UBS AG quarter change: USA Options, Added
In put and call options, at their filed underlying value (listed in the US), from the quarter ended 2014-06-30 to 2014-09-30, UBS AG opened 532 positions, added to 1,387, reduced 1,260, sold out of 663 and left 322 unchanged. The largest increase in value was SPY (+$1,263,307,000); the largest decrease was WY (-$473,426,000).
- VOC: Country of operation United States; Class TR UNIT · Call; Shares 2014-06-30 200; Shares 2014-09-30 900.
- ADVANTAGE OIL & GAS LTD: Country of operation —; Class COM · Put; Shares 2014-06-30 26,000; Shares 2014-09-30 36,000.
- CBT: Country of operation United States; Class COM · Call; Shares 2014-06-30 200; Shares 2014-09-30 400.
- PLOW: Country of operation United States; Class COM · Call; Shares 2014-06-30 100; Shares 2014-09-30 500.
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 |
|---|---|---|---|---|---|---|---|---|
| VOC VOC ENERGY TR | United States | TR UNIT · Call | 200 | 900 | +700 | $3,000 | $11,000 | +$8,000 |
| ADVANTAGE OIL & GAS LTD CUSIP 00765F101 | COM · Put | 26,000 | 36,000 | +10,000 | $175,000 | $183,000 | +$8,000 | |
| CBT CABOT CORP | United States | COM · Call | 200 | 400 | +200 | $12,000 | $20,000 | +$8,000 |
| PLOW DOUGLAS DYNAMICS INC | United States | COM · Call | 100 | 500 | +400 | $2,000 | $10,000 | +$8,000 |
| LXPXXXX LEXINGTON REALTY TRUST | United States | COM · Put | 10,000 | 10,400 | +400 | $110,000 | $102,000 | -$8,000 |
| MICROVISION INC DEL CUSIP 594960304 | United States | COM NEW · Call | 12,900 | 17,300 | +4,400 | $26,000 | $34,000 | +$8,000 |
| AVG TECHNOLOGIES N V CUSIP N07831105 | SHS · Call | 1,000 | 1,700 | +700 | $20,000 | $28,000 | +$8,000 | |
| ASYS AMTECH SYS INC | United States | COM PAR $0.01N · Call | 6,100 | 6,300 | +200 | $75,000 | $67,000 | -$8,000 |
| BNS BANK N S HALIFAX | COM · Call | 900 | 1,100 | +200 | $60,000 | $68,000 | +$8,000 | |
| BRIGGS & STRATTON CORP CUSIP 109043109 | COM · Put | 500 | 1,000 | +500 | $10,000 | $18,000 | +$8,000 | |
| CRAY INC CUSIP 225223304 | COM NEW · Put | 100 | 400 | +300 | $3,000 | $11,000 | +$8,000 | |
| ROCKET FUEL INC CUSIP 773111109 | COM · Call | 7,700 | 15,600 | +7,900 | $239,000 | $246,000 | +$7,000 | |
| RETAILMENOT INC CUSIP 76132B106 | COM SER 1 · Call | 400 | 1,100 | +700 | $11,000 | $18,000 | +$7,000 | |
| DNOW NOW INC | United States | COM · Call | 300 | 600 | +300 | $11,000 | $18,000 | +$7,000 |
| STAA STAAR SURGICAL CO | United States | COM PAR $0.01 · Call | 1,500 | 1,700 | +200 | $25,000 | $18,000 | -$7,000 |
| ARIAD PHARMACEUTICALS INC CUSIP 04033A100 | COM · Put | 12,200 | 13,100 | +900 | $78,000 | $71,000 | -$7,000 | |
| DAKT DAKTRONICS INC | United States | COM · Put | 700 | 1,200 | +500 | $8,000 | $15,000 | +$7,000 |
| H & E EQUIPMENT SERVICES INC CUSIP 404030108 | United States | COM · Call | 700 | 800 | +100 | $25,000 | $32,000 | +$7,000 |
| IGATE CORP CUSIP 45169U105 | COM · Call | 300 | 500 | +200 | $11,000 | $18,000 | +$7,000 | |
| JDS UNIPHASE CORP CUSIP 46612J507 | COM PAR $0.001 · Put | 5,000 | 5,400 | +400 | $62,000 | $69,000 | +$7,000 | |
| IPGP IPG PHOTONICS CORP | United States | COM · Put | 1,500 | 1,600 | +100 | $103,000 | $110,000 | +$7,000 |
| KEY KEYCORP NEW | United States | COM · Put | 5,400 | 6,300 | +900 | $77,000 | $84,000 | +$7,000 |
| PBPB POTBELLY CORP | United States | COM · Put | 400 | 1,100 | +700 | $6,000 | $13,000 | +$7,000 |
| QUICKSILVER RESOURCES INC CUSIP 74837R104 | COM · Call | 3,800 | 5,000 | +1,200 | $10,000 | $3,000 | -$7,000 | |
| AGIO AGIOS PHARMACEUTICALS INC | United States | COM · Call | 100 | 200 | +100 | $5,000 | $12,000 | +$7,000 |
| ALON USA PARTNERS LP CUSIP 02052T109 | UT LTDPART INT · Call | 300 | 700 | +400 | $5,000 | $12,000 | +$7,000 | |
| B/E AEROSPACE INC CUSIP 073302101 | COM · Put | 2,800 | 3,000 | +200 | $259,000 | $252,000 | -$7,000 | |
| DIREXION SHS ETF TR CUSIP 25459Y645 | DLY RUSSIA BUL · Put | 700 | 1,800 | +1,100 | $14,000 | $21,000 | +$7,000 | |
| ENTEROMEDICS INC CUSIP 29365M208 | COM NEW · Put | 2,100 | 7,900 | +5,800 | $3,000 | $10,000 | +$7,000 | |
| HERCULES OFFSHORE INC CUSIP 427093109 | COM · Call | 3,600 | 9,600 | +6,000 | $14,000 | $21,000 | +$7,000 | |
| MANH MANHATTAN ASSOCS INC | United States | COM · Call | 300 | 500 | +200 | $10,000 | $17,000 | +$7,000 |
| QUALITY SYS INC CUSIP 747582104 | COM · Call | 600 | 1,200 | +600 | $10,000 | $17,000 | +$7,000 | |
| AVT AVNET INC | United States | COM · Put | 2,200 | 2,500 | +300 | $97,000 | $104,000 | +$7,000 |
| RACKSPACE HOSTING INC CUSIP 750086100 | COM · Put | 2,800 | 3,100 | +300 | $94,000 | $101,000 | +$7,000 | |
| CORRECTIONS CORP AMER NEW CUSIP 22025Y407 | COM NEW · Put | 1,900 | 2,000 | +100 | $62,000 | $69,000 | +$7,000 | |
| TRV TRAVELERS COMPANIES INC | United States | COM · Call | 22,500 | 22,600 | +100 | $2,117,000 | $2,123,000 | +$6,000 |
| URSTADT BIDDLE PPTYS INC CUSIP 917286205 | CL A · Put | 200 | 500 | +300 | $4,000 | $10,000 | +$6,000 | |
| UIS UNISYS CORP | United States | COM NEW · Call | 700 | 1,000 | +300 | $17,000 | $23,000 | +$6,000 |
| SOLAZYME INC CUSIP 83415T101 | COM · Put | 2,600 | 3,300 | +700 | $31,000 | $25,000 | -$6,000 | |
| NUVERRA ENVIRONMENTAL SOLUTI CUSIP 67091K203 | COM NEW · Put | 4,000 | 5,000 | +1,000 | $80,000 | $74,000 | -$6,000 | |
| SHIP FINANCE INTERNATIONAL L CUSIP G81075106 | SHS · Put | 2,700 | 3,300 | +600 | $50,000 | $56,000 | +$6,000 | |
| RES RPC INC | United States | COM · Call | 300 | 600 | +300 | $7,000 | $13,000 | +$6,000 |
| ALIMERA SCIENCES INC CUSIP 016259103 | COM · Put | 2,500 | 3,900 | +1,400 | $15,000 | $21,000 | +$6,000 | |
| CMI CUMMINS INC | United States | COM · Call | 3,300 | 3,900 | +600 | $509,000 | $515,000 | +$6,000 |
| INFOBLOX INC CUSIP 45672H104 | COM · Call | 700 | 1,000 | +300 | $9,000 | $15,000 | +$6,000 | |
| HOLLYSYS AUTOMATION TECHNOLO CUSIP G45667105 | SHS · Call | 300 | 600 | +300 | $7,000 | $13,000 | +$6,000 | |
| KELYA KELLY SVCS INC | United States | CL A · Call | 1,200 | 1,700 | +500 | $21,000 | $27,000 | +$6,000 |
| NATURAL RESOURCE PARTNERS L CUSIP 63900P103 | COM UNIT L P · Put | 2,000 | 3,000 | +1,000 | $33,000 | $39,000 | +$6,000 | |
| NEENAH PAPER INC CUSIP 640079109 | COM · Call | 100 | 200 | +100 | $5,000 | $11,000 | +$6,000 | |
| WEB COM GROUP INC CUSIP 94733A104 | COM · Put | 500 | 1,000 | +500 | $14,000 | $20,000 | +$6,000 | |
| WESTMORELAND COAL CO CUSIP 960878106 | COM · Call | 2,200 | 2,300 | +100 | $80,000 | $86,000 | +$6,000 | |
| ADVAXIS INC CUSIP 007624208 | COM NEW · Call | 500 | 2,400 | +1,900 | $2,000 | $8,000 | +$6,000 | |
| BASIC ENERGY SVCS INC NEW CUSIP 06985P100 | COM · Call | 300 | 700 | +400 | $9,000 | $15,000 | +$6,000 | |
| CHINA BAK BATTERY INC CUSIP 16936Y209 | COM NEW · Call | 400 | 2,200 | +1,800 | $1,000 | $7,000 | +$6,000 | |
| CBOE CBOE HLDGS INC | United States | COM · Put | 100 | 200 | +100 | $5,000 | $11,000 | +$6,000 |
| C&J ENERGY SVCS INC CUSIP 12467B304 | COM · Call | 100 | 300 | +200 | $3,000 | $9,000 | +$6,000 | |
| FIFTH STREET FINANCE CORP CUSIP 31678A103 | COM · Put | 800 | 1,500 | +700 | $8,000 | $14,000 | +$6,000 | |
| IMPAX LABORATORIES INC CUSIP 45256B101 | COM · Call | 100 | 400 | +300 | $3,000 | $9,000 | +$6,000 | |
| QEP RES INC CUSIP 74733V100 | COM · Put | 100 | 300 | +200 | $3,000 | $9,000 | +$6,000 | |
| WEN WENDYS CO | United States | COM · Call | 119,300 | 122,500 | +3,200 | $1,018,000 | $1,012,000 | -$6,000 |
| STKL SUNOPTA INC | COM · Call | 400 | 1,000 | +600 | $6,000 | $12,000 | +$6,000 | |
| AMCX AMC NETWORKS INC | United States | CL A · Put | 3,700 | 3,800 | +100 | $228,000 | $222,000 | -$6,000 |
| AEROPOSTALE CUSIP 007865108 | COM · Put | 25,600 | 28,800 | +3,200 | $89,000 | $95,000 | +$6,000 | |
| BANK OF THE OZARKS INC CUSIP 063904106 | COM · Put | 200 | 400 | +200 | $7,000 | $13,000 | +$6,000 | |
| EBIX INC CUSIP 278715206 | United States | COM NEW · Call | 100 | 500 | +400 | $1,000 | $7,000 | +$6,000 |
| RAPTOR PHARMACEUTICAL CORP CUSIP 75382F106 | COM · Call | 1,300 | 2,100 | +800 | $15,000 | $20,000 | +$5,000 | |
| EGY VAALCO ENERGY INC | United States | COM NEW · Call | 900 | 1,400 | +500 | $7,000 | $12,000 | +$5,000 |
| PETS PETMED EXPRESS INC | United States | COM · Put | 3,000 | 3,300 | +300 | $40,000 | $45,000 | +$5,000 |
| DNOW NOW INC | United States | COM · Put | 200 | 400 | +200 | $7,000 | $12,000 | +$5,000 |
| ACURA PHARMACEUTICALS INC CUSIP 00509L703 | COM NEW · Call | 4,500 | 12,900 | +8,400 | $5,000 | $10,000 | +$5,000 | |
| ELLINGTON FINANCIAL LLC CUSIP 288522303 | COM · Put | 1,000 | 1,300 | +300 | $24,000 | $29,000 | +$5,000 | |
| EEFT EURONET WORLDWIDE INC | United States | COM · Call | 100 | 200 | +100 | $5,000 | $10,000 | +$5,000 |
| MEMORIAL PRODTN PARTNERS LP CUSIP 586048100 | COM U REP LTD · Call | 6,400 | 6,800 | +400 | $155,000 | $150,000 | -$5,000 | |
| BROWN SHOE INC NEW CUSIP 115736100 | COM · Put | 300 | 500 | +200 | $9,000 | $14,000 | +$5,000 | |
| CHH CHOICE HOTELS INTL INC | United States | COM · Call | 100 | 200 | +100 | $5,000 | $10,000 | +$5,000 |
| DIREXION SHS ETF TR CUSIP 25459Y561 | DLY JR GMNR BEAR · Call | 200 | 400 | +200 | $2,000 | $7,000 | +$5,000 | |
| IPG INTERPUBLIC GROUP COS INC | United States | COM · Call | 18,800 | 20,300 | +1,500 | $367,000 | $372,000 | +$5,000 |
| LNN LINDSAY CORP | United States | COM · Put | 300 | 400 | +100 | $25,000 | $30,000 | +$5,000 |
| TSAKOS ENERGY NAVIGATION LTD CUSIP G9108L108 | SHS · Call | 200 | 900 | +700 | $1,000 | $6,000 | +$5,000 | |
| MOV MOVADO GROUP INC | United States | COM · Call | 900 | 1,300 | +400 | $38,000 | $43,000 | +$5,000 |
| PBI PITNEY BOWES INC | United States | COM · Put | 900 | 1,200 | +300 | $25,000 | $30,000 | +$5,000 |
| ATMEL CORP CUSIP 049513104 | COM · Put | 900 | 1,600 | +700 | $8,000 | $13,000 | +$5,000 | |
| CAREFUSION CORP CUSIP 14170T101 | COM · Call | 900 | 1,000 | +100 | $40,000 | $45,000 | +$5,000 | |
| CPRX CATALYST PHARM PARTNERS INC | United States | COM · Put | 400 | 1,900 | +1,500 | $1,000 | $6,000 | +$5,000 |
| ENPH ENPHASE ENERGY INC | United States | COM · Put | 400 | 500 | +100 | $3,000 | $8,000 | +$5,000 |
| PCTY PAYLOCITY HLDG CORP | United States | COM · Call | 100 | 300 | +200 | $2,000 | $6,000 | +$4,000 |
| SILVER STD RES INC CUSIP 82823L106 | COM · Put | 6,100 | 8,100 | +2,000 | $53,000 | $49,000 | -$4,000 | |
| SPR SPIRIT AEROSYSTEMS HLDGS INC | United States | COM CL A · Call | 200 | 300 | +100 | $7,000 | $11,000 | +$4,000 |
| SFM SPROUTS FMRS MKT INC | United States | COM · Put | 400 | 600 | +200 | $13,000 | $17,000 | +$4,000 |
| PAAS PAN AMERICAN SILVER CORP | COM · Put | 12,700 | 17,400 | +4,700 | $195,000 | $191,000 | -$4,000 | |
| PARKER DRILLING CO CUSIP 701081101 | COM · Call | 2,000 | 3,400 | +1,400 | $13,000 | $17,000 | +$4,000 | |
| ZTS ZOETIS INC | United States | CL A · Put | 100 | 200 | +100 | $3,000 | $7,000 | +$4,000 |
| FERRO CORP CUSIP 315405100 | COM · Put | 800 | 1,000 | +200 | $10,000 | $14,000 | +$4,000 | |
| HOMEAWAY INC CUSIP 43739Q100 | COM · Put | 700 | 800 | +100 | $24,000 | $28,000 | +$4,000 | |
| ALK ALASKA AIR GROUP INC | United States | COM · Put | 500 | 1,000 | +500 | $48,000 | $44,000 | -$4,000 |
| ARCO ARCOS DORADOS HOLDINGS INC | SHS CLASS -A - · Call | 600 | 1,900 | +1,300 | $7,000 | $11,000 | +$4,000 | |
| CAPITAL SR LIVING CORP CUSIP 140475104 | COM · Put | 300 | 500 | +200 | $7,000 | $11,000 | +$4,000 | |
| ERII ENERGY RECOVERY INC | United States | COM · Call | 2,000 | 3,900 | +1,900 | $10,000 | $14,000 | +$4,000 |
| KBR KBR INC | United States | COM · Call | 3,100 | 3,700 | +600 | $74,000 | $70,000 | -$4,000 |
| LQDT LIQUIDITY SERVICES INC | United States | COM · Put | 1,200 | 1,700 | +500 | $19,000 | $23,000 | +$4,000 |
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