UBS AG historic quarter change: Foreign Options, Added
In put and call options, at their filed underlying value (depositary receipts and foreign shares traded over the counter), over 5 quarters from 2013-06-30 to 2014-09-30, UBS AG opened 239 positions, added to 508, reduced 579 and sold out of 237.
- Q4 2013: Stock TEVA; Country of operation —; Class ADR · Call; Shares before 137,000.
- Q4 2013: Stock NVS; Country of operation —; Class SPONSORED ADR · Call; Shares before 24,500.
- Q4 2013: Stock VODAFONE GROUP PLC NEW; Country of operation —; Class SPONS ADR NEW · Put; Shares before 317,400.
- Q4 2013: Stock VODAFONE GROUP PLC NEW; Country of operation —; Class SPONS ADR NEW · Call; Shares before 348,700.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1114446), 5 quarters: Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-12); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-16); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-05-21); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-13). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2002-12-31.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|---|---|---|---|---|---|---|---|---|---|
| Q4 2013 | TEVA TEVA PHARMACEUTICAL INDS LTD | ADR · Call | 137,000 | 1,483,200 | +1,346,200 | $5,176,000 | $59,447,000 | +$54,271,000 | 2014-05-21 | |
| Q4 2013 | NVS NOVARTIS A G | SPONSORED ADR · Call | 24,500 | 518,800 | +494,300 | $1,879,000 | $41,701,000 | +$39,822,000 | 2014-05-21 | |
| Q4 2013 | VODAFONE GROUP PLC NEW CUSIP 92857W209 | SPONS ADR NEW · Put | 317,400 | 1,056,600 | +739,200 | $11,166,000 | $41,535,000 | +$30,369,000 | 2014-05-21 | |
| Q4 2013 | VODAFONE GROUP PLC NEW CUSIP 92857W209 | SPONS ADR NEW · Call | 348,700 | 1,042,300 | +693,600 | $12,267,000 | $40,973,000 | +$28,706,000 | 2014-05-21 | |
| Q4 2013 | BP BP PLC | SPONSORED ADR · Put | 174,900 | 532,400 | +357,500 | $7,351,000 | $25,880,000 | +$18,529,000 | 2014-05-21 | |
| Q4 2013 | BIDU BAIDU INC | SPON ADR REP A · Put | 247,500 | 275,200 | +27,700 | $38,407,000 | $48,953,000 | +$10,546,000 | 2014-05-21 | |
| Q4 2013 | PBR PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR · Put | 39,000 | 781,000 | +742,000 | $604,000 | $10,762,000 | +$10,158,000 | 2014-05-21 | |
| Q4 2013 | HIMX HIMAX TECHNOLOGIES INC | SPONSORED ADR · Call | 229,300 | 747,300 | +518,000 | $2,293,000 | $10,993,000 | +$8,700,000 | 2014-05-21 | |
| Q4 2013 | SOUFUN HLDGS LTD CUSIP 836034108 | ADR · Call | 1,500 | 100,700 | +99,200 | $77,000 | $8,299,000 | +$8,222,000 | 2014-05-21 | |
| Q4 2013 | SEAGATE TECHNOLOGY PLC CUSIP G7945M107 | SHS · Call | 65,800 | 183,100 | +117,300 | $2,879,000 | $10,283,000 | +$7,404,000 | 2014-05-21 | |
| Q4 2013 | MLCO MELCO CROWN ENTMT LTD | ADR · Put | 3,300 | 162,700 | +159,400 | $105,000 | $6,381,000 | +$6,276,000 | 2014-05-21 | |
| Q4 2013 | BHP BHP BILLITON LTD | SPONSORED ADR · Call | 145,300 | 230,560 | +85,260 | $9,662,000 | $15,724,000 | +$6,062,000 | 2014-05-21 | |
| Q4 2013 | BHP BHP BILLITON LTD | SPONSORED ADR · Put | 42,500 | 129,900 | +87,400 | $2,826,000 | $8,859,000 | +$6,033,000 | 2014-05-21 | |
| Q4 2013 | TM TOYOTA MOTOR CORP | SP ADR REP2COM · Call | 7,200 | 54,300 | +47,100 | $922,000 | $6,620,000 | +$5,698,000 | 2014-05-21 | |
| Q4 2013 | AMERICA MOVIL SAB DE CV CUSIP 02364W105 | SPON ADR L SHS · Call | 3,000 | 243,200 | +240,200 | $59,000 | $5,684,000 | +$5,625,000 | 2014-05-21 | |
| Q4 2013 | TEVA TEVA PHARMACEUTICAL INDS LTD | ADR · Put | 34,700 | 128,800 | +94,100 | $1,311,000 | $5,162,000 | +$3,851,000 | 2014-05-21 | |
| Q4 2013 | TRINA SOLAR LIMITED CUSIP 89628E104 | SPON ADR · Call | 5,300 | 241,900 | +236,600 | $82,000 | $3,307,000 | +$3,225,000 | 2014-05-21 | |
| Q4 2013 | ANGLOGOLD ASHANTI LTD CUSIP 035128206 | SPONSORED ADR · Call | 7,900 | 243,800 | +235,900 | $105,000 | $2,857,000 | +$2,752,000 | 2014-05-21 | |
| Q4 2013 | NVS NOVARTIS A G | SPONSORED ADR · Put | 46,400 | 77,500 | +31,100 | $3,559,000 | $6,229,000 | +$2,670,000 | 2014-05-21 | |
| Q4 2013 | YPF YPF SOCIEDAD ANONIMA | SPON ADR CL D · Put | 4,200 | 81,700 | +77,500 | $85,000 | $2,693,000 | +$2,608,000 | 2014-05-21 | |
| Q4 2013 | YPF YPF SOCIEDAD ANONIMA | SPON ADR CL D · Call | 48,200 | 107,200 | +59,000 | $970,000 | $3,533,000 | +$2,563,000 | 2014-05-21 | |
| Q4 2013 | CX CEMEX SAB DE CV | SPON ADR NEW · Put | 14,576 | 219,876 | +205,300 | $163,000 | $2,601,000 | +$2,438,000 | 2014-05-21 | |
| Q4 2013 | E ENI S P A | SPONSORED ADR · Call | 2,200 | 51,200 | +49,000 | $101,000 | $2,483,000 | +$2,382,000 | 2014-05-21 | |
| Q4 2013 | VNET 21VIANET GROUP INC | SPONSORED ADR · Call | 2,000 | 97,900 | +95,900 | $33,000 | $2,303,000 | +$2,270,000 | 2014-05-21 | |
| Q4 2013 | VALE VALE S A | ADR · Call | 932,900 | 1,103,300 | +170,400 | $14,563,000 | $16,825,000 | +$2,262,000 | 2014-05-21 | |
| Q4 2013 | SYNGENTA AG CUSIP 87160A100 | SPONSORED ADR · Call | 1,600 | 20,000 | +18,400 | $130,000 | $1,599,000 | +$1,469,000 | 2014-05-21 | |
| Q4 2013 | IBN ICICI BK LTD | ADR · Call | 13,660 | 47,260 | +33,600 | $416,000 | $1,757,000 | +$1,341,000 | 2014-05-21 | |
| Q4 2013 | NQ MOBILE INC CUSIP 64118U108 | ADR REPSTG CL A · Put | 52,300 | 161,300 | +109,000 | $1,140,000 | $2,371,000 | +$1,231,000 | 2014-05-21 | |
| Q4 2013 | TM TOYOTA MOTOR CORP | SP ADR REP2COM · Put | 9,800 | 19,600 | +9,800 | $1,255,000 | $2,390,000 | +$1,135,000 | 2014-05-21 | |
| Q4 2013 | MEDTRONIC INC CUSIP 585055106 | COM · Put | 34,300 | 49,600 | +15,300 | $1,826,000 | $2,846,000 | +$1,020,000 | 2014-05-21 | |
| Q4 2013 | HMY HARMONY GOLD MNG LTD | SPONSORED ADR · Call | 44,400 | 461,000 | +416,600 | $150,000 | $1,166,000 | +$1,016,000 | 2014-05-21 | |
| Q4 2013 | INFY INFOSYS LTD | SPONSORED ADR · Call | 7,000 | 18,400 | +11,400 | $337,000 | $1,041,000 | +$704,000 | 2014-05-21 | |
| Q4 2013 | RIO RIO TINTO PLC | SPONSORED ADR · Put | 67,700 | 70,800 | +3,100 | $3,301,000 | $3,995,000 | +$694,000 | 2014-05-21 | |
| Q4 2013 | CHUBB CORP CUSIP 171232101 | COM · Call | 5,300 | 10,900 | +5,600 | $473,000 | $1,053,000 | +$580,000 | 2014-05-21 | |
| Q4 2013 | RANDGOLD RES LTD CUSIP 752344309 | ADR · Call | 14,900 | 25,300 | +10,400 | $1,066,000 | $1,589,000 | +$523,000 | 2014-05-21 | |
| Q4 2013 | YY INC CUSIP 98426T106 | ADS REPCOM CLA · Put | 1,600 | 11,200 | +9,600 | $75,000 | $563,000 | +$488,000 | 2014-05-21 | |
| Q4 2013 | CHUBB CORP CUSIP 171232101 | COM · Put | 4,400 | 9,100 | +4,700 | $393,000 | $879,000 | +$486,000 | 2014-05-21 | |
| Q4 2013 | HSBC HSBC HLDGS PLC | SPON ADR NEW · Call | 1,500 | 9,300 | +7,800 | $81,000 | $513,000 | +$432,000 | 2014-05-21 | |
| Q4 2013 | SIEGY SIEMENS A G | SPONSORED ADR · Put | 7,700 | 9,700 | +2,000 | $928,000 | $1,344,000 | +$416,000 | 2014-05-21 | |
| Q4 2013 | CHINA MOBILE LIMITED CUSIP 16941M109 | SPONSORED ADR · Call | 4,100 | 11,600 | +7,500 | $231,000 | $607,000 | +$376,000 | 2014-05-21 | |
| Q4 2013 | QIHOO 360 TECHNOLOGY CO LTD CUSIP 74734M109 | ADS · Call | 72,800 | 78,200 | +5,400 | $6,057,000 | $6,416,000 | +$359,000 | 2014-05-21 | |
| Q4 2013 | BSBR BANCO SANTANDER BRASIL S A | ADS REP 1 UNIT · Call | 600 | 55,100 | +54,500 | $4,000 | $336,000 | +$332,000 | 2014-05-21 | |
| Q4 2013 | IEP ICAHN ENTERPRISES LP | United States | DEPOSITARY UNIT · Call | 100 | 2,400 | +2,300 | $8,000 | $263,000 | +$255,000 | 2014-05-21 |
| Q4 2013 | DEO DIAGEO P L C | SPON ADR NEW · Put | 2,400 | 4,100 | +1,700 | $305,000 | $543,000 | +$238,000 | 2014-05-21 | |
| Q4 2013 | HSBC HSBC HLDGS PLC | SPON ADR NEW · Put | 1,300 | 5,200 | +3,900 | $71,000 | $287,000 | +$216,000 | 2014-05-21 | |
| Q4 2013 | SIEGY SIEMENS A G | SPONSORED ADR · Call | 3,900 | 4,800 | +900 | $470,000 | $665,000 | +$195,000 | 2014-05-21 | |
| Q4 2013 | TOTAL S A CUSIP 89151E109 | SPONSORED ADR · Put | 44,600 | 44,900 | +300 | $2,583,000 | $2,751,000 | +$168,000 | 2014-05-21 | |
| Q4 2013 | TATA MTRS LTD CUSIP 876568502 | SPONSORED ADR · Call | 10,800 | 14,300 | +3,500 | $288,000 | $440,000 | +$152,000 | 2014-05-21 | |
| Q4 2013 | NATIONAL GRID PLC CUSIP 636274300 | SPON ADR NEW · Call | 2,100 | 4,200 | +2,100 | $124,000 | $274,000 | +$150,000 | 2014-05-21 | |
| Q4 2013 | SID COMPANHIA SIDERURGICA NACION | SPONSORED ADR · Put | 8,000 | 28,000 | +20,000 | $34,000 | $174,000 | +$140,000 | 2014-05-21 | |
| Q4 2013 | ULXXXX UNILEVER PLC | SPON ADR NEW · Put | 800 | 3,900 | +3,100 | $31,000 | $161,000 | +$130,000 | 2014-05-21 | |
| Q4 2013 | NOAH NOAH HLDGS LTD | SPONSORED ADS · Call | 900 | 8,000 | +7,100 | $15,000 | $144,000 | +$129,000 | 2014-05-21 | |
| Q4 2013 | SAP SAP AG | SPON ADR · Call | 400 | 1,600 | +1,200 | $30,000 | $139,000 | +$109,000 | 2014-05-21 | |
| Q4 2013 | TRANSCANADA CORP CUSIP 89353D107 | COM · Put | 300 | 2,400 | +2,100 | $13,000 | $110,000 | +$97,000 | 2014-05-21 | |
| Q4 2013 | ARM HLDGS PLC CUSIP 042068106 | SPONSORED ADR · Call | 8,600 | 9,300 | +700 | $414,000 | $509,000 | +$95,000 | 2014-05-21 | |
| Q4 2013 | DEO DIAGEO P L C | SPON ADR NEW · Call | 2,100 | 2,700 | +600 | $267,000 | $357,000 | +$90,000 | 2014-05-21 | |
| Q4 2013 | CHINA LIFE INS CO LTD CUSIP 16939P106 | SPON ADR REP H · Put | 1,400 | 3,000 | +1,600 | $54,000 | $142,000 | +$88,000 | 2014-05-21 | |
| Q4 2013 | CHINA PETE & CHEM CORP CUSIP 16941R108 | SPON ADR H SHS · Call | 360 | 1,200 | +840 | $28,000 | $99,000 | +$71,000 | 2014-05-21 | |
| Q4 2013 | SHANDA GAMES LTD CUSIP 81941U105 | SP ADR REPTG A · Call | 6,900 | 21,200 | +14,300 | $27,000 | $97,000 | +$70,000 | 2014-05-21 | |
| Q4 2013 | CHKR CHESAPEAKE GRANITE WASH TR | United States | COM SH BEN INT · Call | 600 | 7,300 | +6,700 | $8,000 | $77,000 | +$69,000 | 2014-05-21 |
| Q4 2013 | GGB GERDAU S A | SPON ADR REP PFD · Call | 1,800 | 10,300 | +8,500 | $13,000 | $81,000 | +$68,000 | 2014-05-21 | |
| Q4 2013 | YINGLI GREEN ENERGY HLDG CO CUSIP 98584B103 | ADR · Call | 1,600 | 15,500 | +13,900 | $11,000 | $78,000 | +$67,000 | 2014-05-21 | |
| Q4 2013 | E HOUSE CHINA HLDGS LTD CUSIP 26852W103 | ADR · Put | 2,400 | 5,700 | +3,300 | $22,000 | $86,000 | +$64,000 | 2014-05-21 | |
| Q4 2013 | PERFECT WORLD CO LTD CUSIP 71372U104 | SPON ADR REP B · Call | 400 | 4,000 | +3,600 | $8,000 | $71,000 | +$63,000 | 2014-05-21 | |
| Q4 2013 | YY INC CUSIP 98426T106 | ADS REPCOM CLA · Call | 4,500 | 5,400 | +900 | $211,000 | $272,000 | +$61,000 | 2014-05-21 | |
| Q4 2013 | IRELAND BK CUSIP 46267Q202 | SPNSRD ADR NEW · Put | 5,900 | 8,800 | +2,900 | $67,000 | $127,000 | +$60,000 | 2014-05-21 | |
| Q4 2013 | COCA COLA ENTERPRISES INC NE CUSIP 19122T109 | COM · Call | 3,800 | 4,800 | +1,000 | $153,000 | $212,000 | +$59,000 | 2014-05-21 | |
| Q4 2013 | ABBNY ABB LTD | Switzerland | SPONSORED ADR · Put | 300 | 2,500 | +2,200 | $7,000 | $66,000 | +$59,000 | 2014-05-21 |
| Q4 2013 | GIANT INTERACTIVE GROUP INC CUSIP 374511103 | ADR · Call | 800 | 5,000 | +4,200 | $7,000 | $56,000 | +$49,000 | 2014-05-21 | |
| Q4 2013 | VIPS VIPSHOP HLDGS LTD | SPONSORED ADR · Put | 500 | 900 | +400 | $28,000 | $75,000 | +$47,000 | 2014-05-21 | |
| Q4 2013 | STATOIL ASA CUSIP 85771P102 | SPONSORED ADR · Put | 700 | 2,500 | +1,800 | $16,000 | $60,000 | +$44,000 | 2014-05-21 | |
| Q4 2013 | SQM SOCIEDAD QUIMICA MINERA DE C | SPON ADR SER B · Call | 5,100 | 7,700 | +2,600 | $156,000 | $199,000 | +$43,000 | 2014-05-21 | |
| Q4 2013 | SQM SOCIEDAD QUIMICA MINERA DE C | SPON ADR SER B · Put | 200 | 1,400 | +1,200 | $6,000 | $36,000 | +$30,000 | 2014-05-21 | |
| Q4 2013 | FMX FOMENTO ECONOMICO MEXICANO S | SPON ADR UNITS · Call | 100 | 400 | +300 | $10,000 | $39,000 | +$29,000 | 2014-05-21 | |
| Q4 2013 | VEOEY VEOLIA ENVIRONNEMENT | SPONSORED ADR · Put | 1,000 | 2,500 | +1,500 | $17,000 | $41,000 | +$24,000 | 2014-05-21 | |
| Q4 2013 | SAP SAP AG | SPON ADR · Put | 1,100 | 1,200 | +100 | $81,000 | $105,000 | +$24,000 | 2014-05-21 | |
| Q4 2013 | COCA COLA ENTERPRISES INC NE CUSIP 19122T109 | COM · Put | 500 | 1,000 | +500 | $20,000 | $44,000 | +$24,000 | 2014-05-21 | |
| Q4 2013 | BBD BANCO BRADESCO S A | SP ADR PFD NEW · Call | 1,900 | 3,900 | +2,000 | $26,000 | $49,000 | +$23,000 | 2014-05-21 | |
| Q4 2013 | VIMPELCOM LTD CUSIP 92719A106 | SPONSORED ADR · Call | 200 | 1,900 | +1,700 | $2,000 | $25,000 | +$23,000 | 2014-05-21 | |
| Q4 2013 | ECTM ECA MARCELLUS TR I | United States | COM UNIT · Put | 1,000 | 4,100 | +3,100 | $9,000 | $31,000 | +$22,000 | 2014-05-21 |
| Q4 2013 | TAL TAL ED GROUP | ADS REPSTG COM · Call | 100 | 1,000 | +900 | $1,000 | $22,000 | +$21,000 | 2014-05-21 | |
| Q4 2013 | TRINA SOLAR LIMITED CUSIP 89628E104 | SPON ADR · Put | 13,600 | 13,800 | +200 | $210,000 | $189,000 | -$21,000 | 2014-05-21 | |
| Q4 2013 | SSL SASOL LTD | SPONSORED ADR · Call | 400 | 700 | +300 | $19,000 | $35,000 | +$16,000 | 2014-05-21 | |
| Q4 2013 | EMBJ EMBRAER S A | SP ADR REP 4 COM · Put | 58,600 | 58,700 | +100 | $1,903,000 | $1,889,000 | -$14,000 | 2014-05-21 | |
| Q4 2013 | LIGHTINTHEBOX HLDG CO LTD CUSIP 53225G102 | SPONSORED ADR · Put | 200 | 1,700 | +1,500 | $2,000 | $14,000 | +$12,000 | 2014-05-21 | |
| Q4 2013 | PERFECT WORLD CO LTD CUSIP 71372U104 | SPON ADR REP B · Put | 100 | 800 | +700 | $2,000 | $14,000 | +$12,000 | 2014-05-21 | |
| Q4 2013 | BRFS BRF SA | SPONSORED ADR · Call | 1,900 | 2,800 | +900 | $47,000 | $58,000 | +$11,000 | 2014-05-21 | |
| Q4 2013 | MINDRAY MEDICAL INTL LTD CUSIP 602675100 | SPON ADR · Call | 200 | 500 | +300 | $8,000 | $18,000 | +$10,000 | 2014-05-21 | |
| Q4 2013 | CHINA MOBILE LIMITED CUSIP 16941M109 | SPONSORED ADR · Put | 3,800 | 3,900 | +100 | $214,000 | $204,000 | -$10,000 | 2014-05-21 | |
| Q4 2013 | BRFS BRF SA | SPONSORED ADR · Put | 100 | 500 | +400 | $2,000 | $10,000 | +$8,000 | 2014-05-21 | |
| Q4 2013 | BBVA BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR · Call | 3,500 | 3,600 | +100 | $39,000 | $45,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | SID COMPANHIA SIDERURGICA NACION | SPONSORED ADR · Call | 700 | 1,500 | +800 | $3,000 | $9,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | YINGLI GREEN ENERGY HLDG CO CUSIP 98584B103 | ADR · Put | 300 | 1,500 | +1,200 | $2,000 | $8,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | RENESOLA LTD CUSIP 75971T103 | SPONS ADS · Call | 22,700 | 34,500 | +11,800 | $113,000 | $119,000 | +$6,000 | 2014-05-21 | |
| Q4 2013 | ROYAL BK SCOTLAND GROUP PLC CUSIP 780097689 | SPONS ADR 20 ORD · Put | 1,700 | 2,200 | +500 | $20,000 | $25,000 | +$5,000 | 2014-05-21 | |
| Q4 2013 | SESA STERLITE LTD CUSIP 78413F103 | SPONSORED ADR · Call | 100 | 300 | +200 | $1,000 | $4,000 | +$3,000 | 2014-05-21 | |
| Q4 2013 | RENESOLA LTD CUSIP 75971T103 | SPONS ADS · Put | 2,400 | 2,600 | +200 | $12,000 | $9,000 | -$3,000 | 2014-05-21 | |
| Q4 2013 | GFI GOLD FIELDS LTD NEW | SPONSORED ADR · Call | 1,100 | 2,100 | +1,000 | $5,000 | $7,000 | +$2,000 | 2014-05-21 | |
| Q4 2013 | SIFY TECHNOLOGIES LIMITED CUSIP 82655M107 | SPONSORED ADR · Call | 1,600 | 2,400 | +800 | $3,000 | $5,000 | +$2,000 | 2014-05-21 | |
| Q4 2013 | FOCL EDAP TMS S A | SPONSORED ADR · Call | 200 | 600 | +400 | $1,000 | $2,000 | +$1,000 | 2014-05-21 |
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