UBS AG quarter change: USA Options, Reduced
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).
- VWO: Country of operation —; Class FTSE EMR MKT ETF · Call; Shares 2014-06-30 452,000; Shares 2014-09-30 290,800.
- NUANCE COMMUNICATIONS INC: Country of operation —; Class COM · Call; Shares 2014-06-30 630,100; Shares 2014-09-30 290,800.
- XLP: Country of operation —; Class SBI CONS STPLS · Call; Shares 2014-06-30 164,500; Shares 2014-09-30 3,100.
- CREE INC: Country of operation —; Class COM · Call; Shares 2014-06-30 503,400; Shares 2014-09-30 439,300.
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 |
|---|---|---|---|---|---|---|---|---|
| VWO VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF · Call | 452,000 | 290,800 | -161,200 | $19,495,000 | $12,129,000 | -$7,366,000 | |
| NUANCE COMMUNICATIONS INC CUSIP 67020Y100 | COM · Call | 630,100 | 290,800 | -339,300 | $11,827,000 | $4,483,000 | -$7,344,000 | |
| XLP SELECT SECTOR SPDR TR | SBI CONS STPLS · Call | 164,500 | 3,100 | -161,400 | $7,340,000 | $140,000 | -$7,200,000 | |
| CREE INC CUSIP 225447101 | COM · Call | 503,400 | 439,300 | -64,100 | $25,145,000 | $17,989,000 | -$7,156,000 | |
| PEG PUBLIC SVC ENTERPRISE GROUP | United States | COM · Call | 175,100 | 900 | -174,200 | $7,142,000 | $34,000 | -$7,108,000 |
| FINISAR CORP CUSIP 31787A507 | COM NEW · Put | 356,200 | 1,700 | -354,500 | $7,035,000 | $28,000 | -$7,007,000 | |
| PRAXAIR INC CUSIP 74005P104 | COM · Call | 61,300 | 9,100 | -52,200 | $8,143,000 | $1,174,000 | -$6,969,000 | |
| VECO VEECO INSTRS INC DEL | United States | COM · Call | 184,100 | 1,500 | -182,600 | $6,860,000 | $52,000 | -$6,808,000 |
| IBM INTERNATIONAL BUSINESS MACHS | United States | COM · Put | 150,600 | 108,300 | -42,300 | $27,299,000 | $20,559,000 | -$6,740,000 |
| GRACE W R & CO DEL NEW CUSIP 38388F108 | COM · Call | 71,625 | 400 | -71,225 | $6,771,000 | $36,000 | -$6,735,000 | |
| JNJ JOHNSON & JOHNSON | United States | COM · Call | 138,802 | 73,102 | -65,700 | $14,521,000 | $7,792,000 | -$6,729,000 |
| THE ADT CORPORATION CUSIP 00101J106 | COM · Put | 196,300 | 4,500 | -191,800 | $6,859,000 | $160,000 | -$6,699,000 | |
| CENTURYLINK INC CUSIP 156700106 | COM · Put | 420,100 | 211,600 | -208,500 | $15,208,000 | $8,653,000 | -$6,555,000 | |
| SPECTRA ENERGY CORP CUSIP 847560109 | COM · Call | 272,800 | 131,200 | -141,600 | $11,589,000 | $5,151,000 | -$6,438,000 | |
| ENSCO PLC CUSIP G3157S106 | SHS CLASS A · Call | 435,400 | 433,500 | -1,900 | $24,195,000 | $17,908,000 | -$6,287,000 | |
| PFE PFIZER INC | United States | COM · Call | 1,101,400 | 896,624 | -204,776 | $32,690,000 | $26,513,000 | -$6,177,000 |
| ATLAS ENERGY LP CUSIP 04930A104 | COM UNITS LP · Call | 168,000 | 31,400 | -136,600 | $7,540,000 | $1,382,000 | -$6,158,000 | |
| JOHNSON CTLS INC CUSIP 478366107 | COM · Call | 137,600 | 16,900 | -120,700 | $6,870,000 | $744,000 | -$6,126,000 | |
| NTAP NETAPP INC | United States | COM · Call | 181,900 | 15,300 | -166,600 | $6,643,000 | $657,000 | -$5,986,000 |
| FXI ISHARES TR | CHINA LG-CAP ETF · Put | 5,131,100 | 5,116,800 | -14,300 | $190,056,000 | $195,871,000 | +$5,815,000 | |
| WHOLE FOODS MKT INC CUSIP 966837106 | COM · Put | 703,000 | 562,300 | -140,700 | $27,157,000 | $21,429,000 | -$5,728,000 | |
| CROWN CASTLE INTL CORP CUSIP 228227104 | COM · Call | 78,000 | 1,300 | -76,700 | $5,792,000 | $105,000 | -$5,687,000 | |
| INTEROIL CORP CUSIP 460951106 | COM · Put | 194,400 | 125,000 | -69,400 | $12,430,000 | $6,783,000 | -$5,647,000 | |
| TMUS T-MOBILE US INC | United States | COM · Put | 210,600 | 50,100 | -160,500 | $7,080,000 | $1,446,000 | -$5,634,000 |
| AOL INC CUSIP 00184X105 | COM · Call | 147,900 | 5,900 | -142,000 | $5,885,000 | $265,000 | -$5,620,000 | |
| DXJ WISDOMTREE TR | JAPN HEDGE EQT · Call | 277,400 | 155,900 | -121,500 | $13,692,000 | $8,157,000 | -$5,535,000 | |
| VFC V F CORP | United States | COM · Call | 103,400 | 15,500 | -87,900 | $6,514,000 | $1,024,000 | -$5,490,000 |
| MU MICRON TECHNOLOGY INC | United States | COM · Call | 820,200 | 632,200 | -188,000 | $27,026,000 | $21,659,000 | -$5,367,000 |
| MUR MURPHY OIL CORP | United States | COM · Call | 81,400 | 1,800 | -79,600 | $5,411,000 | $102,000 | -$5,309,000 |
| XOMXXXX EXXON MOBIL CORP | COM · Put | 163,100 | 118,500 | -44,600 | $16,420,000 | $11,145,000 | -$5,275,000 | |
| ENERGY XXI BERMUDA LTD CUSIP G10082140 | USD UNRS SHS · Call | 390,200 | 348,800 | -41,400 | $9,220,000 | $3,959,000 | -$5,261,000 | |
| UPS UNITED PARCEL SERVICE INC | United States | CL B · Call | 402,600 | 367,844 | -34,756 | $41,331,000 | $36,155,000 | -$5,176,000 |
| ISRG INTUITIVE SURGICAL INC | United States | COM NEW · Call | 16,500 | 3,800 | -12,700 | $6,795,000 | $1,755,000 | -$5,040,000 |
| INCY INCYTE CORP | United States | COM · Call | 94,100 | 7,000 | -87,100 | $5,311,000 | $343,000 | -$4,968,000 |
| FAMILY DLR STORES INC CUSIP 307000109 | COM · Call | 80,400 | 5,000 | -75,400 | $5,318,000 | $386,000 | -$4,932,000 | |
| LOW LOWES COS INC | United States | COM · Put | 947,800 | 767,100 | -180,700 | $45,485,000 | $40,595,000 | -$4,890,000 |
| PAA PLAINS ALL AMERN PIPELINE L | United States | UNIT LTD PARTN · Call | 95,500 | 14,800 | -80,700 | $5,735,000 | $871,000 | -$4,864,000 |
| WYNDHAM WORLDWIDE CORP CUSIP 98310W108 | COM · Call | 64,600 | 800 | -63,800 | $4,892,000 | $65,000 | -$4,827,000 | |
| KRAFT FOODS GROUP INC CUSIP 50076Q106 | COM · Call | 85,500 | 6,000 | -79,500 | $5,126,000 | $338,000 | -$4,788,000 | |
| TRGP TARGA RES CORP | United States | COM · Call | 37,500 | 3,500 | -34,000 | $5,234,000 | $477,000 | -$4,757,000 |
| ALEXION PHARMACEUTICALS INC CUSIP 015351109 | COM · Call | 33,400 | 2,800 | -30,600 | $5,219,000 | $464,000 | -$4,755,000 | |
| CANADIAN PAC RY LTD CUSIP 13645T100 | COM · Call | 387,300 | 361,000 | -26,300 | $70,156,000 | $74,897,000 | +$4,741,000 | |
| OASIS PETE INC NEW CUSIP 674215108 | COM · Put | 103,100 | 25,600 | -77,500 | $5,762,000 | $1,070,000 | -$4,692,000 | |
| TD AMERITRADE HLDG CORP CUSIP 87236Y108 | COM · Call | 151,400 | 1,900 | -149,500 | $4,746,000 | $63,000 | -$4,683,000 | |
| MA MASTERCARD INC | United States | CL A · Put | 659,200 | 592,700 | -66,500 | $48,431,000 | $43,812,000 | -$4,619,000 |
| ESTERLINE TECHNOLOGIES CORP CUSIP 297425100 | COM · Call | 43,300 | 3,300 | -40,000 | $4,985,000 | $367,000 | -$4,618,000 | |
| CBS OUTDOOR AMERS INC CUSIP 14987J106 | COM · Put | 141,400 | 1,200 | -140,200 | $4,621,000 | $36,000 | -$4,585,000 | |
| ENERGY XXI BERMUDA LTD CUSIP G10082140 | USD UNRS SHS · Put | 222,600 | 62,400 | -160,200 | $5,260,000 | $708,000 | -$4,552,000 | |
| AIG AMERICAN INTL GROUP INC | United States | COM NEW · Call | 844,400 | 768,900 | -75,500 | $46,087,000 | $41,536,000 | -$4,551,000 |
| ANF ABERCROMBIE & FITCH CO | United States | CL A · Call | 451,000 | 413,100 | -37,900 | $19,506,000 | $15,012,000 | -$4,494,000 |
| CIT GROUP INC CUSIP 125581801 | COM NEW · Call | 107,700 | 10,800 | -96,900 | $4,928,000 | $496,000 | -$4,432,000 | |
| SUNPOWER CORP CUSIP 867652406 | United States | COM · Put | 111,400 | 4,300 | -107,100 | $4,565,000 | $146,000 | -$4,419,000 |
| CONSOL ENERGY INC CUSIP 20854P109 | COM · Call | 106,000 | 13,800 | -92,200 | $4,883,000 | $522,000 | -$4,361,000 | |
| HAIN HAIN CELESTIAL GROUP INC | United States | COM · Put | 51,000 | 1,900 | -49,100 | $4,526,000 | $194,000 | -$4,332,000 |
| LULU LULULEMON ATHLETICA INC | COM · Put | 117,500 | 11,600 | -105,900 | $4,756,000 | $487,000 | -$4,269,000 | |
| ALLERGAN INC CUSIP 018490102 | COM · Call | 27,200 | 1,900 | -25,300 | $4,603,000 | $339,000 | -$4,264,000 | |
| DVN DEVON ENERGY CORP NEW | United States | COM · Put | 239,600 | 217,200 | -22,400 | $19,024,000 | $14,809,000 | -$4,215,000 |
| DVN DEVON ENERGY CORP NEW | United States | COM · Call | 159,200 | 123,900 | -35,300 | $12,640,000 | $8,448,000 | -$4,192,000 |
| MANITOWOC INC CUSIP 563571108 | COM · Call | 135,000 | 12,700 | -122,300 | $4,436,000 | $298,000 | -$4,138,000 | |
| BB BLACKBERRY LTD | COM · Call | 827,408 | 467,081 | -360,327 | $8,473,000 | $4,643,000 | -$3,830,000 | |
| XHB SPDR SERIES TRUST | S&P HOMEBUILD · Call | 180,800 | 71,000 | -109,800 | $5,921,000 | $2,101,000 | -$3,820,000 | |
| ZYNGA INC CUSIP 98986T108 | CL A · Call | 1,251,600 | 77,700 | -1,173,900 | $4,018,000 | $210,000 | -$3,808,000 | |
| VALSPAR CORP CUSIP 920355104 | COM · Call | 52,000 | 2,500 | -49,500 | $3,962,000 | $197,000 | -$3,765,000 | |
| UNITED STATES OIL FUND LP CUSIP 91232N108 | UNITS · Call | 344,100 | 280,200 | -63,900 | $13,379,000 | $9,642,000 | -$3,737,000 | |
| PFE PFIZER INC | United States | COM · Put | 863,192 | 740,250 | -122,942 | $25,620,000 | $21,889,000 | -$3,731,000 |
| NEE NEXTERA ENERGY INC | United States | COM · Call | 96,200 | 65,400 | -30,800 | $9,858,000 | $6,140,000 | -$3,718,000 |
| MARKET VECTORS ETF TR CUSIP 57060U506 | RUSSIA ETF · Call | 322,000 | 213,300 | -108,700 | $8,478,000 | $4,772,000 | -$3,706,000 | |
| THE ADT CORPORATION CUSIP 00101J106 | COM · Call | 112,700 | 7,000 | -105,700 | $3,938,000 | $248,000 | -$3,690,000 | |
| CME CME GROUP INC | United States | COM · Call | 53,100 | 1,600 | -51,500 | $3,767,000 | $128,000 | -$3,639,000 |
| NABORS INDUSTRIES LTD CUSIP G6359F103 | SHS · Put | 128,000 | 9,400 | -118,600 | $3,759,000 | $214,000 | -$3,545,000 | |
| NOBLE CORP PLC CUSIP G65431101 | SHS USD · Call | 137,400 | 49,600 | -87,800 | $4,611,000 | $1,102,000 | -$3,509,000 | |
| ANN INC CUSIP 035623107 | COM · Call | 85,000 | 1,100 | -83,900 | $3,497,000 | $45,000 | -$3,452,000 | |
| LIONS GATE ENTMNT CORP CUSIP 535919203 | COM NEW · Call | 119,600 | 700 | -118,900 | $3,418,000 | $23,000 | -$3,395,000 | |
| ST JUDE MED INC CUSIP 790849103 | COM · Put | 64,412 | 18,365 | -46,047 | $4,461,000 | $1,104,000 | -$3,357,000 | |
| TKR TIMKEN CO | United States | COM · Call | 48,900 | 300 | -48,600 | $3,317,000 | $13,000 | -$3,304,000 |
| NI NISOURCE INC | United States | COM · Call | 132,100 | 46,300 | -85,800 | $5,197,000 | $1,897,000 | -$3,300,000 |
| DB DEUTSCHE BANK AG | NAMEN AKT · Put | 2,442,813 | 2,371,290 | -71,523 | $85,938,000 | $82,663,000 | -$3,275,000 | |
| JOY GLOBAL INC CUSIP 481165108 | COM · Call | 60,600 | 8,400 | -52,200 | $3,732,000 | $458,000 | -$3,274,000 | |
| U S SILICA HLDGS INC CUSIP 90346E103 | United States | COM · Call | 63,400 | 5,100 | -58,300 | $3,515,000 | $319,000 | -$3,196,000 |
| KANSAS CITY SOUTHERN CUSIP 485170302 | COM NEW · Call | 29,400 | 100 | -29,300 | $3,161,000 | $12,000 | -$3,149,000 | |
| PLD PROLOGIS INC | United States | COM · Call | 77,900 | 2,200 | -75,700 | $3,201,000 | $83,000 | -$3,118,000 |
| DIS DISNEY WALT CO | United States | COM DISNEY · Put | 231,504 | 189,000 | -42,504 | $19,849,000 | $16,827,000 | -$3,022,000 |
| VRTX VERTEX PHARMACEUTICALS INC | United States | COM · Put | 32,500 | 1,600 | -30,900 | $3,077,000 | $180,000 | -$2,897,000 |
| NPS PHARMACEUTICALS INC CUSIP 62936P103 | COM · Put | 89,300 | 2,700 | -86,600 | $2,951,000 | $70,000 | -$2,881,000 | |
| UPS UNITED PARCEL SERVICE INC | United States | CL B · Put | 80,000 | 54,300 | -25,700 | $8,213,000 | $5,337,000 | -$2,876,000 |
| BCE BCE INC | COM NEW · Call | 63,600 | 800 | -62,800 | $2,885,000 | $34,000 | -$2,851,000 | |
| FDX FEDEX CORP | United States | COM · Put | 41,100 | 21,100 | -20,000 | $6,222,000 | $3,407,000 | -$2,815,000 |
| SWK STANLEY BLACK & DECKER INC | United States | COM · Put | 35,200 | 3,500 | -31,700 | $3,091,000 | $311,000 | -$2,780,000 |
| GNW GENWORTH FINL INC | United States | COM CL A · Call | 621,700 | 615,200 | -6,500 | $10,818,000 | $8,059,000 | -$2,759,000 |
| MARKET VECTORS ETF TR CUSIP 57060U100 | GOLD MINER ETF · Put | 461,300 | 443,200 | -18,100 | $12,201,000 | $9,465,000 | -$2,736,000 | |
| DVY ISHARES TR | SELECT DIVID ETF · Put | 35,500 | 100 | -35,400 | $2,733,000 | $7,000 | -$2,726,000 | |
| NAVISTAR INTL CORP NEW CUSIP 63934E108 | COM · Put | 74,300 | 2,200 | -72,100 | $2,785,000 | $72,000 | -$2,713,000 | |
| SWK STANLEY BLACK & DECKER INC | United States | COM · Call | 32,900 | 2,200 | -30,700 | $2,889,000 | $195,000 | -$2,694,000 |
| NEUSTAR INC CUSIP 64126X201 | CL A · Put | 116,200 | 14,200 | -102,000 | $3,024,000 | $353,000 | -$2,671,000 | |
| MARATHON OIL CORP CUSIP 565849106 | United States | COM · Put | 100,600 | 37,800 | -62,800 | $4,016,000 | $1,421,000 | -$2,595,000 |
| XLV SELECT SECTOR SPDR TR | SBI HEALTHCARE · Call | 60,000 | 16,700 | -43,300 | $3,650,000 | $1,067,000 | -$2,583,000 | |
| VALEANT PHARMACEUTICALS INTL CUSIP 91911K102 | COM · Call | 246,200 | 217,000 | -29,200 | $31,051,000 | $28,470,000 | -$2,581,000 | |
| TAP MOLSON COORS BREWING CO | CL B · Put | 35,400 | 900 | -34,500 | $2,625,000 | $67,000 | -$2,558,000 | |
| TAP MOLSON COORS BREWING CO | CL B · Call | 65,400 | 30,800 | -34,600 | $4,850,000 | $2,293,000 | -$2,557,000 | |
| HARMAN INTL INDS INC CUSIP 413086109 | COM · Call | 27,700 | 4,900 | -22,800 | $2,976,000 | $480,000 | -$2,496,000 |
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| Not available yet | |||