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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 (2016Q3)
Portfolio Summary: 7,747 holdings with a total value of $167,743,111,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 PERRY ELLIS INTL INC 19 0 0.00%
2 INFOSONICS CORP 42 0 0.00%
3 PACIFIC SPECIAL ACQUISITION 100 0 0.00%
4 ABEONA THERAPEUTICS INC 1 0 0.00%
5 IPATH PURE BETA COPPER ETN 1 0 0.00%
6 PZENA INVESTMENT MGMT INC CLASS A 24 0 0.00%
7 LEADING BRANDS INC COM NEW 260 0 0.00%
8 CHINA HGS REAL ESTATE INC 65 0 0.00%
9 ADVISORSHARES TR 3 0 0.00%
10 POWERSHARES DEVELOPED 9 0 0.00%
11 KLR ENERGY ACQUISITION CORP 15 0 0.00%
12 ISHARES TR 4 0 0.00%
13 WISDOMTREE TR 12 0 0.00%
14 HUDBAY MINERALS INC 1,292 0 0.00%
15 JANUS DETROIT STR TR 2 0 0.00%
16 QLT INC 5 0 0.00%
17 CYTRX CORP 394 0 0.00%
18 INVESTAR HLDG CORP 9 0 0.00%
19 BURCON NUTRASCIENCE CORP 85 0 0.00%
20 NEONODE INC 47 0 0.00%
21 HONGLI CLEAN ENERGY TECHNOLO 500 0 0.00%
22 NET ELEMENT INC 30 0 0.00%
23 URANIUM RES INC 8 0 0.00%
24 BARCLAYS BK PLC 4 0 0.00%
25 ONCOCYTE CORP 85 0 0.00%
26 WRIGHT MED GROUP N V 100 0 0.00%
27 TOWERSTREAM CORP COM NEW 100 0 0.00%
28 DYNEGY INCORPORATED NEW DEL WARRANT EXP 100217 1,645 0 0.00%
29 CHEMOCENTRYX INC 22 0 0.00%
30 ADVISORSHARES TR 1 0 0.00%
31 KOPIN CORP 51 0 0.00%
32 BARINGTON HILCO ACQUISITION 300 0 0.00%
33 VICOR CORP COM 16 0 0.00%
34 GLOBUS MARITIME LIMITED NEW 528 0 0.00%
35 GULF ISLAND FABRICATION INC 12 0 0.00%
36 ARCA BIOPHARMA INCORPORATED COM PAR .001 27 0 0.00%
37 EASTMAN KODAK CO 14 0 0.00%
38 ProShares TR 20 0 0.00%
39 PYXIS TANKERS INC 16 0 0.00%
40 SYNERGY PHARMACEUTICALS DEL 152 0 0.00%
41 Capnia, Inc. 253 0 0.00%
42 CELGENE CORP 458 0 0.00%
43 OLYMPIC STEEL INC 8 0 0.00%
44 XO GROUP INC 21 0 0.00%
45 DS HEALTHCARE GROUP INC 14,452 0 0.00%
46 MIDSOUTH BANCORP INC COM 37 0 0.00%
47 IMATION CORP 53 0 0.00%
48 ADVISORSHARES TR 27 0 0.00%
49 JENSYN ACQUISITION CORP 2 0 0.00%
50 DELTA TECHNOLOGY HLDGS LTD 700 0 0.00%
Page 1 of 155

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000950123-16-022420, filed 2016.11.14).

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.