0 0.00%
72 ALON BLUE SQUARE ISRAEL LTD 209 0 0.00%
73 MEDOVEX CORP 1,852 0 0.00%
74 Mechel Open Joint Stock Co. AD 100 0 0.00% Call
75 THOMPSON CREEK METALS CO COM 1,100 0 0.00% Call
76 TROVAGENE INC 240 0 0.00%
77 VRINGO INC 500 0 0.00% Put
78 ETF SER SOLUTIONS 18 0 0.00%
79 EASTMAN KODAK CO 126 0 0.00%
80 WL ROSS HOLDING CORP 17 0 0.00%
81 VISIONCHINA MEDIA INC SPON ADR NEW 60 0 0.00%
82 EASTMAN KODAK CO 136 0 0.00%
83 MICRONET ENERTEC TECH INC COM 70 0 0.00%
84 TURTLE BEACH CORP COM 79 0 0.00%
85 MGC DIAGNOSTICS CORP 40 0 0.00%
86 UNITED STATES LIME & MINERAL 10 0 0.00%
87 BIODEL INC 373 0 0.00%
88 COMPANHIA SIDERURGICA NACION 100 0 0.00% Call
89 GABELLI CONV&INCOM SECS FD I 74 0 0.00%
90 COLONY BANKCORP INC 28 0 0.00%
91 METHES ENERGIES INTL LTD 11,200 0 0.00%
92 LEAPFROG ENTERPRISES INC 200 0 0.00% Call
93 DIANA CONTAINERSHIPS INC 148 0 0.00%
94 PDI INC 210 0 0.00%
95 AVIAT NETWORKS INC COM 84 0 0.00%
96 Anadigics Inc 400 0 0.00%
97 NET ELEMENT INC COM 200 0 0.00%
98 INDIA GLOBALIZATION CAP CW11 EXP 3/6/15 2,167 0 0.00%
99 QC Holdings, Inc. 255 0 0.00%
100 MATTERSIGHT CORP COM 53 0 0.00%
Page 2 of 170

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000950123-15-011853, filed 2015.11.13).

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.