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, 2014. The report was signed on February 13, 2015, by Anthony DeFilippis, Executive Director. This filing covers the holdings of UBS Group AG and includes three other affiliated managers: UBS Financial Services Inc., UBS Swiss Financial Advisors AG, and UBS AG, New York Branch.
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 investment portfolio:
- Total Portfolio Value: $143,078,463,000 (reported in thousands).
- Total Number of Holdings: 15,242 entries.
- Number of Included Managers: 3 additional managers 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 designed to disclose securities held, not the financial statements of the reporting manager.
Material Changes
The filing text does not provide comparative data for the prior period (e.g., September 30, 2014) to calculate material changes in portfolio value or composition. The document serves as a snapshot of holdings as of the reporting date.
Guidance, Outlook, and Risks
This form does not contain management commentary, future guidance, risk factors, or contingencies regarding the business operations of UBS Group AG. It is a regulatory disclosure of securities ownership.
Key Facts for Investor Verification
- Verify the total reported portfolio value of approximately $143.1 billion against other regulatory filings or public disclosures for the same period.
- Confirm the scope of the report includes the three listed affiliated managers (UBS Financial Services Inc., UBS Swiss Financial Advisors AG, UBS AG, New York Branch).
- Note that this document does not reflect UBS Group AG's own financial health (earnings, debt levels) but rather the assets under management or proprietary trading positions reported to the SEC.
- Check the filing date (February 13, 2015) to ensure it aligns with the standard 45-day reporting window for the quarter ended December 31, 2014.