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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 (2016Q4)
Portfolio Summary: 7,828 holdings with a total value of $181,087,055,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 CELLECTAR BIOSCIENCES INC 40 0 0.00%
2 ABEONA THERAPEUTICS INC 1 0 0.00%
3 INTELLIGENT SYS CORP NEW 82 0 0.00%
4 DIREXION SHS ETF TR 20 0 0.00%
5 FORM HLDGS CORP COM 422 0 0.00%
6 CRYOPORT INC 400 0 0.00%
7 WisdomTree Middle East Dividend ETF 24 0 0.00%
8 ALBIREO PHARMA INC 1 0 0.00%
9 NEUROMETRIX INC 154 0 0.00%
10 AVIAT NETWORKS INCORPORATED COM NEW 4 0 0.00%
11 Centrus Energy Corp. 15 0 0.00%
12 CNOVA ORD 63 0 0.00%
13 DYNEGY INCORPORATED NEW DEL WARRANT EXP 100217 1,916 0 0.00%
14 ONCOBIOLOGICS INC - WARRANT A 1,110 0 0.00%
15 ETFS TR 5 0 0.00%
16 RESONANT INC 94 0 0.00%
17 NEONODE INC 47 0 0.00%
18 GUARANTY FED BANCSHARES INC 13 0 0.00%
19 LIANLUO SMART LTD 68 0 0.00%
20 HARMONY MERGER CORP 154 0 0.00%
21 VALLEY NATL BANCORP 1,200 0 0.00%
22 PROTALIX BIOTHERAPEUTICS INC 500 0 0.00%
23 PACIFIC DRILLING SA LUXEMBOU 53 0 0.00%
24 LUNA INNOVATIONS 455 0 0.00%
25 FIELDPOINT PETROLEUM CORP WT EXP 032318 2,507 0 0.00%
26 DELTA TECHNOLOGY HLDGS LTD 700 0 0.00%
27 DARIOHEALTH CORP 200 0 0.00%
28 CEL SCI CORP 9,483 0 0.00%
29 STEALTHGAS INC SHS 142 0 0.00%
30 CHAMPIONS ONCOLOGY INC 97 0 0.00%
31 REPROS THERAPEUTICS INC 150 0 0.00%
32 OPTIMUMBANK HOLDINGS INC 19 0 0.00%
33 MAGICJACK VOCALTEC LTD 2 0 0.00%
34 ADVISORSHARES QAM EQUITY HEDGE ETF 1 0 0.00%
35 RICEBRAN TECHNOLOGIES 100 0 0.00%
36 CHINA SOUTHN AIRLS LT 8 0 0.00%
37 COMMUNITY HEALTH SYS INC NEW 126,340 0 0.00%
38 OXBRIDGE RE HLDGS LTD 5 0 0.00%
39 GALMED PHARMACEUTICALS LTD 3 0 0.00%
40 GP INVTS ACQUISITION COR 626 0 0.00%
41 PAVMED INC 30 0 0.00%
42 PACIFIC SPL ACQUISITION CORP 457 0 0.00%
43 MOTIF BIO PLC 180 0 0.00%
44 Mirna Therapeutics, Inc. 88 0 0.00%
45 BANRO CORP 800 0 0.00%
46 DELCATH SYS INC 46 0 0.00%
47 SPHERE 3D CORP NEW 757 0 0.00%
48 CELLECTAR BIOSCIENCES INC 180 0 0.00%
49 GRANA Y MONTERO S A A 10 0 0.00%
50 DBX ETF TR 6 0 0.00%
Page 1 of 157

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000950123-17-002293, filed 2017.02.14).

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.