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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
7701 DENBURY RES INC 100 0 0.00% Put
7702 TOWERSTREAM CORP 100 0 0.00%
7703 ProShares TR 20 0 0.00%
7704 FIVE STAR QUALITY CARE INC COM 102 0 0.00%
7705 MAST THERAPEUTICS 400 0 0.00%
7706 KOPIN CORP 51 0 0.00%
7707 INFOSONICS CORP 42 0 0.00%
7708 PHASERX INC 180 0 0.00%
7709 ANDINA ACQUISITION CORP II 700 0 0.00%
7710 CELADON GROUP INC 35 0 0.00%
7711 HONGLI CLEAN ENERGY TECHNOLO 500 0 0.00%
7712 FORRESTER RESH INC COM 9 0 0.00%
7713 NEONODE INC 47 0 0.00%
7714 INVESTAR HLDG CORP 9 0 0.00%
7715 SYPRIS SOLUTIONS INC COM 200 0 0.00%
7716 TANDEM DIABETES CARE INC 59 0 0.00%
7717 CHINA HGS REAL ESTATE INC 65 0 0.00%
7718 VISTA GOLD CORP 145 0 0.00%
7719 GILAT SATELLITE NETWORKS LTD 12 0 0.00%
7720 ARCA BIOPHARMA INCORPORATED COM PAR .001 27 0 0.00%
7721 ISHARES U S ETF TR 6 0 0.00%
7722 LUNA INNOVATIONS 221 0 0.00%
7723 ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917 123 0 0.00%
7724 ANDINA ACQUISITION CORP II 1,150 0 0.00%
7725 ONCOCYTE CORP 85 0 0.00%
7726 BENITEC BIOPHARMA LTD 350 0 0.00%
7727 ADVISORSHARES TR 1 0 0.00%
7728 FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF 13 0 0.00%
7729 FLEXIBLE SOLUTIONS INTL INC 202 0 0.00%
7730 ELECTRUM SPL ACQUISITION CORP 697 0 0.00%
7731 SYNERGY PHARMACEUTICALS DEL 152 0 0.00%
7732 POWERSHARES DEVELOPED 9 0 0.00%
7733 SEARS HOMETOWN & OUTLET STOR 72 0 0.00%
7734 PZENA INVESTMENT MGMT INC CLASS A 24 0 0.00%
7735 GALECTIN THERAPEUTICS INC 2,912 0 0.00%
7736 LEADING BRANDS INC COM NEW 260 0 0.00%
7737 MORGAN STANLEY 31 0 0.00%
7738 DELCATH SYS INC 5 0 0.00%
7739 KLR ENERGY ACQUISITION CORP 15 0 0.00%
7740 BANRO CORP 800 0 0.00%
7741 ISHARES TR 4 0 0.00%
7742 UNIVERSAL TECHNICAL INST INC 69 0 0.00%
7743 AVEO PHARMACEUTICALS INC 415 0 0.00%
7744 MEDOVEX CORP 820 0 0.00%
7745 BENITEC BIOPHARMA LTD 300 0 0.00%
7746 LUMOS NETWORKS CORP 20 0 0.00%
7747 IMATION CORP 53 0 0.00%
Page 155 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.