UBS Group AG Form 13F-HR Summary
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 September 30, 2016. The report was signed on November 14, 2016, by Patricia Arce, Associate Director of Compliance and Operational Risk Control. This is a combination report, meaning 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. Consequently, data regarding revenue, profit, cash flow, margins, debt, and liquidity for UBS Group AG is not present in this text.
- Total Value of Reported Holdings: $167,743,054,000 (167,743,054 thousands)
- Total Number of Holdings Entries: 12,798
- Reporting Scope: Includes holdings managed by UBS Group AG and three other included managers.
Material Changes and Other Managers
This filing does not provide comparative data against the prior period to determine material changes in holdings value or count. The report aggregates data from the following 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)
Guidance, Outlook, and Risks
The filing text does not contain management commentary, forward-looking guidance, risk factors, or contingencies. It is a statutory disclosure of securities held for the reporting period.
Key Facts for Investor Verification
- Holdings Value: Verify the total reported equity exposure of approximately $167.7 billion.
- Scope of Report: Confirm that this is a combination report; full exposure may require reviewing filings from the listed affiliated managers (UBS Asset Management Americas, UBS O'Connor LLC, etc.).
- Holdings Count: Note the significant number of individual positions (12,798 entries) managed across the group.
- Limitations: Acknowledge that this document does not reflect UBS Group AG's own financial health, only its investment portfolio.