UBS AG

Q4 2013 13F Holdings Report, Restatement, Options Holdings

Signature - Title
Dominic Eichrodt - Executive Director
Location
Zurich, Switzerland
Options holdings as of
December 31, 2013
Options notional value $
$22.8B
Number of options holdings
3,917
Date filed
5/21/2014, 12:25 PM
Description
All US holdings of this investor are reported in this report.
Next filing
Q1 2014 - May 16, 2014
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Anthony DeFilippis Executive Director Stamford, Connecticut 5/21/2014

UBS Group AG is reporting for UBS AG:

Name Holdings Value Location File Number
UBS Group AG $326B Zurich, Switzerland 028-16612

Other Included Managers (3):

Num Name File Number
1 UBS Financial Services Inc. 028-11496
17 UBS Swiss Financial Advisors AG 028-11603
20 UBS AG, New York Branch 028-07344