UBS AG Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 6,918
New Positions 512
Increased Positions 3,816
Decreased Positions 2,932
Positions with Activity 6,748
Sold Out Positions 373
Total Mkt Value (in $ millions) 111,934

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

Sector Weighting

Basic Materials 2.07%
Capital Goods 2.91%
Conglomerates 0.13%
Consumer Cyclical 2.52%
Consumer/Non-Cyclical 4.96%
Energy 6.91%
Financial 41.64%
Healthcare 7.44%
Services 11.1%
Technology 10.69%
Transportation 1.86%
Utilities 5.32%

373 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BARCLAYS BK PLC 10 YR TREAS BEAR -15 Sold Out 0
BARCLAYS BK PLC 2 YR TREAS BEAR -57 Sold Out 0
BAXANO SURGICAL INC COM Sold Out 0
BAY BANCORP INC COM -3 Sold Out 0
BIOSPECIFICS TECHNOLOGIES CORP COM -32 Sold Out 0
BIOTIME INC WT EXP 100118 -3 Sold Out 0
BODY CENT CORP COM NEW -3 Sold Out 0
BOINGO WIRELESS INC COM -16 Sold Out 0
BOSTON PRIVATE FINL HLDGS INC DEP SHS -3 Sold Out 0
BUILDERS FIRSTSOURCE INC COM -12 Sold Out 0
BURCON NUTRASCIENCE CORP COM -5 Sold Out 0
CALAVO GROWERS INC COM -35 Sold Out 0
CAPE BANCORP INC COM -23 Sold Out 0
CAPELLA EDUCATION COMPANY COM -161 Sold Out 0
CARRIAGE SVCS INC COM -250 Sold Out 0
CARROLS RESTAURANT GROUP INC COM -37 Sold Out 0
CCA INDS INC COM -3 Sold Out 0
CEL SCI CORP WT EXP 101118 Sold Out 0
CELADON GROUP INC COM -17 Sold Out 0
CELSUS THERAPEUTICS PLC SPONSORED ADR NE -5 Sold Out 0