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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 (2016Q2)
Portfolio Summary: 7,801 holdings with a total value of $159,204,042,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 OPEXA THERAPEUTICS INC 404 0 0.00%
102 TEL INSTR ELECTRS CORP 84 0 0.00%
103 Nivalis Therapeutics Inc 9 0 0.00%
104 SOLITARIO EXPL & RTY CORP COM 344 0 0.00%
105 AVIAT NETWORKS INCORPORATED COM NEW 4 0 0.00%
106 PERION NETWORK LTD 1:3 R/S 8/27/18 M78673114 270 0 0.00%
107 CPI CARD GROUP INC 100 0 0.00% Call
108 INDEXIQ ETF TR 1 0 0.00%
109 VIVINT SOLAR INC 100 0 0.00%
110 MEDOVEX CORP 775 0 0.00%
111 INSPIREMD INC 1,275 0 0.00%
112 CSOP ETF TR 5 0 0.00%
113 KOSS CORP 153 0 0.00%
114 DELCATH SYS INC COM NEW 144 0 0.00%
115 EATON VANCE PA MUN BD FD 17 0 0.00%
116 WRIGHT MED GROUP N V 100 0 0.00%
117 GORES HOLDINGS INC-CW20 100 0 0.00%
118 VOYA INTL HIGH DIV EQTY INM 1 0 0.00%
119 HUDBAY MINERALS INC 593 0 0.00%
120 EHEALTH INC COM 20 0 0.00%
121 APPLIANCE RECYCLING CTRS AME 39 0 0.00%
122 STONE ENERGY CORP 1,000 0 0.00% PRN
123 SEARS HOMETOWN & OUTLET STOR 72 0 0.00%
124 DSP GROUP INC 28 0 0.00%
125 GLOBUS MARITIME LIMITED NEW 96 0 0.00%
126 WHEELER REAL ESTATE INVT TR 12,298 1,000 0.00%
127 CREDIT SUISSE NASSAU BRH 60 1,000 0.00%
128 OCEAN BIO CHEM INC 300 1,000 0.00%
129 HYDRA INDS ACQUISITION CORP 8,300 1,000 0.00%
130 SENSUS HEATLHCARE INC 234 1,000 0.00%
131 SEMICONDUCTOR MFG INTL CORP 312 1,000 0.00%
132 BIOMARIN PHARMACEUTICAL INC SR SB CONV NT 20 1,000 1,000 0.00% PRN
133 MOUNTAIN PROV DIAMONDS INC 282 1,000 0.00%
134 Cordia Bancorp Inc 142 1,000 0.00%
135 RIGHTSIDE GROUP LTD 58 1,000 0.00%
136 VANECK VECTORS ETF TR 38 1,000 0.00%
137 FALCONSTOR SOFTWARE INC 1,000 1,000 0.00%
138 DYNASIL CORP AMER 533 1,000 0.00%
139 DEUTSCHE BK AG LONDON BRH 227 1,000 0.00%
140 CGG 795 1,000 0.00%
141 CHINA NATURAL RESOURCES INC 956 1,000 0.00%
142 ProFire Energy 1,043 1,000 0.00%
143 PROSHARES TR 27 1,000 0.00%
144 ACORN INTL INC 225 1,000 0.00%
145 ACNB CORP 58 1,000 0.00%
146 BALLANTYNE STRONG INC 250 1,000 0.00%
147 PETROBRAS ARGENTINA S A 162 1,000 0.00%
148 CONNECTURE INC 458 1,000 0.00%
149 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 1,000 1,000 0.00% PRN
150 HUDSON GLOBAL INC 572 1,000 0.00%
Page 3 of 157

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000950123-16-019736, filed 2016.08.12).

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.