SEC Filing Summary: UBS Group AG (13F-HR)
Business Context and Reporting Period
This filing is a Form 13F-HR (Holdings Report) submitted by UBS Group AG, an institutional investment manager. The report covers the calendar quarter ended June 30, 2020. The filing was signed on July 31, 2020, by Rollins Simmons and Jennifer Sator.
Key Financial Metrics
As a Form 13F filing, this document reports equity holdings rather than the issuer's operational financial performance (revenue, profit, cash flow, or debt). The following metrics relate to the reported portfolio:
- Total Value of Reported Holdings: $236,811,225,000 (236,811,225 thousands)
- Total Number of Information Table Entries: 136,000
- Report Type: 13F Combination Report (indicating some holdings are reported by other managers).
Material Changes and Portfolio Structure
The filing indicates a combination report structure. UBS Group AG reports a portion of its holdings, while other portions are reported by affiliated managers. The filing includes data for 3 other included managers:
- UBS Financial Services Inc. (File No. 028-11496)
- UBS Swiss Financial Advisors AG (File No. 028-11603)
- UBS AG New York Branch (File No. 028-07344)
Additional managers listed in the "List of Other Managers Reporting for this Manager" section include UBS Asset Management (Americas) Inc. and UBS O'Connor LLC.
Guidance, Outlook, and Risks
The filing text does not provide management commentary, financial guidance, outlook, or specific risk factors regarding UBS Group AG's operations. Form 13F filings are strictly regulatory disclosures of long-term equity positions and do not contain operational analysis or forward-looking statements.
Investor Verification Checklist
- Verify the total portfolio value of approximately $236.8 billion against other regulatory filings to ensure consistency.
- Confirm the specific equity positions held by the "other included managers" to understand the full scope of UBS's reported assets.
- Note that this document does not contain UBS Group AG's own financial results (e.g., revenue or net income); refer to Form 10-K or 10-Q for operational metrics.
- Check the "Combination Report" status to ensure no double-counting of assets when aggregating data across the listed affiliated managers.