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).
- MAXWELL TECHNOLOGIES INC: Country of operation —; Class COM · Put; Shares 2014-06-30 300; Shares 2014-09-30 1,000.
- ON ASSIGNMENT INC: Country of operation —; Class COM · Call; Shares 2014-06-30 100; Shares 2014-09-30 300.
- QUANTUM FUEL SYS TECH WORLDW: Country of operation —; Class COM PAR $0.02 · Call; Shares 2014-06-30 2,800; Shares 2014-09-30 3,100.
- 22ND CENTY GROUP INC: Country of operation —; Class COM · Put; Shares 2014-06-30 1,900; Shares 2014-09-30 3,900.
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 |
|---|
MAXWELL TECHNOLOGIES INC
CUSIP 577767106 | | COM · Put | 300 | 1,000 | +700 | $5,000 | $9,000 | +$4,000 |
|---|
ON ASSIGNMENT INC
CUSIP 682159108 | | COM · Call | 100 | 300 | +200 | $4,000 | $8,000 | +$4,000 |
|---|
QUANTUM FUEL SYS TECH WORLDW
CUSIP 74765E307 | | COM PAR $0.02 · Call | 2,800 | 3,100 | +300 | $16,000 | $12,000 | -$4,000 |
|---|
22ND CENTY GROUP INC
CUSIP 90137F103 | | COM · Put | 1,900 | 3,900 | +2,000 | $6,000 | $10,000 | +$4,000 |
|---|
CNP
CENTERPOINT ENERGY INC | United States | COM · Put | 300 | 500 | +200 | $8,000 | $12,000 | +$4,000 |
|---|
CORRECTIONS CORP AMER NEW
CUSIP 22025Y407 | | COM NEW · Call | 900 | 1,000 | +100 | $30,000 | $34,000 | +$4,000 |
|---|
EXAS
EXACT SCIENCES CORP | United States | COM · Put | 100 | 300 | +200 | $2,000 | $6,000 | +$4,000 |
|---|
ROADRUNNER TRNSN SVCS HLDG I
CUSIP 76973Q105 | | COM · Call | 200 | 400 | +200 | $6,000 | $9,000 | +$3,000 |
|---|
THRESHOLD PHARMACEUTICAL INC
CUSIP 885807206 | | COM NEW · Call | 2,700 | 4,000 | +1,300 | $11,000 | $14,000 | +$3,000 |
|---|
ROSETTA GENOMICS LTD
CUSIP M82183126 | | SHS NEW NIS 0.6 · Call | 300 | 1,000 | +700 | $1,000 | $4,000 | +$3,000 |
|---|
OUTERWALL INC
CUSIP 690070107 | | COM · Put | 2,600 | 2,800 | +200 | $154,000 | $157,000 | +$3,000 |
|---|
PROSHARES TR
CUSIP 74348A418 | | ULTRAPRO SH NW14 · Call | 100 | 200 | +100 | $4,000 | $7,000 | +$3,000 |
|---|
AEIS
ADVANCED ENERGY INDS | United States | COM · Put | 500 | 700 | +200 | $10,000 | $13,000 | +$3,000 |
|---|
CALX
CALIX INC | United States | COM · Call | 200 | 500 | +300 | $2,000 | $5,000 | +$3,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459Y686 | | DLY EMRGMKT BULL · Put | 3,400 | 3,800 | +400 | $105,000 | $102,000 | -$3,000 |
|---|
GULF RESOURCES INC
CUSIP 40251W309 | | COM PAR $0.0005 · Call | 600 | 2,500 | +1,900 | $1,000 | $4,000 | +$3,000 |
|---|
HARVEST NATURAL RESOURCES IN
CUSIP 41754V103 | | COM · Put | 800 | 1,800 | +1,000 | $4,000 | $7,000 | +$3,000 |
|---|
INTERSIL CORP
CUSIP 46069S109 | | CL A · Call | 3,000 | 3,400 | +400 | $45,000 | $48,000 | +$3,000 |
|---|
KFY
KORN FERRY INTL | United States | COM NEW · Call | 1,700 | 1,900 | +200 | $50,000 | $47,000 | -$3,000 |
|---|
STAR BULK CARRIERS CORP
CUSIP Y8162K121 | | SHS NEW · Call | 100 | 400 | +300 | $1,000 | $4,000 | +$3,000 |
|---|
AG
FIRST MAJESTIC SILVER CORP | | COM · Call | 4,500 | 5,900 | +1,400 | $49,000 | $46,000 | -$3,000 |
|---|
GNE
GENIE ENERGY LTD | United States | CL B · Call | 500 | 1,000 | +500 | $4,000 | $7,000 | +$3,000 |
|---|
LKQ
LKQ CORP | United States | COM · Put | 300 | 400 | +100 | $8,000 | $11,000 | +$3,000 |
|---|
MTZ
MASTEC INC | United States | COM · Put | 100 | 200 | +100 | $3,000 | $6,000 | +$3,000 |
|---|
MILLER ENERGY RES INC
CUSIP 600527105 | | COM · Put | 2,000 | 2,300 | +300 | $13,000 | $10,000 | -$3,000 |
|---|
AMEDISYS INC
CUSIP 023436108 | United States | COM · Call | 400 | 500 | +100 | $7,000 | $10,000 | +$3,000 |
|---|
AVD
AMERICAN VANGUARD CORP | United States | COM · Call | 500 | 900 | +400 | $7,000 | $10,000 | +$3,000 |
|---|
DURATA THERAPEUTICS INC
CUSIP 26658A107 | | COM · Call | 2,100 | 2,600 | +500 | $36,000 | $33,000 | -$3,000 |
|---|
TANGOE INC
CUSIP 87582Y108 | | COM · Call | 400 | 600 | +200 | $6,000 | $8,000 | +$2,000 |
|---|
U S ENERGY CORP WYO
CUSIP 911805109 | | COM · Call | 500 | 1,200 | +700 | $2,000 | $4,000 | +$2,000 |
|---|
NORTH ATLANTIC DRILLING LTD
CUSIP G6613P202 | | COM · Call | 3,100 | 4,600 | +1,500 | $33,000 | $31,000 | -$2,000 |
|---|
SCHNITZER STL INDS
CUSIP 806882106 | United States | CL A · Put | 200 | 300 | +100 | $5,000 | $7,000 | +$2,000 |
|---|
PCG
PG&E CORP | United States | COM · Put | 2,200 | 2,400 | +200 | $106,000 | $108,000 | +$2,000 |
|---|
BROCADE COMMUNICATIONS SYS I
CUSIP 111621306 | | COM NEW · Call | 600 | 700 | +100 | $6,000 | $8,000 | +$2,000 |
|---|
DIREXION SHS ETF TR
CUSIP 25459W789 | | DLY DEV MKT BULL · Put | 300 | 400 | +100 | $25,000 | $27,000 | +$2,000 |
|---|
HMS HLDGS CORP
CUSIP 40425J101 | | COM · Put | 300 | 400 | +100 | $6,000 | $8,000 | +$2,000 |
|---|
EWH
ISHARES | | MSCI HONG KG ETF · Call | 3,400 | 3,600 | +200 | $71,000 | $73,000 | +$2,000 |
|---|
HGGG
HHGREGG INC | United States | COM · Call | 100 | 400 | +300 | $1,000 | $3,000 | +$2,000 |
|---|
MONSTER WORLDWIDE INC
CUSIP 611742107 | | COM · Call | 3,500 | 3,800 | +300 | $23,000 | $21,000 | -$2,000 |
|---|
WHITING USA TR I
CUSIP 966389108 | | TR UNIT · Put | 1,400 | 1,800 | +400 | $3,000 | $5,000 | +$2,000 |
|---|
TWENTY FIRST CENTY FOX INC
CUSIP 90130A101 | | CL A · Call | 82,400 | 84,400 | +2,000 | $2,896,000 | $2,894,000 | -$2,000 |
|---|
ASSOCIATED ESTATES RLTY CORP
CUSIP 045604105 | | COM · Put | 500 | 600 | +100 | $9,000 | $11,000 | +$2,000 |
|---|
BLUCORA INC
CUSIP 095229100 | United States | COM · Call | 200 | 400 | +200 | $4,000 | $6,000 | +$2,000 |
|---|
CONTROL4 CORP
CUSIP 21240D107 | | COM · Put | 200 | 500 | +300 | $4,000 | $6,000 | +$2,000 |
|---|
DIANA CONTAINERSHIPS INC
CUSIP Y2069P101 | | COM · Call | 13,100 | 15,500 | +2,400 | $33,000 | $35,000 | +$2,000 |
|---|
DSX
DIANA SHIPPING INC | | COM · Call | 1,300 | 1,800 | +500 | $14,000 | $16,000 | +$2,000 |
|---|
MSB
MESABI TR | United States | CTF BEN INT · Put | 300 | 400 | +100 | $6,000 | $8,000 | +$2,000 |
|---|
BRIGHTCOVE INC
CUSIP 10921T101 | United States | COM · Call | 1,200 | 1,900 | +700 | $13,000 | $11,000 | -$2,000 |
|---|
DCO
DUCOMMUN INC DEL | United States | COM · Call | 100 | 200 | +100 | $3,000 | $5,000 | +$2,000 |
|---|
DYAX CORP
CUSIP 26746E103 | | COM · Put | 900 | 1,100 | +200 | $9,000 | $11,000 | +$2,000 |
|---|
U S ENERGY CORP WYO
CUSIP 911805109 | | COM · Put | 100 | 400 | +300 | $0 | $1,000 | +$1,000 |
|---|
NISKA GAS STORAGE PARTNERS L
CUSIP 654678101 | | UNIT LTD LIABI · Call | 500 | 600 | +100 | $8,000 | $7,000 | -$1,000 |
|---|
NG
NOVAGOLD RES INC | | COM NEW · Call | 5,000 | 7,300 | +2,300 | $21,000 | $22,000 | +$1,000 |
|---|
PPL
PPL CORP | United States | COM · Put | 4,500 | 4,900 | +400 | $160,000 | $161,000 | +$1,000 |
|---|
OCLARO INC
CUSIP 67555N206 | | COM NEW · Call | 1,000 | 1,900 | +900 | $2,000 | $3,000 | +$1,000 |
|---|
PARKERVISION INC
CUSIP 701354102 | | COM · Call | 5,500 | 6,500 | +1,000 | $8,000 | $7,000 | -$1,000 |
|---|
ZOGENIX INC
CUSIP 98978L105 | | COM · Call | 3,700 | 6,700 | +3,000 | $7,000 | $8,000 | +$1,000 |
|---|
SIX FLAGS ENTMT CORP NEW
CUSIP 83001A102 | United States | COM · Call | 200 | 300 | +100 | $9,000 | $10,000 | +$1,000 |
|---|
INVENSENSE INC
CUSIP 46123D205 | | COM · Put | 23,700 | 27,200 | +3,500 | $538,000 | $537,000 | -$1,000 |
|---|
KELYA
KELLY SVCS INC | United States | CL A · Put | 1,200 | 1,400 | +200 | $21,000 | $22,000 | +$1,000 |
|---|
POLYCOM INC
CUSIP 73172K104 | | COM · Call | 100 | 200 | +100 | $1,000 | $2,000 | +$1,000 |
|---|
SUPN
SUPERNUS PHARMACEUTICALS INC | United States | COM · Call | 800 | 900 | +100 | $9,000 | $8,000 | -$1,000 |
|---|
BIOTIME INC
CUSIP 09066L105 | | COM · Call | 1,300 | 1,500 | +200 | $4,000 | $5,000 | +$1,000 |
|---|
CORINTHIAN COLLEGES INC
CUSIP 218868107 | | COM · Call | 8,700 | 13,700 | +5,000 | $3,000 | $2,000 | -$1,000 |
|---|
ISTAR FINL INC
CUSIP 45031U101 | | COM · Call | 1,800 | 2,100 | +300 | $27,000 | $28,000 | +$1,000 |
|---|
MCCLATCHY CO
CUSIP 579489105 | | CL A · Call | 800 | 1,500 | +700 | $4,000 | $5,000 | +$1,000 |
|---|
ZAGG INC
CUSIP 98884U108 | | COM · Call | 200 | 400 | +200 | $1,000 | $2,000 | +$1,000 |
|---|
MITK
MITEK SYS INC | United States | COM NEW · Call | 2,000 | 2,600 | +600 | $7,000 | $6,000 | -$1,000 |
|---|
AMERICAN SUPERCONDUCTOR CORP
CUSIP 030111108 | | COM · Call | 3,600 | 4,900 | +1,300 | $6,000 | $7,000 | +$1,000 |
|---|
CYPRESS SEMICONDUCTOR CORP
CUSIP 232806109 | | COM · Put | 3,300 | 3,700 | +400 | $36,000 | $37,000 | +$1,000 |
|---|
TRIANGLE CAP CORP
CUSIP 895848109 | | COM · Put | 700 | 800 | +100 | $20,000 | $20,000 | $0 |
|---|
SEQUENOM INC
CUSIP 817337405 | | COM NEW · Call | 1,500 | 2,100 | +600 | $6,000 | $6,000 | $0 |
|---|
POWERSHS DB MULTI SECT COMM
CUSIP 73936B408 | | PS DB AGRICUL FD · Call | 14,900 | 16,000 | +1,100 | $409,000 | $409,000 | $0 |
|---|
NG
NOVAGOLD RES INC | | COM NEW · Put | 1,500 | 2,000 | +500 | $6,000 | $6,000 | $0 |
|---|
ACORN ENERGY INC
CUSIP 004848107 | | COM · Call | 1,200 | 1,700 | +500 | $3,000 | $3,000 | $0 |
|---|
EWA
ISHARES | | MSCI AUST ETF · Call | 1,900 | 2,100 | +200 | $50,000 | $50,000 | $0 |
|---|
VIVUS INC
CUSIP 928551100 | | COM · Put | 1,000 | 1,300 | +300 | $5,000 | $5,000 | $0 |
|---|
QUICKSILVER RESOURCES INC
CUSIP 74837R104 | | COM · Put | 500 | 1,800 | +1,300 | $1,000 | $1,000 | $0 |
|---|
DKS
DICKS SPORTING GOODS INC | United States | COM · Put | 3,300 | 3,500 | +200 | $154,000 | $154,000 | $0 |
|---|
DOCUMENT SEC SYS INC
CUSIP 25614T101 | | COM · Call | 4,300 | 7,000 | +2,700 | $6,000 | $6,000 | $0 |
|---|
LAB
FLUIDIGM CORP DEL | United States | COM · Call | 400 | 500 | +100 | $12,000 | $12,000 | $0 |
|---|
GENERAL MOLY INC
CUSIP 370373102 | | COM · Call | 4,100 | 7,200 | +3,100 | $5,000 | $5,000 | $0 |
|---|
INTERSECTIONS INC
CUSIP 460981301 | | COM · Put | 500 | 600 | +100 | $2,000 | $2,000 | $0 |
|---|
IMMUNOGEN INC
CUSIP 45253H101 | United States | COM · Put | 900 | 1,000 | +100 | $11,000 | $11,000 | $0 |
|---|
MITCHAM INDS INC
CUSIP 606501104 | | COM · Call | 600 | 700 | +100 | $8,000 | $8,000 | $0 |
|---|
ABRAXAS PETE CORP
CUSIP 003830106 | | COM · Call | 3,900 | 4,600 | +700 | $24,000 | $24,000 | $0 |
|---|
ADI
ANALOG DEVICES INC | United States | COM · Put | 2,300 | 2,500 | +200 | $124,000 | $124,000 | $0 |
|---|
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