UBS AG Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 6,736
New Positions 571
Increased Positions 3,788
Decreased Positions 2,837
Positions with Activity 6,625
Sold Out Positions 389
Total Mkt Value (in $ millions) 85,132

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

Sector Weighting

Basic Materials 2.34%
Capital Goods 3.03%
Conglomerates 0.14%
Consumer Cyclical 2.38%
Consumer/Non-Cyclical 5.66%
Energy 8.67%
Financial 41.8%
Healthcare 7.37%
Services 10.56%
Technology 10.47%
Transportation 1.55%
Utilities 4.99%

389 Sold Out Positions as of 12/31/2013

Company Class ▲ Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
CREDIT SUISSE NASSAU BRH 2X INVER PLATI -10 Sold Out 0
CREDIT SUISSE NASSAU BRH 2X LONG PLATIN -37 Sold Out 0
ELAN PLC ADR -11,767 Sold Out 0
NATUZZI S P A ADR -2 Sold Out 0
SUNTECH PWR HLDGS CO LTD ADR -122 Sold Out 0
VIMICRO INTL CORP ADR -9 Sold Out 0
GW PHARMACEUTICALS PLC ADS -9 Sold Out 0
ADVISORSHARES TR BNY GRWTH ADR -35 Sold Out 0
FIRST TR EXCH TRD ALPHA FD II BRAZIL ALPHA -16 Sold Out 0
SPDR SERIES TRUST BRC ISSUER SCORD -46 Sold Out 0
EGA EMERGING GLOBAL SHS TR BSC MATLS GEM -12 Sold Out 0
WEST BANCORPORATION INC CAP STK -15 Sold Out 0
FIRST TR EXCH TRD ALPHA FD II CHINA ALPHADEX -1 Sold Out 0
ROYAL BK OF SCOTLAND PLC CHINA TRNDP ETF -14 Sold Out 0
MARKET VECTORS ETF TR CHINAAMC A S ETF -25 Sold Out 0
FINISH LINE INC CL A -4 Sold Out 0
HEMISPHERE MEDIA GROUP INC CL A -30 Sold Out 0
HF2 FINL MGMT INC CL A -51 Sold Out 0
NCI INC CL A -15 Sold Out 0
BIRKS GROUP INC CL A COM -2 Sold Out 0