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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
7651 THESTREET INC 15 0 0.00%
7652 GULF ISLAND FABRICATION INC 12 0 0.00%
7653 APPLIED DNA SCIENCES INC 318 0 0.00%
7654 VIVINT SOLAR INC 100 0 0.00%
7655 BARINGTON HILCO ACQUISITION 300 0 0.00%
7656 ANDINA ACQUISITION CORP II 1,150 0 0.00%
7657 QLT INC 5 0 0.00%
7658 DYNEGY INCORPORATED NEW DEL WARRANT EXP 100217 1,645 0 0.00%
7659 BARINGTON HILCO ACQUISITION 1,400 0 0.00%
7660 FORBES ENERGY SERVICES LTD 2,000 0 0.00%
7661 LUNA INNOVATIONS 221 0 0.00%
7662 ARCA BIOPHARMA INCORPORATED COM PAR .001 27 0 0.00%
7663 FORRESTER RESH INC COM 9 0 0.00%
7664 ANDINA ACQUISITION CORP II 700 0 0.00%
7665 NET ELEMENT INC 30 0 0.00%
7666 FIVE STAR SENIOR LIVING INC 102 0 0.00%
7667 HANWHA Q CELL CO LTD 19 0 0.00%
7668 PERRY ELLIS INTL INC 19 0 0.00%
7669 JASON INDS INC 7,593 0 0.00%
7670 XO GROUP INC 21 0 0.00%
7671 NORTEL INVERSOVA SA SPONS ADR REP PFD SER B 11 0 0.00%
7672 CSOP ETF TR 5 0 0.00%
7673 EASTMAN KODAK CO 14 0 0.00%
7674 RECON TECHNOLOGY LTD 13 0 0.00%
7675 IMATION CORP 53 0 0.00%
7676 ADVISORSHARES TR 27 0 0.00%
7677 GALECTIN THERAPEUTICS INC 2,912 0 0.00%
7678 MARRONE BIO INNOVATIONS INC 200 0 0.00%
7679 BURCON NUTRASCIENCE CORP 85 0 0.00%
7680 CELGENE CORP 458 0 0.00%
7681 VICOR CORP COM 16 0 0.00%
7682 STEIN MART INC 44 0 0.00%
7683 ISHARES INTEREST RATE HEDGED EMERGING MARKETS BOND ETF 6 0 0.00%
7684 CHINA HGS REAL ESTATE INC 65 0 0.00%
7685 MORGAN STANLEY 31 0 0.00%
7686 XG TECHNOLOGY INC 611 0 0.00%
7687 JOINT CORP COM 139 0 0.00%
7688 HONGLI CLEAN ENERGY TECHNOLO 500 0 0.00%
7689 BARCLAYS BK PLC 3 0 0.00%
7690 ADVISORSHARES TR 3 0 0.00%
7691 PHASERX INC 180 0 0.00%
7692 CELADON GROUP INC 35 0 0.00%
7693 ESCALON MEDICAL CORP 706 0 0.00%
7694 TANDEM DIABETES CARE INC COM 59 0 0.00%
7695 BANRO CORP 800 0 0.00%
7696 POWERSHARES DEVELOPED 9 0 0.00%
7697 INFOSONICS CORP 42 0 0.00%
7698 CHEMOCENTRYX INC 22 0 0.00%
7699 PACIFIC DRILLING SA LUXEMBOU 53 0 0.00%
7700 PACIFIC SPECIAL ACQUISITION 100 0 0.00%
Page 154 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.