Stock Institutional Ownership and Shareholders

SecurityUBS / UBS Group AG (H42097107)
Institutional Owners268
Institutional Shares1,440,384,170
Institutional Value$ 92,355,299,000 USD
Related H4209BAD0 / UBS Group AG Bond

UBS Group AG (NYSE:UBS) has 268 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 1,440,384,170 shares. Largest shareholders include Massachusetts Financial Services Co /ma/, UBS Group AG, Norges Bank, Wellington Management Group Llp, Credit Suisse Ag/, Vanguard Group Inc, Capital Research Global Investors, Dodge & Cox, Franklin Resources Inc, and Schroder Investment Management Group.



UBS Group AG (NYSE:UBS) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-11-14 13F-HR BRINKER CAPITAL INC 176,614 168,435 -4.63 2,999 2,889 -3.67
2017-11-01 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 4,270,024 4,292,848 0.53 72,412 73,426 1.40
2017-11-09 13F-HR FNY Partners Fund LP 395,531 378,731 -4.25 6,716 6,495 -3.29
2017-11-14 13F-HR AMP Capital Investors Ltd 1,664,666 1,693,564 1.74 28,437 28,971 1.88
2017-11-13 13F-HR PINNACLE ASSOCIATES LTD 16,090 16,190 0.62 273 278 1.83
2017-10-10 13F-HR First Command Financial Services, Inc. 209 4
2017-11-14 13F-HR BROWN BROTHERS HARRIMAN & CO 1,866 775 -58.47 32 13 -59.37
2017-10-26 13F-HR Harbor Advisors LLC 10,000 0 -100.00 170 0 -100.00
2017-11-03 13F-HR/A-1 CANADA PENSION PLAN INVESTMENT BOARD 11,243,300 11,243,300 0.00 190,666 192,307 0.86
2017-11-13 13F-HR Resources Investment Advisors, Inc. 3,675 3,675 0.00 62 63 1.61
2017-08-11 13F-HR STEVENS CAPITAL MANAGEMENT LP 131,214 0 -100.00 2,093 0 -100.00
2017-11-14 13F-HR Capital International Investors 2,819,411 2,823,091 0.13 47,750 48,250 1.05
2017-08-14 13F-HR Allianz Asset Management AG Put 945,800 0 -100.00 15,161 0 -100.00
2017-08-14 13F-HR Portolan Capital Management, LLC 207,522 0 -100.00 3,310 0 -100.00
2017-08-15 13F-HR 1st Global Advisors, Inc. 49,286 46,146 -6.37 786 784 -0.25
2017-08-14 13F-HR TWO SIGMA SECURITIES, LLC 22,617 0 -100.00 361 0 -100.00
2017-08-09 13F-HR KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC 182,985 0 -100.00 2,919 0 -100.00
2017-07-17 13F-HR PIER 88 INVESTMENT PARTNERS LLC 21,200 0 -100.00 338 0 -100.00
2017-11-02 13F-HR FIDUCIARY TRUST CO 8,000 0 -100.00 136 0 -100.00
2017-08-04 13F-HR Apriem Advisors 1,500 0 -100.00 24 0 -100.00
2017-08-09 13F-HR JP MORGAN CHASE & CO Put 74,562 0 -100.00 1,189 0 -100.00
2017-11-01 13F-HR/A-1 Financial Architects, Inc 2,500 0 -100.00 42 0 -100.00
2017-11-13 13F-HR ENVESTNET ASSET MANAGEMENT INC 355,971 379,873 6.71 6,045 6,514 7.76
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ Put 1,786,030 1,886,030 5.60 30,327 32,345 6.65
2017-11-14 13F-HR Polar Capital LLP 564,769 918,497 62.63 9,605 15,918 65.73
2017-11-14 13F-HR BARCLAYS PLC 122,039 161,481 32.32 2,072 2,770 33.69
2017-11-14 13F-HR PUBLIC SECTOR PENSION INVESTMENT BOARD 1,531,385 1,526,693 -0.31 25,969 26,113 0.55
2017-11-13 13F-HR BLAIR WILLIAM & CO/IL 159,212 154,261 -3.11 2,703 2,646 -2.11
2017-11-14 13F-HR Jefferies Group LLC 0 -100.00 539 0 -100.00
2017-10-10 13F-HR HIGHLAND CAPITAL MANAGEMENT, LLC 114,881 122,711 6.82 1,951 2,104 7.84
2017-11-13 13F-HR TEACHERS ADVISORS INC 6,878 118
2017-11-14 13F-HR HSBC HOLDINGS PLC Call 406,830 406,830 0.00 6,908 6,977 1.00
2017-11-14 13F-HR CAPITAL INTERNATIONAL INC /CA/ 110,191 99,427 -9.77 1,869 1,701 -8.99
2017-11-14 13F-HR NWQ INVESTMENT MANAGEMENT COMPANY, LLC 2,796,476 2,751,188 -1.62 47,484 47,183 -0.63
2017-11-14 13F-HR GLENMEDE TRUST CO NA 32,812 32,022 -2.41 523 548 4.78
2017-10-17 13F-HR CENTRAL TRUST Co 277 277 0.00 5 5 0.00
2017-11-07 13F-HR Opus Capital Group, LLC 16,485 21,700 31.63 280 372 32.86
2017-11-13 13F-HR Goss Wealth Management LLC 1,532 0 -100.00 26,902 0 -100.00
2017-11-14 13F-HR PEAK6 Investments, L.P. 1,588 0 -100.00 27 0 -100.00
2017-11-13 13F-HR US BANCORP \DE\ 33,605 33,629 0.07 570 576 1.05
2017-11-13 13F-HR BOSTON PRIVATE WEALTH LLC 13,870 14,549 4.90 236 250 5.93
2017-11-13 13F-HR LOEWS CORP 10,625 10,625 0.00 180 182 1.11
2017-10-18 13F-HR EXANE DERIVATIVES 487,870 3,993,746 718.61 8,273,325 68,117,843 723.34
2017-10-12 13F-HR MAI Capital Management 11,605 11,605 0.00 197 198 0.51
2017-11-14 13F-HR Glen Harbor Capital Management LLC 33,684 33,684 0.00 572 578 1.05
2017-11-13 13F-HR WELLINGTON MANAGEMENT GROUP LLP 95,884,100 6,176 1,640,599 26,464.10
2017-11-13 13F-HR MUFG Americas Holdings Corp 18,147 18,147 0.00 308 311 0.97
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Call 4,000 124,800 3,020.00 68 2,140 3,047.06
2017-10-16 13F-HR Gradient Investments LLC 47,091 71,586 52.02 800 1,228 53.50
2017-11-13 13F-HR FIRST MERCANTILE TRUST CO 91,700 146,910 60.21 1,557 2,520 61.85
2017-11-09 13F-HR CITADEL ADVISORS LLC Call 14,500 0 -100.00 246 0 -100.00
2017-11-14 13F-HR GRANAHAN INVESTMENT MANAGEMENT INC/MA 14,616 10,241 -29.93 248 176 -29.03
2017-11-14 13F-HR NGAM ADVISORS, L.P. 1,119,795 1,164,734 4.01 19,014 19,973 5.04
2017-11-14 13F-HR Liberty Mutual Group Asset Management Inc. 217,376 98,336 -54.76 3,686 1,682 -54.37
2017-11-14 13F-HR CAPITAL INTERNATIONAL SARL 356,943 356,943 0.00 6,053 6,105 0.86
2017-11-14 13F-HR VANGUARD GROUP INC 86,199,587 88,405,736 2.56 1,463,669 1,516,157 3.59
2017-10-16 13F-HR CWM, LLC 1,000 1,228 22.80 17 21 23.53
2017-08-08 13F-HR Bellwether Investment Group, LLC 1,198 0 -100.00 19 0 -100.00
2017-11-03 13F-HR River Road Asset Management, LLC 13,112 225
2017-10-13 13F-HR NISA INVESTMENT ADVISORS L.L.C. 114 0 -100.00 2 0 -100.00
2017-11-14 13F-HR QS Investors, LLC 148,936 128,370 -13.81 2,529 2,202 -12.93
2017-11-14 13F-HR NOMURA HOLDINGS INC 35,547 69,485 95.47 603 1,188 97.01
2017-11-13 13F-HR CITIGROUP INC Put 8,033,900 6,671,600 -16.96 136,219 114,112 -16.23
2017-11-08 13F-HR FIRST INTERSTATE BANK 8,865 8,865 0.00 150 152 1.33
2017-10-23 13F-HR LOEB PARTNERS CORP 30,000 30,000 0.00 509 514 0.98
2017-11-14 13F-HR MORGAN STANLEY 4,278,575 4,812,895 12.49 72,650 82,540 13.61
2017-11-14 13F-HR Zurich Insurance Group Ltd/FI 953,254 16,282
2017-10-25 13F-HR SIMPLEX TRADING, LLC Call 191 3 -98.43 6 0 -100.00
2017-08-14 13F-HR Grantham, Mayo, Van Otterloo & Co. LLC 62,062 0 -100.00 994 0 -100.00
2017-11-06 13F-HR Lingohr & Partner Asset Management GmbH 737,370 737,370 0.00 11,821 12,490 5.66
2017-11-13 13F-HR CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 884,611 902,413 2.01 14,960 15,500 3.61
2017-11-15 13F-HR Fieldpoint Private Securities, LLC 1,855 32
2017-11-15 13F-HR WOLVERINE TRADING, LLC Put 0 13,500 0 232
2017-08-07 13F-HR Karp Capital Management Corp 876,994 0 -100.00 13,988 0 -100.00
2017-11-13 13F-HR COMMONWEALTH BANK OF AUSTRALIA 561,205 593,235 5.71 9,515 10,135 6.52
2017-11-13 13F-HR COMERICA SECURITIES INC 17,277 18,226 5.49 293 313 6.83
2017-10-12 13F-HR Hanson McClain, Inc. 410 7
2017-10-27 13F-HR ENTERPRISE FINANCIAL SERVICES CORP 3,467 3,467 0.00 59 59 0.00
2017-10-23 13F-HR REGIONS FINANCIAL CORP 12,672 11,913 -5.99 215 204 -5.12
2017-11-13 13F-HR GREENLEAF TRUST 16,020 25,505 59.21 272 437 60.66
2017-11-13 13F-HR RIVERHEAD CAPITAL MANAGEMENT LLC 21,200 21,200 0.00 360 364 1.11
2017-11-15 13F-HR/A-1 BRANDES INVESTMENT PARTNERS, LP 6,589,750 4,285,970 -34.96 111,894 73,504 -34.31
2017-11-13 13F-HR DODGE & COX 69,617,427 75,798,027 8.88 1,179,046 1,295,459 9.87
2017-11-09 13F-HR ETRADE Capital Management LLC 109,687 100,793 -8.11 1,862 1,729 -7.14
2017-11-09 13F-HR OPPENHEIMER & CO INC 10,209 0 -100.00 173 0 -100.00
2017-11-07 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 10,468 14,093 34.63 178 242 35.96
2017-08-14 13F-HR Gideon Capital Advisors, Inc. 16,882 0 -100.00 269 0 -100.00
2017-11-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC 281,267 296,000 5.24 4,770 5,063 6.14
2017-11-14 13F-HR PRUDENTIAL PLC 9,315,213 9,545,433 2.47 158,172 163,704 3.50
2017-11-13 13F-HR AMERICAN NATIONAL INSURANCE CO /TX/ 27,120 27,120 0.00 460 465 1.09
2017-10-18 13F-HR Assenagon Asset Management S.A. 20,954 15,602 -25.54 355 267 -24.79
2017-08-14 13F-HR Nuveen Asset Management, LLC 0 0 0 0
2017-11-13 13F-HR O'SHAUGHNESSY ASSET MANAGEMENT, LLC 203,555 113,377 -44.30 3,456 1,944 -43.75
2017-11-08 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 2,762 2,989 8.22 47 51 8.51
2017-11-14 13F-HR Paloma Partners Management Co 0 22,128 0 379
2017-11-14 13F-HR UBS Group AG Put 1,537,664 1,002,821 -34.78 26,110 17,198 -34.13
2017-10-25 13F-HR Calamos Advisors LLC 444,300 583,500 31.33 7,544 10,007 32.65
2017-11-13 13F-HR CIBC World Markets Inc. 256,574 78,586 -69.37 4,357 1,348 -69.06
2017-10-23 13F-HR WHITTIER TRUST CO 3,118 3,118 0.00 53 53 0.00
2017-11-14 13F-HR Voya Investment Management LLC 412,500 408,152 -1.05 6,995 6,981 -0.20
2017-10-24 13F-HR Consolidated Investment Group LLC 110,569 110,569 0.00 1,874 1,890 0.85
2017-10-20 13F-HR JFS WEALTH ADVISORS, LLC 7,007 7,007 0.00 119 120 0.84
2017-08-14 13F-HR Frontier Wealth Management LLC 11,546 0 -100.00 184 0 -100.00
2017-11-13 13F-HR STIFEL FINANCIAL CORP 337,681 343,627 1.76 5,746 5,892 2.54
2017-11-07 13F-HR British Airways Pensions Investment Management Ltd 1,009,717 1,100,232 8.96 17,113 18,814 9.94
2017-10-30 13F-HR IFP Advisors, Inc 10,612 11,127 4.85 180 191 6.11
2017-11-06 13F-HR Spot Trading L.l.c. Put 10,000 172
2017-11-13 13F-HR CITIGROUP INC Call 1,262,200 1,705,500 35.12 21,401 29,171 36.31
2017-11-06 13F-HR Spot Trading L.l.c. 10,135 174
2017-11-07 13F-HR SG Americas Securities, LLC 251,411 358,091 42.43 4,269 6,141 43.85
2017-07-24 13F-HR MEAG MUNICH ERGO KAPITALANLAGEGESELLSCHAFT MBH 3,462,832 0 -100.00 55,555 0 -100.00
2017-11-13 13F-HR FRANKLIN RESOURCES INC 57,935,725 62,534,599 7.94 981,476 1,068,785 8.90
2017-11-13 13F-HR Pacad Investment Ltd. 0 800 0 14
2017-08-14 13F-HR SHELTON CAPITAL MANAGEMENT 13,509 0 -100.00 215 0 -100.00
2017-11-14 13F-HR ARROWGRASS CAPITAL PARTNERS (US) LP Put 27,000 27,000 0.00 43,848 44,685 1.91
2017-11-07 13F-HR Advisors Asset Management, Inc. 39,428 38,932 -1.26 669 668 -0.15
2017-11-14 13F-HR HBK INVESTMENTS L P 0 19,601 0 336
2017-11-14 13F-HR DREMAN VALUE MANAGEMENT, L L C 342 342 0.00 6 6 0.00
2017-11-14 13F-HR TWO SIGMA INVESTMENTS LLC 0 18,678 0 320
2017-11-14 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 60,874 60,092 -1.28 1,033 1,031 -0.19
2017-11-09 13F-HR Trexquant Investment LP 0 30,837 0 529
2017-11-14 13F-HR BARCLAYS PLC Call 17,400 17,500 0.57 295 300 1.69
2017-11-13 13F-HR SYNOVUS FINANCIAL CORP 88,993 93,807 5.41 1,509 1,610 6.69
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC 15,654,815 13,644,102 -12.84 265,819 233,996 -11.97
2017-11-15 13F-HR/A-1 Valeo Financial Advisors, Llc 723 12
2017-11-03 13F-HR BESSEMER GROUP INC 1,401 2,297 63.95 24 39 62.50
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. 97 67,267 69,247.42 2 1,154 57,600.00
2017-10-27 13F-HR OLD NATIONAL BANCORP /IN/ 30,809 30,809 0.00 523 529 1.15
2017-11-13 13F-HR National Asset Management, Inc. 75,995 66,173 -12.92 1,293 1,136 -12.14
2017-11-03 13F-HR BNP PARIBAS ARBITRAGE, SA Put 51 0 -100.00 335 0 -100.00
2017-11-02 13F-HR Checchi Capital Advisers, LLC 26,484 15,692 -40.75 450 269 -40.22
2017-08-14 13F-HR CLEARBRIDGE, LLC 114,867 0 -100.00 1,832 0 -100.00
2017-11-09 13F-HR Diligent Investors, LLC 10,040 10,040 0.00 170 172 1.18
2017-11-14 13F-HR CREDIT AGRICOLE S A 15,909,413 14,351,129 -9.79 270,142 246,123 -8.89
2017-10-17 13F-HR Cutler Group LP Call 2,000 100 -95.00 1 0 -100.00
2017-11-14 13F-HR Elkfork Partners LLC 40,902 40,902 0.00 695 702 1.01
2017-11-13 13F-HR Twin Tree Management, LP 7,389 127
2017-11-13 13F-HR M&T BANK CORP 35,492 37,230 4.90 603 638 5.80
2017-11-06 13F-HR Bank of New York Mellon Corp 9,898,535 10,189,231 2.94 168,077 174,745 3.97
2017-10-16 13F-HR BANK OF MONTREAL /CAN/ 5,160,582 6,020,231 16.66 87,627 103,247 17.83
2017-11-14 13F-HR Florence Capital Advisors, LLC 7,700 7,700 0.00 122 132 8.20
2017-11-13 13F-HR AVIVA PLC 3,965,615 3,742,549 -5.63 67,251 63,856 -5.05
2017-10-24 13F-HR Cardinal Capital Management 82,957 94,746 14.21 1,409 1,624 15.26
2017-11-14 13F-HR CAPITAL INTERNATIONAL LTD /CA/ 1,109,243 1,109,243 0.00 18,811 18,973 0.86
2017-11-03 13F-HR HIGH POINTE CAPITAL MANAGEMENT LLC 14,520 16,000 10.19 247 274 10.93
2017-11-14 13F-HR Nuveen Fund Advisors, LLC 57,310 47,510 -17.10 973 815 -16.24
2017-10-18 13F-HR HOWE & RUSLING INC 4,355 2,189 -49.74 74 38 -48.65
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 6,836,699 8,247,652 20.64 116,088 141,447 21.84
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ Call 307,615 257,615 -16.25 5,223 4,418 -15.41
2017-11-07 13F-HR HANSEATIC MANAGEMENT SERVICES INC 115 115 0.00 2 2 0.00
2017-11-14 13F-HR CAUSEWAY CAPITAL MANAGEMENT LLC 855 855 0.00 15 15 0.00
2017-11-03 13F-HR World Asset Management Inc 226,450 225,860 -0.26 3,845 3,873 0.73
2017-10-24 13F-HR RAYMOND JAMES TRUST N.A. 21,176 21,830 3.09 360 374 3.89
2017-11-14 13F-HR STATE STREET CORP 15,513,025 16,283,411 4.97 263,411 279,126 5.97
2017-11-14 13F-HR GROUP ONE TRADING, L.P. 30,775 0 -100.00 523 0 -100.00
2017-11-13 13F-HR CAPITAL FUND MANAGEMENT S.A. 0 56,100 0 962
2017-11-14 13F-HR TWO SIGMA ADVISERS, LP 19,400 22,282 14.86 329 382 16.11
2017-10-10 13F-HR First Command Bank 209 4
2017-10-30 13F-HR WRIGHT INVESTORS SERVICE INC 38,525 41,135 6.77 654 705 7.80
2017-11-13 13F-HR EDMOND DE ROTHSCHILD HOLDING S.A. 1,745,402 7,031 29,767 323.37
2017-11-13 13F-HR CITIGROUP INC 4,240,054 9,478 72,522 665.16
2017-11-15 13F-HR Janney Montgomery Scott LLC 47,149 47,807 1.40 801 820 2.37
2017-11-15 13F-HR Wealthcare Advisory Partners LLC 29 0
2017-10-18 13F-HR EXANE DERIVATIVES Call 20,378 18,264 -10.37 5,339,877 6,993,177 30.96
2017-10-27 13F-HR Cable Hill Partners, LLC 0 564 0 10
2017-11-14 13F-HR DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 7,631,027 31 130,530 420,964.52
2017-10-25 13F-HR Aperio Group, LLC 958,046 1,033,766 7.90 16,268 17,729 8.98
2017-11-14 13F-HR CAPITAL GUARDIAN TRUST CO 4,064,320 4,033,135 -0.77 68,834 68,930 0.14
2017-10-19 13F-HR MYCIO WEALTH PARTNERS, LLC 13,808 0 -100.00 234 0 -100.00
2017-11-14 13F-HR UBS Group AG 141,700,821 139,181,749 -1.78 2,406,080 2,386,967 -0.79
2017-11-14 13F-HR HighTower Advisors, LLC 14,401 14,324 -0.53 244 245 0.41
2017-10-10 13F-HR Nikko Asset Management Americas, Inc. 19,200 19,200 0.00 325 328 0.92
2017-10-30 13F-HR THOMPSON DAVIS & CO., INC. 1,820 1,650 -9.34 31 28 -9.68
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 52,400 24,000 -54.20 890 412 -53.71
2017-11-09 13F-HR Hartland & Co., LLC 30,264 30,000 -0.87 514 515 0.19
2017-10-23 13F-HR RIVER & MERCANTILE ASSET MANAGEMENT LLP 289,890 299,890 3.45 4,914 5,128 4.35
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 3,253,717 4,372,190 34.38 55,248 74,983 35.72
2017-11-09 13F-HR CITADEL ADVISORS LLC 24,826 13,966 -43.74 422 240 -43.13
2017-11-14 13F-HR FIFTH THIRD BANCORP 12,545 12,385 -1.28 213 212 -0.47
2017-11-09 13F-HR JP MORGAN CHASE & CO 40,525,445 35,654,715 -12.02 688,123 605,416 -12.02
2017-11-15 13F-HR WOLVERINE TRADING, LLC Call 0 31,500 0 540
2017-10-23 13F-HR CAPROCK Group, Inc. 18,090 19,794 9.42 307 339 10.42
2017-11-14 13F-HR GUGGENHEIM CAPITAL LLC 53,570 52,724 -1.58 909 904 -0.55
2017-11-14 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,558,612 1,960,514 -23.38 43,446 33,623 -22.61
2017-10-13 13F-HR Exane Asset Management 250,000 8,984 -96.41 4,238,438 153,553 -96.38
2017-11-14 13F-HR Schafer Cullen Capital Management Inc 4,199,029 4,313,983 2.74 71,300 73,985 3.77
2017-11-14 13F-HR ROYAL BANK OF CANADA 2,535,331 2,600,605 2.57 43,051 44,598 3.59
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC Put 2,802,800 4,143,200 47.82 47,592 71,056 49.30
2017-10-18 13F-HR Assenagon Asset Management S.A. Call 1,600,000 3,000,000 87.50 27,133 51,315 89.12
2017-11-13 13F-HR FMR LLC / Fidelity Management & Research 34,814,668 34,378,641 -1.25 590,235 588,362 -0.32
2017-11-03 13F-HR PZENA INVESTMENT MANAGEMENT LLC 11,120,923 11,073,595 -0.43 188,833 189,912 0.57
2017-11-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 18,826 18,343 -2.57 320 313 -2.19
2017-10-23 13F-HR BB&T CORP 12,500 0 -100.00 212 0 -100.00
2017-08-08 13F-HR KEYBANK NATIONAL ASSOCIATION/OH 10,343 0 -100.00 165 0 -100.00
2017-11-06 13F-HR Spot Trading L.l.c. Call 4,000 69
2017-11-13 13F-HR Engineers Gate Manager LP 164,514 167,958 2.09 2,793 2,880 3.11
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 637,939 1,640,335 157.13 10,832 28,132 159.71
2017-11-06 13F-HR SEI INVESTMENTS CO 1,341,897 1,377,186 2.63 22,781 23,610 3.64
2017-11-14 13F-HR IHT Wealth Management, LLC 77 77 0.00 25 1 -96.00
2017-11-06 13F-HR Advisor Group, Inc. 15,135 17,718 17.07 256 304 18.75
2017-11-14 13F-HR SALIENT TRUST CO LTA 39,610 26,320 -33.55 673 451 -32.99
2017-11-14 13F-HR Tower Research Capital LLC (TRC) 320 600 87.50 5 10 100.00
2017-08-14 13F-HR YorkBridge Wealth Partners, LLC 288 0 -100.00 5 0 -100.00
2017-10-24 13F-HR HUNTINGTON NATIONAL BANK 2,902 944 -67.47 49 16 -67.35
2017-11-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 64,362 149,355 132.05 1,093 2,561 134.31
2017-07-10 13F-HR CAPSTONE ASSET MANAGEMENT CO 1,010,012 1,008,046 -0.19 16,110 17,117 6.25
2017-11-07 13F-HR Commonwealth Equity Services, Inc 22,368 15,724 -29.70 379 269 -29.02
2017-11-09 13F-HR FTB Advisors, Inc. 1,555 764 -50.87 26 13 -50.00
2017-11-14 13F-HR Veritable, L.P. 51,306 0 -100.00 870 0 -100.00
2017-10-24 13F-HR TRUST CO OF VERMONT 1,098 1,098 0.00 19 19 0.00
2017-11-03 13F-HR Segantii Capital Management Ltd 9,783 0 -100.00 166 0 -100.00
2017-10-17 13F-HR Cutler Group LP 23,216 21,923 -5.57 394 375 -4.82
2017-11-14 13F-HR Aristotle Capital Management, LLC 791,565 353,230 -55.38 13,440 6,042 -55.04
2017-10-18 13F-HR EXANE DERIVATIVES Put 48,271 81,088 67.98 5,339,877 6,993,177 30.96
2017-11-14 13F-HR First Allied Advisory Services, Inc. 24,149 11,854 -50.91 401 195 -51.37
2017-11-07 13F-HR Quantbot Technologies LP 41,122 59,848 45.54 698 1,026 46.99
2017-11-13 13F-HR Renaissance Technologies LLC 1,019,600 1,086,700 6.58 17,313 18,637 7.65
2017-10-24 13F-HR FIRST TRUST ADVISORS LP 14,323 14,369 0.32 243 246 1.23
2017-11-15 13F-HR WOLVERINE TRADING, LLC 0 18,378 0 315
2017-10-23 13F-HR FOX RUN MANAGEMENT, L.L.C. 17,200 0 -100.00 292 0 -100.00
2017-12-14 13F-HR/A-1 PARAMETRIC PORTFOLIO ASSOCIATES LLC 1,675,302 1,986,355 18.57 28,447 34,066 19.75
2017-11-14 13F-HR Capital Research Global Investors 86,812,930 86,812,944 0.00 1,470,270 1,483,730 0.92
2017-11-06 13F-HR Salient Capital Advisors, LLC 27,595 0 -100.00 469 0 -100.00
2017-11-13 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 65,446 57,331 -12.40 1,110 983 -11.44
2017-11-14 13F-HR Walleye Trading LLC 1,617 0 -100.00 27 0 -100.00
2017-11-14 13F-HR ARROWGRASS CAPITAL PARTNERS LLP 1,131,883 0 -100.00 18,382 0 -100.00
2017-10-27 13F-HR BTR CAPITAL MANAGEMENT INC 32,345 0 -100.00 549 0 -100.00
2017-10-13 13F-HR Vigilant Capital Management, LLC 96 0 -100.00 2 0 -100.00
2017-10-11 13F-HR American Financial Network Advisory Services Llc 899 15
2017-11-13 13F-HR Private Advisor Group, LLC 17,434 20,872 19.72 306 356 16.34
2017-10-26 13F-HR INSIGHT 2811, INC. 13,081 13,571 3.75 222 233 4.95
2017-11-14 13F-HR Glovista Investments LLC 23,479 403
2017-11-14 13F-HR BBR PARTNERS, LLC 62,426 42,245 -32.33 1,060 725 -31.60
2017-11-14 13F-HR BARCLAYS PLC Put 4,900 5,300 8.16 83 91 9.64
2017-11-14 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 437,241 435,245 -0.46 7,424 7,465 0.55
2017-11-09 13F-HR CITADEL ADVISORS LLC Put 16,600 19,800 19.28 282 340 20.57
2017-11-13 13F-HR Citizens Financial Group Inc/RI 2,919 2,988 2.36 50 51 2.00
2017-11-22 13F-HR Chicago Partners Investment Group LLC 660 11
2017-11-13 13F-HR RAYMOND JAMES & ASSOCIATES 1,305,278 1,462,127 12.02 22,122 24,998 13.00
2017-11-03 13F-HR BNP PARIBAS ARBITRAGE, SA 3,186 0 -100.00 54,098 0 -100.00
2017-11-03 13F-HR FDx Advisors, Inc. 82,851 81,202 -1.99 1,407 1,393 -1.00
2017-08-14 13F-HR/A-2 Magnetar Financial LLC 48,727 0 -100.00 632 0 -100.00
2017-11-15 13F-HR/A-1 Parallel Advisors, LLC 2,810 2,521 -10.28 49 43 -12.24
2017-11-14 13F-HR Compagnie Odier SCA 4,028,220 3,174,297 -21.20 68,306 54,300 -20.50
2017-11-09 13F-HR ROPES WEALTH ADVISORS LLC 1,100 1,100 0.00 19 19 0.00
2017-10-30 13F-HR Westpac Banking Corp 1,175,320 0 -100.00 19,087,197 0 -100.00
2017-11-06 13F-HR DekaBank Deutsche Girozentrale 4,043,166 4,208,590 4.09 68,959 71,398 3.54
2017-10-12 13F-HR Advisory Services Network, LLC 1,876 1,876 0.00 32 32 0.00
2017-11-15 13F-HR SRS Capital Advisors, Inc. 193 229 18.65 3 3 0.00
2017-10-25 13F-HR Carroll Financial Associates, Inc. 0 52 0 0
2017-11-13 13F-HR NORTHERN TRUST CORP 3,958,843 4,038,875 2.02 67,221 69,266 3.04
2017-11-14 13F-HR Invesco Ltd. 41,034,633 30,496,581 -25.68 696,769 523,016 -24.94
2017-11-13 13F-HR ONTARIO TEACHERS PENSION PLAN BOARD 673,320 11,967 -98.22 11,417 204 -98.21
2017-11-06 13F-HR COMERICA BANK 212,056 211,220 -0.39 3,829 3,574 -6.66
2017-11-17 13F-HR Archford Capital Strategies, LLC 120 0 -100.00 3 0 -100.00
2017-10-17 13F-HR Fisher Asset Management, LLC 40,167,025 41,303,205 2.83 682,036 708,350 3.86
2017-11-13 13F-HR Evercore Wealth Management, LLC 3,000 3,000 0.00 51 51 0.00
2017-11-14 13F-HR Clearbridge Investments, LLC 2,250,908 2,208,338 -1.89 38,220 37,873 -0.91
2017-11-14 13F-HR Zions Bancorporation 1,374 3,752 173.07 23 64 178.26
2017-10-13 13F-HR QUADRANT CAPITAL GROUP LLC 5,173 6,115 18.21 66 93 40.91
2017-10-11 13F-HR CIGNA INVESTMENTS INC /NEW 71,012 69,204 -2.55 1,204 1,184 -1.66
2017-11-14 13F-HR Covington Capital Management 2,709 46
2017-11-09 13F-HR VIRGINIA RETIREMENT SYSTEMS ET AL 956,346 973,493 1.79 16,218 16,651 2.67
2017-11-14 13F-HR A.R.T. Advisors, LLC 33,300 0 -100.00 565 0 -100.00
2017-11-13 13F-HR MACKENZIE FINANCIAL CORP 999,894 1,018,180 1.83 16,978 17,462 2.85
2017-10-27 13F-HR SOL Capital Management CO 63,175 63,175 0.00 1,073 1,083 0.93
2017-11-02 13F-HR Forward Management, LLC 129,575 97,266 -24.93 2,201 1,668 -24.22
2017-11-14 13F-HR MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 160,209,992 159,802,996 -0.25 2,720,366 2,740,621 0.74
2017-10-25 13F-HR Rehmann Capital Advisory Group 13,253 13,228 -0.19 225 227 0.89
2017-11-14 13F-HR PEAK6 Investments, L.P. Call 22,700 16,500 -27.31 385 283 -26.49
2017-11-14 13F-HR SUNTRUST BANKS INC 0 18,439 0 315
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC Call 1,158,900 508,400 -56.13 19,678 8,719 -55.69
2017-11-13 13F-HR Westside Investment Management, Inc. 742 0 -100.00 13,029 0 -100.00
2017-11-15 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC 11,978 22,720 89.68 186 390 109.68
2017-08-11 13F-HR KCG HOLDINGS, INC. 30,998 36,249 16.94 494 616 24.70
2017-11-09 13F-HR Clal Insurance Enterprises Holdings Ltd 1 0 -100.00 0 0
2017-11-13 13F-HR GQG Partners LLC 23,642 405
2017-12-01 13F-HR/A-1 Axa 6,299,667 7,052,809 11.96 106,968 120,955 13.08
2017-10-27 13F-HR BEACH INVESTMENT COUNSEL INC/PA 42,850 42,850 0.00 728 735 0.96
2017-11-14 13F-HR Flinton Capital Management LLC 19,248 19,248 0.00 327 330 0.92
2017-11-15 13F-HR Neuberger Berman Group LLC 496,658 516,883 4.07 8,433 8,865 5.12
2017-11-13 13F-HR WETHERBY ASSET MANAGEMENT INC 54,530 55,690 2.13 926 955 3.13
2017-10-18 13F-HR Assenagon Asset Management S.A. Put 3,300,000 7,200,000 118.18 55,962 123,155 120.07
2017-11-13 13F-HR Allianz Asset Management AG 20,152,088 20,820,263 3.32 343,484 356,125 3.68
2017-08-14 13F-HR MASSMUTUAL TRUST CO FSB/ADV 3,144 53,385
2017-11-01 13F-HR SHINE INVESTMENT ADVISORY SERVICES INC 4,990 3,647 -26.91 85 63 -25.88
2017-11-13 13F-HR/A-1 NORGES BANK 131,538,341 131,864,975 0.25 1,697,408 1,718,770 1.26
2017-10-26 13F-HR Well Done, LLC 15,675 269
2017-11-13 13F-HR THOMAS WHITE INTERNATIONAL LTD 81 0 -100.00 1 0 -100.00
2017-10-25 13F-HR SIMPLEX TRADING, LLC Put 622 538 -13.50 16 2 -87.50
2017-11-01 13F-HR Mountain Capital Investment Advisors, Inc 6,949 6,949 0.00 118 119 0.85
2017-11-14 13F-HR HSBC HOLDINGS PLC 7,446,664 6,451,579 -13.36 126,445 110,644 -12.50
2017-10-17 13F-HR Cutler Group LP Put 1,700 1,300 -23.53 0 1
2017-11-09 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 22,477,472 41,356,501 83.99 367,731 680,314 85.00
2017-11-13 13F-HR FIL Ltd 378,946 378,946 0.00 6,418 6,477 0.92
2017-11-14 13F-HR DEUTSCHE BANK AG\ 23,067,071 21,936,379 -4.90 391,676 376,206 -3.95
2017-11-02 13F-HR Jacobi Capital Management LLC 15,514 15,514 0.00 272 264 -2.94
2017-08-17 13F-HR Bb&t Investment Services, Inc. 12 0
2017-10-25 13F-HR SIMPLEX TRADING, LLC 5,524 0 -100.00 93 0 -100.00
2017-11-14 13F-HR BlackRock Inc. 95,988 139,230 45.05 1,630 2,388 46.50
2017-11-14 13F-HR HSBC HOLDINGS PLC Put 0 400,000 0 6,860
2017-10-27 13F-HR Beach Investment Management, LLC. 42,850 0 -100.00 728 0 -100.00
2017-10-27 13F-HR Crossmark Global Holdings, Inc. 1,057,143 1,057,143 0.00 18,130 18,130 0.00
2017-10-25 13F-HR DUFF & PHELPS INVESTMENT MANAGEMENT CO 374,899 395,419 5.47 6,370 6,778 6.41
2017-10-12 13F-HR PRIVATE BANK & TRUST CO 14,337 14,292 -0.31 243 245 0.82
2017-11-07 13F-HR Russell Investments Group, Ltd. 9,868,486 9,718,568 -1.52 167,324 166,102 -0.73
2017-11-14 13F-HR PEAK6 Investments, L.P. Put 63,300 0 -100.00 1,075 0 -100.00
2017-11-14 13F-HR CREDIT SUISSE AG/ 99,334,329 93,820,236 -5.55 1,686,698 1,609,017 -4.61
2017-10-30 13F-HR TOCQUEVILLE ASSET MANAGEMENT L.P. 1,494,663 1,705,307 14.09 25,379 29,246 15.24
2017-10-17 13F-HR Creative Planning 106,463 107,447 0.92 1,807 1,842 1.94
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Put 78,500 13,600 -82.68 1,333 233 -82.52
2017-10-17 13F-HR CAPITAL ONE, NATIONAL ASSOCIATION 34,522 35,944 4.12 586 616 5.12
2017-11-14 13F-HR ARROWGRASS CAPITAL PARTNERS (US) LP 720,121 663,951 -7.80 11,695 10,988 -6.05
2017-11-17 13F-HR/A-1 Virtu Financial LLC 20,980 360
2017-11-13 13F-HR THORNBURG INVESTMENT MANAGEMENT INC 2,161,555 2,055,683 -4.90 36,703 35,255 -3.95
2017-11-14 13F-HR Meadow Creek Investment Management LLC 26,466 26,466 0.00 449 454 1.11
2017-11-14 13F-HR Capital Bank & Trust Co 1,745,960 1,806,084 3.44 29,587 30,895 4.42
2017-11-13 13F-HR COCONUT GROVE BANK 150 150 0.00 3 3 0.00
2017-11-14 13F-HR UBS Group AG Call 2,342,288 2,070,818 -11.59 39,772 35,515 -10.70
2017-11-14 13F-HR Proficio Capital Partners LLC 906 913 0.77 16 16 0.00
2017-11-13 13F-HR NEW VERNON INVESTMENT MANAGEMENT LLC 110,000 110,000 0.00 1,868 1,887 1.02
2017-10-19 13F-HR Winslow, Evans & Crocker, Inc. 30 30 0.00 509 516 1.38
2017-11-14 13F-HR PDT Partners, LLC 747,400 747,400 0.00 12,691 12,818 1.00
2017-10-23 13F-HR WHITTIER TRUST CO OF NEVADA INC 269 5
2017-11-07 13F-HR AMERIPRISE FINANCIAL INC 603,955 660,876 9.42 10,265 11,326 10.34
2017-11-13 13F-HR Dorsey & Whitney Trust CO LLC 25,669 19,734 -23.12 436 338 -22.48
2017-11-13 13F-HR SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) 1,162 1,162 0.00 20 20 0.00
2017-11-13 13F-HR Twin Tree Management, LP Put 3,000 59,300 1,876.67 51 1,017 1,894.12
2017-11-13 13F-HR NOMURA ASSET MANAGEMENT CO LTD 13,748 13,748 0.00 233 235 0.86
2017-08-18 13F-HR WFG Advisors, LP 51 51 0.00 1 1 0.00
2017-11-07 13F-HR Cambridge Investment Research Advisors, Inc. 24,915 20,886 -16.17 423 358 -15.37
2017-11-13 13F-HR DIMENSIONAL FUND ADVISORS LP 2,296,595 2,304,240 0.33 38,996 39,518 1.34
2017-11-13 13F-HR EATON VANCE MANAGEMENT 49,611 49,672 0.12 842 852 1.19
2017-11-14 13F-HR JANE STREET GROUP, LLC 70,250 130,847 86.26 1,193 2,244 88.10
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 13,667 0 -100.00 232 0 -100.00
2017-11-13 13F-HR Quantitative Investment Management, LLC 39,900 442,300 1,008.52 677 7,585 1,020.38
2017-11-06 13F-HR BTC Capital Management, Inc. 10,567 0 -100.00 180 0 -100.00
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 10,839 10,839 0.00 184 185 0.54
2017-11-14 13F-HR AQR CAPITAL MANAGEMENT LLC 1,163,646 296,726 -74.50 19,733 5,075 -74.28
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 367,900 370,800 0.79 6,247 6,359 1.79
2017-11-13 13F-HR Chescapmanager LLC 142,500 142,500 0.00 2,420 2,444 0.99
2017-11-08 13F-HR D.A. DAVIDSON & CO. 28,319 28,366 0.17 480 486 1.25
2017-11-13 13F-HR Twin Tree Management, LP Call 57,400 78,200 36.24 975 1,341 37.54
2017-11-13 13F-HR ALLIANCEBERNSTEIN L.P. 1,921,052 1,369,468 -28.71 32,619 23,486 -28.00
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Put 300,000 5,145
2017-11-06 13F-HR Massey, Quick & Co., LLC 829 829 0.00 14 14 0.00
2017-11-08 13F-HR ASSETMARK, INC 5,203 4,919 -5.46 88 84 -4.55
2017-11-14 13F-HR LPL Financial LLC 93,020 126,731 36.24 1,579 2,173 37.62
2017-11-06 13F-HR Winfield Associates, Inc. 1,175 1,175 0.00 20 20 0.00
2017-10-04 13F-HR Lenox Wealth Advisors, Inc. 0 672 0 12
2017-11-08 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 33,680,510 38,442,142 14.14 571,178 657,522 15.12
CUSIP: H42097107