UBS AG Information

BAHNHOFSTRASSE 45, ZURICH, , CH 8001, (203) 719-5241

Report Date: 09/30/2014

Position Statistics

Total Positions 6,904
New Positions 513
Increased Positions 3,804
Decreased Positions 2,930
Positions with Activity 6,734
Sold Out Positions 374
Total Mkt Value (in $ millions) 110,310

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 1.99%
Capital Goods 2.88%
Conglomerates 0.13%
Consumer Cyclical 2.55%
Consumer/Non-Cyclical 4.98%
Energy 6.16%
Financial 42%
Healthcare 7.75%
Services 11.21%
Technology 10.82%
Transportation 1.88%
Utilities 5.2%

513 New Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SIGNAL GENETICS INC COM 3 3 New 1,285
CAMBIUM LEARNING GRP INC COM 3 3 New 1,840
DEUTSCHE BK AG LONDON ETN DJ HY 2022 3 3 New 193
RUTHIGEN INC COM 3 3 New 844
KINGOLD JEWELRY INC COM NEW 3 3 New 3,264
ONE HORIZON GROUP INC COM NEW 3 3 New 1,431
TRIO TECH INTL COM NEW 3 3 New 950
TIANYIN PHARMACEUTICAL CO INC COM 3 3 New 5,690
AVINO SILVER & GOLD MINES LTD COM 3 3 New 2,164
SPDR INDEX SHS FDS STH KOR QUALMX 3 3 New 100
PINGTAN MARINE ENTERPRISE LTD SHS 3 3 New 1,788
ANTARES PHARMA INC COM 3 3 New 1,000
SPHERE 3D CORP COM 3 3 New 491
GLOWPOINT INC COM NEW 3 3 New 2,389
CASI PHARMACEUTICALS INC COM 3 3 New 2,054
SAJAN INC COM NEW 3 3 New 482
SPDR INDEX SHS FDS MEXICO QUAL MX 3 3 New 100
DYNASIL CORP AMER COM 2 2 New 1,660
COMBIMATRIX CORPORATION COM NEW 2 2 New 2,074
NXT ID INC COM 2 2 New 1,010


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