SEC Filing Summary: UBS Group AG (Form 13F-HR)
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by UBS Group AG, an institutional investment manager, for the quarter ended December 31, 2023. The report was signed on January 31, 2024, by Andrew Johnson, Head of Group Shareholding Reporting. This is a combination report, indicating that a portion of the holdings are reported here while other portions are reported by affiliated managers.
Key Financial Metrics
As a Form 13F filing, this document discloses equity holdings rather than the issuer's operational financial performance (revenue, profit, cash flow). The following metrics relate to the reported portfolio:
- Total Portfolio Value: $334,075,074,182 (rounded to the nearest dollar).
- Total Number of Holdings: 18,527 entries.
- Number of Included Managers: 8 other managers are included in this consolidated report.
Note: The filing text does not provide values for revenue, profit, margins, debt, or liquidity for UBS Group AG itself, as this form is strictly for reporting investment holdings.
Material Changes and Included Entities
This report aggregates holdings for UBS Group AG and several other institutional investment managers. The following entities are listed as other managers reporting for this manager or included in the summary:
- UBS Asset Management Americas Inc
- UBS O'Connor LLC
- Credit Suisse AG
- UBS Financial Services Inc
- UBS AG
- UBS Switzerland AG
- UBS Europe SE
- UBS Bank (Canada)
- UBS La Maison de Gestion
- UBS Securities LLC
- UBS Brasil Administradora de Valores Mobiliarios Ltda
The inclusion of Credit Suisse AG reflects the ongoing integration following the acquisition, though specific comparative changes from the prior period are not detailed in this summary page.
Guidance, Outlook, and Risks
The filing text does not contain management commentary, forward-looking guidance, risk factors, or contingencies regarding UBS Group AG's business operations. The document includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness.
Key Facts for Investor Verification
- Verify the total reported portfolio value of approximately $334.1 billion against the firm's total assets under management (AUM) reported in their 10-K or annual report.
- Confirm the specific breakdown of holdings between UBS Group AG and the 8 other included managers to understand the scope of this specific filing.
- Review the full Schedule 13F (not provided in this summary) to analyze specific equity positions and any significant changes in ownership of individual securities.
- Note that this filing covers only equity securities and does not reflect derivatives, fixed income, or other asset classes held by the firm.