UBS AG Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 6,885
New Positions 514
Increased Positions 3,795
Decreased Positions 2,920
Positions with Activity 6,715
Sold Out Positions 370
Total Mkt Value (in $ millions) 108,475

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

Sector Weighting

Basic Materials 1.94%
Capital Goods 2.96%
Conglomerates 0.13%
Consumer Cyclical 2.57%
Consumer/Non-Cyclical 5.11%
Energy 5.93%
Financial 42.27%
Healthcare 7.76%
Services 11.49%
Technology 10.6%
Transportation 1.87%
Utilities 5.27%

370 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CEMENTOS PACASMAYO S A A SPON ADR REP 5 -2 Sold Out 0
CERULEAN PHARMA INC COM -7 Sold Out 0
CHEVIOT FINL CORP NEW COM -14 Sold Out 0
CHINA GREEN AGRICULTURE INC COM -27 Sold Out 0
CHINA INFORMATION TECHNOLOGY COM -7 Sold Out 0
CHINA JO-JO DRUGSTORES INC COM NEW -14 Sold Out 0
CHINA PHARMA HLDGS INC COM -2 Sold Out 0
CIS ACQUISITION LTD WT EXP 121817 -2 Sold Out 0
CIS ACQUISITION LTD SHS SER A -7 Sold Out 0
CITI TRENDS INC COM -7 Sold Out 0
CLEANTECH SOLUTIONS INTL INC COM NEW -9 Sold Out 0
CNB FINL CORP PA COM -10 Sold Out 0
COCA-COLA HBC AG ADR -5 Sold Out 0
COLUMBIA ETF TR LCAP GRW EQT ETF -16 Sold Out 0
COLUMBIA ETF TR SEL LC VAL ETF -20 Sold Out 0
CONNECTONE BANCORP INC NEW COM -116 Sold Out 0
CONTINENTAL MATLS CORP COM PAR $0.25 -19 Sold Out 0
CORDIA BANCORP INC COM -16 Sold Out 0
CORE MARK HOLDING CO INC COM -133 Sold Out 0
CORE MOLDING TECHNOLOGIES INC COM -13 Sold Out 0