UBS Group AG

Q4 2016 13F Combination Report, Stock Holdings

Signature - Title
Patricia Arce / Nemanja Pantic - Associate Director / Director, Risk Control Operations
Location
Zurich, Switzerland
Holdings as of
31 Dec 2016
Value $
$142B
Num holdings
6,816
Date filed
14 Feb 2017, 14:12
Form type
13F-HR
Description
A portion of the US holdings for this investor are reported in this report and a portion are reported by other reporting manager(s). Top holdings included SPY, UBS, AAPL, EFA, and MSFT.
Previous filing
Q3 2016 - 14 Nov 2016
Next filing
Q1 2017 - 14 Nov 2017
SEC
View on sec.gov
Options Holdings
Showing stock holdings, see here for options holdings
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2016 Q4 compared to 2016 Q3 by default.
* 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
Patricia Arce / Nemanja Pantic Associate Director / Director, Risk Control Operations Weehawken, New Jersey 14 Feb 2017

List of Other Managers Reporting for UBS Group AG:

Name Holdings Value Location File Number
UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC $461B Chicago, IL 028-02682
OCONNOR, A Distinct Business Unit of UBS ASSET MANAGEMENT AMERICAS (LLC) $915M Chicago, IL 028-06327

Other Included Managers (3):

Num Name Location File Number
1 Ubs Financial Services Inc New York, NY 028-11496
17 Vontobel Swiss Financial Advisers AG Zurich, Switzerland 028-11603
20 Ubs Ag New York Branch Chicago, IL 028-07344