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 based in Zurich, Switzerland. The report covers the calendar quarter ended September 30, 2021. The filing was signed on November 12, 2021, by Rollins Simmons and Nemanja Pantic. This is a combination report, meaning it includes holdings reported by UBS Group AG and 11 other included managers, such as UBS Asset Management (Americas) Inc. and UBS O'Connor LLC.
Key Financial Metrics
As a Form 13F filing, this document reports investment holdings rather than the operating financial performance (revenue, profit, cash flow) of UBS Group AG itself. The following metrics relate to the reported portfolio:
- Total Value of Reported Holdings: $317,590,305,000 (317,590,305 thousands).
- Total Number of Holdings Entries: 18,647.
- Number of Other Included Managers: 11.
Note: The filing text does not provide values for UBS Group AG's revenue, profit, cash flow, margins, debt, or liquidity, as these are not required in a 13F-HR filing.
Material Changes
The filing text does not provide comparative data for the prior quarter or year. Consequently, material changes in holdings value or composition versus the prior comparable period cannot be determined from this document alone.
Guidance, Outlook, and Risks
This filing contains no management commentary, forward-looking guidance, or specific risk factors regarding UBS Group AG's business operations. The document includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness and that readers should not assume the information is accurate or complete.
Investor Verification Checklist
- Verify the total reported value of $317.59 billion against UBS Group AG's 10-K or 10-Q filings to understand the proportion of assets under management versus total corporate assets.
- Confirm the list of 11 other included managers to ensure the scope of the reported holdings aligns with the specific business segments of interest.
- Review the full Schedule 13F (not included in this summary) to analyze specific equity positions, as this summary only provides aggregate totals.
- Check for subsequent amendments to this filing, as 13F reports are subject to correction or restatement.