UBS AG Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 6,735
New Positions 571
Increased Positions 3,788
Decreased Positions 2,836
Positions with Activity 6,624
Sold Out Positions 389
Total Mkt Value (in $ millions) 85,822

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

Sector Weighting

Basic Materials 2.33%
Capital Goods 3.01%
Conglomerates 0.14%
Consumer Cyclical 2.38%
Consumer/Non-Cyclical 5.6%
Energy 8.66%
Financial 41.75%
Healthcare 7.5%
Services 10.58%
Technology 10.49%
Transportation 1.55%
Utilities 4.97%

389 Sold Out Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
ACASTI PHARMA INC CL A SHS -2 Sold Out 0
ADVANTEST CORP SPON ADR NEW -4 Sold Out 0
ADVISORSHARES TR BNY GRWTH ADR -35 Sold Out 0
ADVISORSHARES TR PRING TRNR BUS -20 Sold Out 0
ADVISORSHARES TR MADRONA DOMESTIC -1 Sold Out 0
AETRIUM INC COM NEW -1 Sold Out 0
AGRIA CORP SPONSORED ADR -4 Sold Out 0
AIRMEDIA GROUP INC SPONSORED ADR -5 Sold Out 0
ALCO STORES INC COM -5 Sold Out 0
ALLIANZGI INTL & PREM STRATEGY COM -179 Sold Out 0
ALPHA PRO TECH LTD COM -10 Sold Out 0
ALPS ETF TR VELOSH EMASIA -8 Sold Out 0
ALPS ETF TR GS MOM BLDMULT -3 Sold Out 0
AMBIENT CORP COM NEW Sold Out 0
AMERICAN CARESOURCE HLDGS INC COM NEW -6 Sold Out 0
AMERICAN ELECTRIC TECH INC COM -17 Sold Out 0
AMERICAN LORAIN CORP COM Sold Out 0
AMERICAN SHARED HOSPITAL SVCS COM -7 Sold Out 0
AMERICAN SPECTRUM REALTY INC COM NEW -2 Sold Out 0
AMPCO-PITTSBURGH CORP COM -19 Sold Out 0