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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
7801 INTELLIGENT SYS CORP NEW 82 0 0.00%
7802 CONIFER HLDGS INCORPORATED 6 0 0.00%
7803 GUARANTY FED BANCSHARES INC 13 0 0.00%
7804 NEUROMETRIX INC 154 0 0.00%
7805 ADVISORSHARES QAM EQUITY HEDGE ETF 1 0 0.00%
7806 CARVER BANCORP INC 26 0 0.00%
7807 VISTA GOLD CORP 145 0 0.00%
7808 TROVAGENE INC 17 0 0.00%
7809 BANRO CORP 800 0 0.00%
7810 ATOSSA GENETICS INC COM NEW 6 0 0.00%
7811 OPTICAL CABLE CORP COM NEW 100 0 0.00%
7812 NovaBay Pharmaceuticals Inc 80 0 0.00%
7813 OPTIMUMBANK HOLDINGS INC 19 0 0.00%
7814 CHINA SOUTHN AIRLS LT 8 0 0.00%
7815 ABEONA THERAPEUTICS INC 1 0 0.00%
7816 CEL SCI CORP 9,483 0 0.00%
7817 CHINA DIGITAL TV HLDG CO LTD SPONSORED ADR 408 0 0.00%
7818 STRATA SKIN SCIENCES INC 847 0 0.00%
7819 PACIFIC SPL ACQUISITION CORP 457 0 0.00%
7820 ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917 813 0 0.00%
7821 WISDOMTREE TR 4 0 0.00%
7822 PRGX GLOBAL INC 30 0 0.00%
7823 CELLECTAR BIOSCIENCES INC 180 0 0.00%
7824 LM FDG AMER INC 50 0 0.00%
7825 DELTA TECHNOLOGY HLDGS LTD 700 0 0.00%
7826 CONYERS PK ACQUISITION 100 0 0.00%
7827 ISHARES TR 5 0 0.00%
7828 GRANA Y MONTERO S A A 10 0 0.00%
Page 157 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.