UBS Group AG Q3 2016 Filing

Filed November 14, 2016

Portfolio Value

$167.7M

Holdings

6,790

Report Date

Q3 2016

Filing Type

13F-HR

All Holdings (6,790 positions)

#	Stock	Shares	Value	% Portfolio	Type
2801	—GREENHILL & CO INC	43,713	$1.0M	0.61%
2802	XEGFXBLACKROCK ENHANCED GOVT FD I	74,658	$1.0M	0.61%
2803	WTHWORTHINGTON INDS INC	21,405	$1.0M	0.61%
2804	SYLDCAMBRIA ETF TR	34,113	$1.0M	0.61%
2805	—DEAN FOODS CO NEW	62,528	$1.0M	0.61%
2806	PZDUSDPOWERSHARES ETF TRUST	30,953	$1.0M	0.61%
2807	—WISDOMTREE TR	39,053	$1.0M	0.61%
2808	—DBX ETF TR	42,067	$1.0M	0.61%
2809	—POWERSHARES ETF TRUST II	46,329	$1.0M	0.61%
2810	JOYJOY GLOBAL INC	36,716	$1.0M	0.61%	Call
2811	—DIVERSIFIED REAL ASSET INC F	59,015	$1.0M	0.61%
2812	JHMMJOHN HANCOCK EXCHANGE TRADED	36,331	$1.0M	0.60%
2813	PC6APETROCHINA CO LTD	15,079	$1.0M	0.60%
2814	DEWWISDOMTREE TR	23,530	$1.0M	0.60%
2815	CLMTUSDCALUMET SPECIALTY PRODS PTNR	222,745	$1.0M	0.60%
2816	CATHGLOBAL X FDS	38,200	$1.0M	0.60%
2817	HFXIINDEXIQ ETF TR	55,025	$1.0M	0.60%
2818	—SELECT INCOME REIT	37,260	$1.0M	0.60%
2819	AVPUSDAVON PRODS INC	177,004	$1.0M	0.60%
2820	IGROISHARES TR	19,900	$1.0M	0.60%
2821	—BIONDVAX PHARMACEUTICALS LTD	2,200	$1.0M	0.60%
2822	—MICRONET ENERTEC TECH INC	7,168	$1.0M	0.60%
2823	—NEUROMETRIX INC	4,200	$1.0M	0.60%
2824	—ORIGO ACQUISITION CORP	6,984	$1.0M	0.60%
2825	—PRISM TECHNOLOGIES GROUP INC	2,448	$1.0M	0.60%
2826	—PACIFIC SPL ACQUISITION CORP	6,100	$1.0M	0.60%
2827	—CHANTICLEER HLDGS INC	17,715	$1.0M	0.60%
2828	—ENTREE GOLD INC	2,677	$1.0M	0.60%
2829	—CRYOPORT INC	2,770	$1.0M	0.60%
2830	—OPEXA THERAPEUTICS INC	7,161	$1.0M	0.60%
2831	NPVNUVEEN VA PREM INCOME MUN FD	68,826	$1.0M	0.60%
2832	—WHEELER REAL ESTATE INVT TR	15,122	$1.0M	0.60%
2833	—PROVECTUS BIOPHARMACEUTICALS	9,926	$1.0M	0.60%
2834	—OPGEN INC	6,144	$1.0M	0.60%
2835	COTYCOTY INC	42,553	$1.0M	0.60%
2836	—MONSTER DIGITAL INC	3,175	$1.0M	0.60%
2837	FNYFIRST TR EXCNGE TRD ALPHADEX	32,210	$999K	0.60%
2838	DOEURDIAMOND OFFSHORE DRILLING IN	56,633	$996K	0.59%	Put
2839	SPLBSPDR SERIES TRUST	23,209	$995K	0.59%
2840	IPGPIPG PHOTONICS CORP	12,080	$995K	0.59%
2841	AIAISHARES TR	19,846	$994K	0.59%
2842	KWRQUAKER CHEM CORP	9,389	$994K	0.59%
2843	SLXVANECK VECTORS ETF TR	31,871	$990K	0.59%
2844	XYZSQUARE INC	84,758	$988K	0.59%	Call
2845	SRNESORRENTO THERAPEUTICS INC	127,332	$986K	0.59%
2846	CDCVICTORY PORTFOLIOS II	24,755	$982K	0.59%
2847	HUBSHUBSPOT INC	16,965	$977K	0.58%
2848	GLINVANECK VECTORS ETF TR	20,943	$973K	0.58%
2849	—WESTERN ASSET EMRG MKT INCM	84,116	$969K	0.58%
2850	—MANTECH INTL CORP	25,697	$969K	0.58%
2851	—NUTRI SYS INC NEW	32,606	$968K	0.58%
2852	JRSNUVEEN REAL ESTATE INCOME FD	81,443	$967K	0.58%
2853	PBTPERMIAN BASIN RTY TR	138,365	$964K	0.57%
2854	CSTECAESARSTONE LTD	25,555	$964K	0.57%
2855	PMXPIMCO MUN INCOME FD III	75,137	$963K	0.57%
2856	ALAIR LEASE CORP	33,673	$962K	0.57%
2857	TCBITEXAS CAPITAL BANCSHARES INC	17,515	$962K	0.57%
2858	—ISHARES TR	15,601	$959K	0.57%
2859	—OPPENHEIMER REV WEIGHTED ETF	19,877	$959K	0.57%
2860	—GNC HLDGS INC	46,908	$958K	0.57%
2861	—EVERBANK FINL CORP	49,464	$957K	0.57%
2862	—ZOES KITCHEN INC	43,137	$957K	0.57%
2863	PKNPERKINELMER INC	17,018	$955K	0.57%
2864	PHKPIMCO HIGH INCOME FD	95,794	$954K	0.57%
2865	MUCBLACKROCK MUNIHLDNGS QLTY II	64,567	$954K	0.57%
2866	—CLAYMORE EXCHANGE TRD FD TR	46,884	$952K	0.57%
2867	—POWERSHS DB MULTI SECT COMM	107,159	$951K	0.57%
2868	SRSPIRE INC	14,846	$946K	0.56%
2869	4DHDANA INCORPORATED	60,586	$945K	0.56%
2870	—ELLINGTON FINANCIAL LLC	56,627	$944K	0.56%
2871	GOGOGOGO INC	85,354	$942K	0.56%
2872	KNOPKNOT OFFSHORE PARTNERS LP	45,067	$941K	0.56%
2873	MTRXMATRIX SVC CO	49,989	$938K	0.56%
2874	GRA1EURGRACE W R & CO DEL NEW	12,705	$937K	0.56%
2875	LTM1GBPLATAM AIRLS GROUP S A	115,069	$935K	0.56%	Call
2876	—CAPITAL SR LIVING CORP	55,507	$933K	0.56%	Put
2877	CDZICADIZ INC	125,876	$933K	0.56%
2878	CFOVICTORY PORTFOLIOS II	24,116	$931K	0.56%
2879	VIAVVIAVI SOLUTIONS INC	126,053	$931K	0.56%
2880	EUHYISHARES	19,350	$929K	0.55%
2881	SPTSSPDR SER TR	30,401	$929K	0.55%
2882	ERHWELLS FARGO UTILITIES AND HI	74,429	$926K	0.55%
2883	FADFIRST TR MULTI CAP VALUE ALP	17,441	$923K	0.55%
2884	UPROPROSHARES TR	12,521	$922K	0.55%
2885	SERVUSDSERVICEMASTER GLOBAL HLDGS I	27,230	$917K	0.55%
2886	—TECH DATA CORP	10,769	$912K	0.54%
2887	SMSM ENERGY CO	23,399	$903K	0.54%
2888	FNDXSCHWAB STRATEGIC TR	28,925	$900K	0.54%
2889	—SPDR INDEX SHS FDS	55,075	$899K	0.54%
2890	AKBAAKEBIA THERAPEUTICS INC	99,187	$898K	0.54%
2891	—MARIN SOFTWARE INC	355,979	$897K	0.53%
2892	—CLAYMORE EXCHANGE TRD FD TR	42,124	$896K	0.53%
2893	—INVENSENSE INC	120,731	$896K	0.53%	Put
2894	—NUVEEN DIVERSIFIED DIV INCM	76,719	$896K	0.53%
2895	VEGIISHARES	37,437	$894K	0.53%
2896	FDPFRESH DEL MONTE PRODUCE INC	14,920	$894K	0.53%
2897	KWKENNEDY-WILSON HLDGS INC	39,644	$894K	0.53%
2898	DTREFIRST TR FTSE EPRA/NAREIT DE	19,341	$893K	0.53%
2899	MSGSMADISON SQUARE GARDEN CO NEW	5,262	$891K	0.53%
2900	TDFTEMPLETON DRAGON FD INC	50,281	$887K	0.53%

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