UBS AG quarter change: Foreign Options, Added
In put and call options, at their filed underlying value (depositary receipts and foreign shares traded over the counter), from the quarter ended 2014-06-30 to 2014-09-30, UBS AG opened 40 positions, added to 104, reduced 109, sold out of 49 and left 19 unchanged. The largest increase in value was BIDU (+$154,217,000); the largest decrease was TEVA (-$53,920,000).
- BIDU: Country of operation —; Class SPON ADR REP A · Call; Shares 2014-06-30 190,560; Shares 2014-09-30 869,800.
- BIDU: Country of operation —; Class SPON ADR REP A · Put; Shares 2014-06-30 239,700; Shares 2014-09-30 517,400.
- TEVA: Country of operation —; Class ADR · Put; Shares 2014-06-30 185,800; Shares 2014-09-30 1,389,100.
- QIHOO 360 TECHNOLOGY CO LTD: Country of operation —; Class ADS · Put; Shares 2014-06-30 12,600; Shares 2014-09-30 752,435.
Two Form 13F-HR filings compared (SEC CIK 1114446): 2014-06-30 (filed 2014-08-14) and 2014-09-30 (filed 2014-11-12). 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; share change is the position change.
| Stock | Country of operation | Class | Shares 2014-06-30 | Shares 2014-09-30 | Share change | Value 2014-06-30 | Value 2014-09-30 | Value change |
|---|---|---|---|---|---|---|---|---|
| BIDU BAIDU INC | SPON ADR REP A · Call | 190,560 | 869,800 | +679,240 | $35,599,000 | $189,816,000 | +$154,217,000 | |
| BIDU BAIDU INC | SPON ADR REP A · Put | 239,700 | 517,400 | +277,700 | $44,778,000 | $112,912,000 | +$68,134,000 | |
| TEVA TEVA PHARMACEUTICAL INDS LTD | ADR · Put | 185,800 | 1,389,100 | +1,203,300 | $9,740,000 | $74,664,000 | +$64,924,000 | |
| QIHOO 360 TECHNOLOGY CO LTD CUSIP 74734M109 | ADS · Put | 12,600 | 752,435 | +739,835 | $1,160,000 | $50,767,000 | +$49,607,000 | |
| PBR PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR · Call | 1,692,425 | 3,949,700 | +2,257,275 | $24,760,000 | $56,046,000 | +$31,286,000 | |
| RIO RIO TINTO PLC | SPONSORED ADR · Put | 58,900 | 608,600 | +549,700 | $3,197,000 | $29,931,000 | +$26,734,000 | |
| NQ MOBILE INC CUSIP 64118U108 | ADR REPSTG CL A · Call | 1,646,500 | 4,816,300 | +3,169,800 | $10,110,000 | $33,570,000 | +$23,460,000 | |
| IBN ICICI BK LTD | ADR · Put | 62,100 | 511,000 | +448,900 | $3,099,000 | $25,090,000 | +$21,991,000 | |
| PBR PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR · Put | 732,500 | 1,946,600 | +1,214,100 | $10,716,000 | $27,622,000 | +$16,906,000 | |
| CX CEMEX SAB DE CV | SPON ADR NEW · Put | 112,972 | 930,452 | +817,480 | $1,495,000 | $12,133,000 | +$10,638,000 | |
| VALE VALE S A | ADR · Put | 1,173,400 | 2,352,800 | +1,179,400 | $15,524,000 | $25,904,000 | +$10,380,000 | |
| MEDTRONIC INC CUSIP 585055106 | COM · Put | 27,029 | 169,400 | +142,371 | $1,723,000 | $10,494,000 | +$8,771,000 | |
| MINDRAY MEDICAL INTL LTD CUSIP 602675100 | SPON ADR · Put | 162,700 | 400,000 | +237,300 | $5,125,000 | $12,064,000 | +$6,939,000 | |
| BBD BANCO BRADESCO S A | SP ADR PFD NEW · Call | 31,300 | 471,000 | +439,700 | $454,000 | $6,712,000 | +$6,258,000 | |
| YPF YPF SOCIEDAD ANONIMA | SPON ADR CL D · Put | 168,600 | 266,000 | +97,400 | $5,510,000 | $9,839,000 | +$4,329,000 | |
| QIHOO 360 TECHNOLOGY CO LTD CUSIP 74734M109 | ADS · Call | 64,500 | 150,600 | +86,100 | $5,937,000 | $10,161,000 | +$4,224,000 | |
| QIWI PLC CUSIP 74735M108 | SPON ADR REP B · Put | 200 | 75,600 | +75,400 | $8,000 | $2,388,000 | +$2,380,000 | |
| SAN BANCO SANTANDER SA | ADR · Put | 268,200 | 544,600 | +276,400 | $2,795,000 | $5,174,000 | +$2,379,000 | |
| BP BP PLC | SPONSORED ADR · Put | 60,800 | 118,300 | +57,500 | $3,207,000 | $5,199,000 | +$1,992,000 | |
| ANGLOGOLD ASHANTI LTD CUSIP 035128206 | SPONSORED ADR · Call | 367,100 | 369,400 | +2,300 | $6,318,000 | $4,433,000 | -$1,885,000 | |
| YPF YPF SOCIEDAD ANONIMA | SPON ADR CL D · Call | 181,700 | 203,100 | +21,400 | $5,938,000 | $7,513,000 | +$1,575,000 | |
| WB WEIBO CORP | SPONSORED ADR · Put | 800 | 66,300 | +65,500 | $16,000 | $1,239,000 | +$1,223,000 | |
| ANGLOGOLD ASHANTI LTD CUSIP 035128206 | SPONSORED ADR · Put | 900 | 100,800 | +99,900 | $15,000 | $1,210,000 | +$1,195,000 | |
| HIMX HIMAX TECHNOLOGIES INC | SPONSORED ADR · Call | 168,200 | 223,500 | +55,300 | $1,154,000 | $2,269,000 | +$1,115,000 | |
| MEDTRONIC INC CUSIP 585055106 | COM · Call | 24,100 | 36,200 | +12,100 | $1,537,000 | $2,242,000 | +$705,000 | |
| BCS BARCLAYS PLC | ADR · Put | 18,800 | 62,900 | +44,100 | $275,000 | $932,000 | +$657,000 | |
| CHINACACHE INTL HLDG LTD CUSIP 16950M107 | SPON ADR · Call | 351,600 | 354,400 | +2,800 | $5,499,000 | $4,884,000 | -$615,000 | |
| IEP ICAHN ENTERPRISES LP | United States | DEPOSITARY UNIT · Call | 6,400 | 11,200 | +4,800 | $638,000 | $1,185,000 | +$547,000 |
| MLCO MELCO CROWN ENTMT LTD | ADR · Call | 75,600 | 82,086 | +6,486 | $2,700,000 | $2,158,000 | -$542,000 | |
| HMY HARMONY GOLD MNG LTD | SPONSORED ADR · Put | 564,800 | 580,700 | +15,900 | $1,677,000 | $1,254,000 | -$423,000 | |
| SGMOQ SANGAMO BIOSCIENCES INC | United States | COM · Call | 6,000 | 46,800 | +40,800 | $92,000 | $505,000 | +$413,000 |
| E HOUSE CHINA HLDGS LTD CUSIP 26852W103 | ADR · Put | 500 | 43,000 | +42,500 | $4,000 | $409,000 | +$405,000 | |
| INFY INFOSYS LTD | SPONSORED ADR · Call | 24,900 | 28,000 | +3,100 | $1,339,000 | $1,694,000 | +$355,000 | |
| BHP BHP BILLITON LTD | SPONSORED ADR · Call | 15,900 | 24,100 | +8,200 | $1,088,000 | $1,419,000 | +$331,000 | |
| NOAH NOAH HLDGS LTD | SPONSORED ADS · Call | 1,300 | 22,900 | +21,600 | $18,000 | $307,000 | +$289,000 | |
| NOK NOKIA CORP | SPONSORED ADR · Call | 600 | 34,400 | +33,800 | $5,000 | $291,000 | +$286,000 | |
| BITAUTO HLDGS LTD CUSIP 091727107 | SPONSORED ADS · Put | 1,400 | 4,000 | +2,600 | $68,000 | $312,000 | +$244,000 | |
| TOTAL S A CUSIP 89151E109 | SPONSORED ADR · Put | 4,200 | 8,400 | +4,200 | $303,000 | $541,000 | +$238,000 | |
| NATIONAL GRID PLC CUSIP 636274300 | SPON ADR NEW · Put | 200 | 3,200 | +3,000 | $15,000 | $230,000 | +$215,000 | |
| BITAUTO HLDGS LTD CUSIP 091727107 | SPONSORED ADS · Call | 1,400 | 3,600 | +2,200 | $68,000 | $281,000 | +$213,000 | |
| RANDGOLD RES LTD CUSIP 752344309 | ADR · Put | 1,300 | 4,600 | +3,300 | $110,000 | $311,000 | +$201,000 | |
| BUD ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR · Call | 700 | 2,400 | +1,700 | $80,000 | $266,000 | +$186,000 | |
| NVO NOVO-NORDISK A S | ADR · Call | 600 | 4,400 | +3,800 | $28,000 | $210,000 | +$182,000 | |
| SYNGENTA AG CUSIP 87160A100 | SPONSORED ADR · Call | 500 | 3,400 | +2,900 | $37,000 | $215,000 | +$178,000 | |
| SKY-MOBI LTD CUSIP 83084G109 | SPONSORED ADS · Call | 86,300 | 109,600 | +23,300 | $715,000 | $891,000 | +$176,000 | |
| RANDGOLD RES LTD CUSIP 752344309 | ADR · Call | 4,000 | 7,600 | +3,600 | $338,000 | $514,000 | +$176,000 | |
| GLAXOSMITHKLINE PLC CUSIP 37733W105 | SPONSORED ADR · Put | 9,100 | 14,400 | +5,300 | $487,000 | $662,000 | +$175,000 | |
| ORANY ORANGE | France | SPONSORED ADR · Call | 500 | 12,100 | +11,600 | $8,000 | $178,000 | +$170,000 |
| GLAXOSMITHKLINE PLC CUSIP 37733W105 | SPONSORED ADR · Call | 8,200 | 12,400 | +4,200 | $439,000 | $570,000 | +$131,000 | |
| E HOUSE CHINA HLDGS LTD CUSIP 26852W103 | ADR · Call | 500 | 13,600 | +13,100 | $4,000 | $129,000 | +$125,000 | |
| SAN BANCO SANTANDER SA | ADR · Call | 32,000 | 48,200 | +16,200 | $333,000 | $458,000 | +$125,000 | |
| SIMO SILICON MOTION TECHNOLOGY CO | SPONSORED ADR · Call | 1,500 | 5,600 | +4,100 | $31,000 | $151,000 | +$120,000 | |
| BHP BHP BILLITON LTD | SPONSORED ADR · Put | 5,800 | 8,600 | +2,800 | $397,000 | $506,000 | +$109,000 | |
| CRITEO S A CUSIP 226718104 | SPONS ADS · Call | 300 | 3,500 | +3,200 | $10,000 | $118,000 | +$108,000 | |
| SONY SONY CORP | ADR NEW · Call | 9,700 | 14,600 | +4,900 | $163,000 | $263,000 | +$100,000 | |
| AMERICA MOVIL SAB DE CV CUSIP 02364W105 | SPON ADR L SHS · Call | 2,600 | 5,700 | +3,100 | $54,000 | $144,000 | +$90,000 | |
| SHIRE PLC CUSIP 82481R106 | SPONSORED ADR · Put | 200 | 500 | +300 | $47,000 | $130,000 | +$83,000 | |
| VOD VODAFONE GROUP PLC NEW | SPNSR ADR NO PAR · Put | 171,000 | 171,100 | +100 | $5,710,000 | $5,627,000 | -$83,000 | |
| WB WEIBO CORP | SPONSORED ADR · Call | 300 | 4,600 | +4,300 | $6,000 | $86,000 | +$80,000 | |
| JD JD COM INC | SPON ADR CL A · Call | 600 | 3,600 | +3,000 | $17,000 | $93,000 | +$76,000 | |
| TRINA SOLAR LIMITED CUSIP 89628E104 | SPON ADR · Call | 6,800 | 13,400 | +6,600 | $87,000 | $162,000 | +$75,000 | |
| LNWO SCIENTIFIC GAMES CORP | United States | CL A · Call | 1,700 | 8,700 | +7,000 | $19,000 | $94,000 | +$75,000 |
| VNET 21VIANET GROUP INC | SPONSORED ADR · Call | 100 | 3,900 | +3,800 | $3,000 | $70,000 | +$67,000 | |
| TSM TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR · Call | 5,800 | 9,300 | +3,500 | $124,000 | $188,000 | +$64,000 | |
| TATA MTRS LTD CUSIP 876568502 | SPONSORED ADR · Call | 5,000 | 5,900 | +900 | $195,000 | $258,000 | +$63,000 | |
| ERIC ERICSSON | ADR B SEK 10 · Call | 3,600 | 8,300 | +4,700 | $43,000 | $105,000 | +$62,000 | |
| IEP ICAHN ENTERPRISES LP | United States | DEPOSITARY UNIT · Put | 3,000 | 3,400 | +400 | $299,000 | $360,000 | +$61,000 |
| BHP BILLITON PLC CUSIP 05545E209 | SPONSORED ADR · Call | 100 | 1,000 | +900 | $7,000 | $56,000 | +$49,000 | |
| GLOBE SPECIALTY METALS INC CUSIP 37954N206 | COM · Call | 400 | 2,900 | +2,500 | $8,000 | $53,000 | +$45,000 | |
| BVN COMPANIA DE MINAS BUENAVENTU | SPONSORED ADR · Call | 5,000 | 8,800 | +3,800 | $59,000 | $102,000 | +$43,000 | |
| CREDIT SUISSE GROUP CUSIP 225401108 | SPONSORED ADR · Call | 2,000 | 3,200 | +1,200 | $57,000 | $88,000 | +$31,000 | |
| ATHM AUTOHOME INC | SP ADR RP CL A · Call | 600 | 1,200 | +600 | $21,000 | $50,000 | +$29,000 | |
| JA SOLAR HOLDINGS CO LTD CUSIP 466090206 | SPON ADR REP5ORD · Call | 1,000 | 4,100 | +3,100 | $11,000 | $38,000 | +$27,000 | |
| AMARIN CORP PLC CUSIP 023111206 | SPONS ADR NEW · Call | 45,000 | 47,300 | +2,300 | $79,000 | $52,000 | -$27,000 | |
| ASTRAZENECA PLC CUSIP 046353108 | SPONSORED ADR · Put | 1,600 | 2,000 | +400 | $119,000 | $143,000 | +$24,000 | |
| E-COMMERCE CHINA DANGDANG IN CUSIP 26833A105 | SPN ADS COM A · Put | 20,000 | 20,100 | +100 | $268,000 | $245,000 | -$23,000 | |
| CHINA FIN ONLINE CO LTD CUSIP 169379104 | SPONSORED ADR · Call | 1,000 | 2,900 | +1,900 | $4,000 | $20,000 | +$16,000 | |
| ADVANCED SEMICONDUCTOR ENGR CUSIP 00756M404 | SPONSORED ADR · Call | 300 | 2,800 | +2,500 | $2,000 | $17,000 | +$15,000 | |
| SSL SASOL LTD | SPONSORED ADR · Put | 300 | 500 | +200 | $18,000 | $27,000 | +$9,000 | |
| GGB GERDAU S A | SPON ADR REP PFD · Put | 13,900 | 15,200 | +1,300 | $82,000 | $73,000 | -$9,000 | |
| NTPIF NAM TAI PPTY INC | British Virgin Islands | SHS · Put | 300 | 1,800 | +1,500 | $2,000 | $11,000 | +$9,000 |
| ABEV AMBEV SA | SPONSORED ADR · Call | 1,000 | 2,450 | +1,450 | $7,000 | $16,000 | +$9,000 | |
| NEW ORIENTAL ED & TECH GRP I CUSIP 647581107 | SPON ADR · Call | 5,000 | 5,400 | +400 | $133,000 | $125,000 | -$8,000 | |
| XINYUAN REAL ESTATE CO LTD CUSIP 98417P105 | SPONS ADR · Call | 4,300 | 9,000 | +4,700 | $18,000 | $26,000 | +$8,000 | |
| SID COMPANHIA SIDERURGICA NACION | SPONSORED ADR · Call | 8,200 | 12,200 | +4,000 | $35,000 | $43,000 | +$8,000 | |
| ULXXXX UNILEVER PLC | SPON ADR NEW · Call | 1,700 | 2,000 | +300 | $77,000 | $84,000 | +$7,000 | |
| TELFY TELEFONICA S A | Spain | SPONSORED ADR · Call | 3,000 | 3,700 | +700 | $51,000 | $57,000 | +$6,000 |
| GFI GOLD FIELDS LTD NEW | SPONSORED ADR · Call | 5,500 | 6,700 | +1,200 | $20,000 | $26,000 | +$6,000 | |
| ABBNY ABB LTD | Switzerland | SPONSORED ADR · Call | 1,300 | 1,600 | +300 | $30,000 | $36,000 | +$6,000 |
| IRELAND BK CUSIP 46267Q202 | SPNSRD ADR NEW · Call | 500 | 700 | +200 | $7,000 | $11,000 | +$4,000 | |
| ALCATEL-LUCENT CUSIP 013904305 | SPONSORED ADR · Put | 34,600 | 39,200 | +4,600 | $123,000 | $119,000 | -$4,000 | |
| PRANA BIOTECHNOLOGY LTD CUSIP 739727105 | SPONSORED ADR · Call | 2,800 | 4,300 | +1,500 | $6,000 | $9,000 | +$3,000 | |
| CORESITE RLTY CORP CUSIP 21870Q105 | COM · Call | 600 | 700 | +100 | $20,000 | $23,000 | +$3,000 | |
| REEMF RARE ELEMENT RES LTD | United States | COM · Call | 3,200 | 3,700 | +500 | $4,000 | $2,000 | -$2,000 |
| JD JD COM INC | SPON ADR CL A · Put | 100 | 200 | +100 | $3,000 | $5,000 | +$2,000 | |
| LIGHTINTHEBOX HLDG CO LTD CUSIP 53225G102 | SPONSORED ADR · Call | 100 | 500 | +400 | $1,000 | $3,000 | +$2,000 | |
| SIFY TECHNOLOGIES LIMITED CUSIP 82655M107 | SPONSORED ADR · Call | 400 | 800 | +400 | $1,000 | $2,000 | +$1,000 | |
| NWBO NORTHWEST BIOTHERAPEUTICS IN | United States | COM PAR $0.001 · Put | 7,900 | 10,800 | +2,900 | $53,000 | $54,000 | +$1,000 |
| SBS COMPANHIA DE SANEAMENTO BASI | SPONSORED ADR · Put | 400 | 600 | +200 | $4,000 | $5,000 | +$1,000 | |
| JKS JINKOSOLAR HLDG CO LTD | SPONSORED ADR · Call | 3,500 | 3,900 | +400 | $106,000 | $107,000 | +$1,000 |
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