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, 2018. The report was signed on November 14, 2018, by Jennifer Sator and Stevenson Giles. This is a combination report, meaning it covers a portion of the holdings for the reporting manager, with other portions reported by separate managers.
Key Financial Metrics
As a Form 13F filing, this document discloses equity holdings rather than the company's own financial performance (revenue, profit, or cash flow). The filing provides the following aggregate data regarding the reported portfolio:
- Total Value of Reported Holdings: $252,295,740,000 (252,295,740 thousands)
- Total Number of Holdings Entries: 13,792
- Number of Other Included Managers: 3
Note: The filing text does not provide values for revenue, profit, cash flow, margins, debt, or liquidity for UBS Group AG itself.
Material Changes and Other Managers
This report aggregates data from UBS Group AG and three other institutional investment managers under its umbrella. The other managers included in this filing are:
- 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)
Additionally, the cover page lists other managers reporting for this manager, including UBS Asset Management (Americas) Inc. and UBS O'Connor LLC. The filing does not contain a comparative table of material changes versus the prior period.
Guidance, Outlook, and Risks
The filing text does not contain management commentary, future guidance, outlook, or specific risk factors. It includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness.
Key Facts for Investor Verification
- Verify the total reported equity exposure of approximately $252.3 billion against the firm's total assets under management to understand the scope of this specific report.
- Confirm the specific holdings breakdown in the attached schedules (not included in this summary text) to analyze sector concentration.
- Note that this is a "Combination Report," requiring cross-referencing with filings from the other listed managers to obtain a complete picture of UBS Group AG's total reported holdings.
- Recognize that this document does not reflect UBS Group AG's own financial health (earnings, debt, or liquidity), which must be sourced from 10-K or 10-Q filings.