13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 8,098 holding rows worth $259,766,458,000.
- Accession
- 0000950123-19-010978
- Filer
- CIK 1610520
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 13,771 entries on the cover page, a total value of $259,766,458,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $259,766,430,000 with VALUE read as thousands by filing date, 13F file number 028-16612. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- included managerUBS Financial Services Inc. 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG New York Branch 028-07344
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 744 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVAXIS INC | 007624307 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 322 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIERRA METALS INC | 82639W106 | COM | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 84 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN MED INC | 88830X819 | COM | 432 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLUS THERAPEUTICS INC | 72941H400 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TINGO GROUP INC | 55328R109 | COM | 298 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVISTAR INTL CORP | 638901306 | PFD | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 692 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 314 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 361 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOGU INC SPON ADS | 608012100 | ADR | 104 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIM IMMUNOTECH INC | 00901B105 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SRAX INC | 78472M106 | CL A | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 273 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMV INC | 44974L103 | COM | 159 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREATIVE REALITIES INC | 22530J119 | *W EXP 11/19/202 | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A586 | AAM S&P EMRG | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 503 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYREN LTD | M26895108 | SHS | 121 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROSEAS LTD | Y23592309 | SHS NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHULTZE SPL PURP ACQUSTN CO | 80821R117 | W EXP 12/31/202 | 1,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOSYS INC | 619718307 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 458 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 398 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 4,394 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 1,351 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 281 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 3,950 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KEMPHARM INC COM NEW | 488445107 | Stock | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMTREX INC | 15130G113 | *W EXP 12/02/202 | 5,150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K273 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 1,998 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y582 | TRGTINCM 5 ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 142 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 595 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 3,890 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHIO PHARMACEUTICALS CORP | 71880W105 | *W EXP 12/21/202 | 3,578 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 794 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 3,784 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 52,505 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MONAKER GROUP INC | 609011200 | COM NEW | 202 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GORES METROPOULOS INC | 382872117 | *W EXP 01/28/202 | 439 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAYMAKER ACQUISITION CORP II | 42087L119 | *W EXP 10/31/202 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIOS MARITIME CHG CONTAINERS LP UNIT REPSTG LP INT | Y62151108 | COM UNIT RP LP | 94 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANDINA ACQUISITION CORP III | G04415108 | SHS | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMEDIA BRANDS INC COM CL A | 452465107 | Stock | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XPRESSPA GROUP INC COM NEW | 98420U604 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 343 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIG ROCK PARTNERS ACQUISITIO | 089482129 | RIGHT 12/01/2022 | 1,809 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 2,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 6,917 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 3,885 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 26,849 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 1,050 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EYEGATE PHARMACEUTICALS INC | 30233M115 | *W EXP 08/05/202 | 110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 187 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRLSW US 08 Aug 22 C11.5 | 70957E113 | W EXP 07/27/202 | 1,553 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 127 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 755 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDATECH PHARMA PLC SPONSORED | 59564R203 | ADR | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEURALSTEM INC | 64127R500 | COM | 67 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255195 | *W EXP 05/29/202 | 20,073 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAFE T GROUP LTD | 78643B302 | SPONSORED ADS | 366 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MY SIZE INC | 62844N109 | COM | 544 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TKK SYMPHONY ACQUISITION COR | G88950129 | *W EXP 02/20/202 | 4,800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OHA INVT CORP | 67091U102 | COM | 383 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TONIX PHARMACEUTICALS HLDG C | 890260508 | COM NEW | 114 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 18,435 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHARDAN HEALTHCARE ACQUISITI | 15957A116 | *W EXP 12/13/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLENO THERAPEUTICS INC | 834203135 | *W EXP 11/12/201 | 5,523 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATTIS INDS INC | 049836125 | *W EXP 02/10/202 | 3,167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATTIS INDS INC | 049836208 | COM NEW | 142 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-010978 | this filing | 2019-11-14 | acceptance time not in the bulk data set |