13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-12, with 8,112 holding rows worth $265,314,949,000.
- Accession
- 0000950123-20-011384
- Filer
- CIK 1610520
- Filed
- 2020-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 13,785 entries on the cover page, a total value of $265,314,949,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $265,315,045,000 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 |
|---|---|---|---|---|---|---|
| PLUS THERAPEUTICS INC | 72941H400 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISLINK TECHNOLOGIES INC | 92836Y300 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06746P530 | FUND | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PICO HLDGS INC | 693366205 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 323 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 104 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 109 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTRICON CORP | 46121H109 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 261 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIM IMMUNOTECH INC | 00901B105 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES U S ETF TR | 46431W564 | COMMODITY CURVE | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LION GROUP HOLDING LTD | 53620U110 | *W EXP 06/16/202 | 442 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHEER HLDG INC | G39973113 | *W EXP 02/13/202 | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK INC | 205750300 | COM NEW | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 334 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYRECAR INC | 44916T107 | COM | 95 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEXIQ ETF TR | 45409B305 | LNG SHT TRACK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223307 | COM | 79 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OBLONG INC | 674434105 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTERITY THERAPEUTICS LTD | 02155X106 | SPONSORED ADR | 238 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRILLIANT ACQUISITION CORP | G1643W137 | RIGHT 99/99/9999 | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAST RES ACQUISITION CO | 274681113 | *W EXP 07/01/202 | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREENCITY ACQUISITION CORP | G4086B123 | *W EXP 04/30/202 | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 86 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTSIDE DISTILLING INC | 277802302 | COM | 67 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 42 | $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. |
| NXT-ID INC | 67091J206 | COM NEW | 1,155 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGF INVTS TR | 00110G606 | GLOBAL INFRASTR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 50 | $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. |
| FRANKLIN TEMPLETON ETF TR | 35473P579 | FTSE SOUTH AFR | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PANDION THERAPEUTICS INC | 698340106 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 342 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PYXIS TANKERS INC | Y71726106 | COM | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 82 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERIDA MERGER CORP I | 58953M114 | *W EXP 11/07/202 | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHUNWARE INC | 71948P118 | *W EXP 12/26/202 | 2,597 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBUS MARITIME LIMITED NEW | Y27265407 | COM | 331 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 378 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLJ GROUP LIMITED SPON ADS | 74738J102 | ADR | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAE INC | 69290Y117 | *W EXP 09/11/202 | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LGL SYS ACQUISITION CORP | 50201G114 | *W EXP 11/12/202 | 395 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LISTED FD TR | 53656F813 | TRUESHS ESG ACTV | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIONANO GENOMICS INC | 09075F115 | *W EXP 08/21/202 | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 783 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHECK CAP LTD | M2361E161 | *W EXP 05/03/202 | 9,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 3,337 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGBA ACQUISITION LTD | G0120M117 | *W EXP 05/10/202 | 597 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 1 | $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. |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AUTOWEB INC | 05335B100 | COM | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 1,351 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YUNHONG INTL RT | G98882130 | WARRANT AND RIGH | 529 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN PULP EXCHANGE INC | 03755m300 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALBERTON ACQUISITION CORP | G35006116 | UNIT 04/22/2020 | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOCUMENT SEC SYS INC | 25614T309 | COM NEW | 64 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q108 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WEIDAI LTD | 94861A108 | SPONS ADS | 408 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 3,629 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 469 | $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. |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y797 | INTL MLTFCTR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 4,640 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 7,333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLITUDE HLTHCRE AQUSTIN CO | 03212A113 | *W EXP 12/01/202 | 295 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIVERNORTH DOUBLELINE STRATE | 76882G123 | RIGHT 10/01/2020 | 322,077 | $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. |
| ISHARES TR | 46436E791 | FACTORS US | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIIG MERGER CORP | 12559C111 | *W EXP 12/31/202 | 451 | $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 | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MID CON ENERGY PARTNERS LTD PARTNERSHIP NEW | 59560V208 | UNIT REPSTG LTD | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 82 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSPREY TECHNLGY AQUISTION CO | 68839R401 | UNIT 10/30/2024 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GX ACQUISITION CORP | 36251A206 | UNIT 05/24/2026 | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC GLOBAL ETF TR | 69434K205 | FOCUSD HI YLD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SENECA BIOPHARMA INC | 81689B103 | COM | 62 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 3,218 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEISURE ACQUISITION CORP | 52539T206 | UNIT 99/99/9999 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOUNTAIN CREST ACQUISITION C | 62401M122 | RIGHT 03/19/2025 | 134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWBORN ACQUISITION CORP | G6463T122 | RIGHT 02/03/2025 | 99 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGIRAD CORP | 253827703 | COM NEW | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOLPHIN ENTMT INC | 25686H118 | *W EXP 12/26/202 | 2,600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-011384 | this filing | 2020-11-12 | acceptance time not in the bulk data set |