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UBS GROUP AG
UBS GROUP AG. Institutional holdings reported to the SEC.

Institutional Holders (2017Q2)
Portfolio Summary: 279 Institutional holders with a total value of $23,125,305,024.
#
Manager Name
Shares
Value ($)
%
Options
Notes
151 HighTower Trust Company, N.A. 39,610 673,000 0.00%
152 Advisors Asset Management, Inc. 39,428 669,000 0.00%
153 WRIGHT INVESTORS SERVICE INC 38,525 654,000 0.00%
154 Virtu KCG Holdings LLC 36,249 616,000 0.00%
155 NOMURA HOLDINGS INC 35,547 603,000 0.00%
156 M&T BANK CORP 35,492 603,000 0.00%
157 CAPITAL ONE, NATIONAL ASSOCIATION 34,522 586,000 0.00%
158 GLEN HARBOR CAPITAL MANAGEMENT LLC 33,684 572,000 0.00%
159 US BANCORP \DE\ 33,605 570,000 0.00%
160 A.R.T. Advisors, LLC 33,300 565,000 0.00%
161 BTR CAPITAL MANAGEMENT INC 32,345 549,000 0.00%
162 GROUP ONE TRADING LLC 30,775 523,000 0.00%
163 OLD NATIONAL BANCORP /IN/ 30,809 523,000 0.00%
164 GLENMEDE TRUST CO NA 32,812 523,000 0.00%
165 CLEARSTEAD ADVISORS, LLC 30,264 514,000 0.00%
166 D.A. DAVIDSON & CO. 28,319 480,000 0.00%
167 Salient Capital Advisors, LLC 27,595 469,000 0.00%
168 Checchi Capital Advisers, LLC 26,484 450,000 0.00%
169 MEADOW CREEK INVESTMENT MANAGEMENT LLC 26,466 449,000 0.00%
170 Dorsey & Whitney Trust CO LLC 25,669 436,000 0.00%
171 Cambridge Investment Research Advisors, Inc. 24,915 423,000 0.00%
172 CITADEL ADVISORS LLC 24,826 422,000 0.00%
173 First Allied Advisory Services, Inc. 24,149 401,000 0.00%
174 CUTLER GROUP LLC / CA 23,216 394,000 0.00%
175 PEAK6 Group LLC 22,700 385,000 0.00% Call
176 Commonwealth Equity Services, Inc 22,369 380,000 0.00%
177 RAYMOND JAMES TRUST N.A. 21,176 360,000 0.00%
178 RIVERHEAD CAPITAL MANAGEMENT LLC 21,200 360,000 0.00%
179 ASSENAGON ASSET MANAGEMENT S.A. 20,954 355,000 0.00%
180 TWO SIGMA ADVISERS, LP 19,400 329,000 0.00%
181 FLINTON CAPITAL MANAGEMENT LLC 19,248 327,000 0.00%
182 LADENBURG THALMANN FINANCIAL SERVICES INC. 18,826 320,000 0.00%
183 MUFG Americas Holdings Corp 18,147 308,000 0.00%
184 Caprock Group, LLC 18,090 307,000 0.00%
185 Private Advisor Group, LLC 17,434 306,000 0.00%
186 BARCLAYS PLC 17,400 295,000 0.00% Call
187 COMERICA SECURITIES INC 17,277 293,000 0.00%
188 FOX RUN MANAGEMENT, L.L.C. 17,200 292,000 0.00%
189 CITADEL ADVISORS LLC 16,600 282,000 0.00% Put
190 Opus Capital Group, LLC 16,485 280,000 0.00%
191 PINNACLE ASSOCIATES LTD 16,090 273,000 0.00%
192 JACOBI CAPITAL MANAGEMENT LLC 15,514 272,000 0.00%
193 GREENLEAF TRUST 16,020 272,000 0.00%
194 ADVISOR GROUP, INC. 15,135 256,000 0.00%
195 Granahan Investment Management, LLC 14,616 248,000 0.00%
196 HIGH POINTE CAPITAL MANAGEMENT LLC 14,520 247,000 0.00%
197 CITADEL ADVISORS LLC 14,500 246,000 0.00% Call
198 HighTower Advisors, LLC 14,401 244,000 0.00%
199 FIRST TRUST ADVISORS LP 14,323 243,000 0.00%
200 CIBC BANK USA 14,337 243,000 0.00%
Page 4 of 6

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.