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 June 30, 2016. The report was signed on August 12, 2016, by Patricia Arce, Associate Director of Compliance and Operational Risk Control. 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 issuer's financial performance (revenue, profit, or cash flow). The filing provides the following aggregate data regarding the reported portfolio:
- Total Value of Reported Holdings: $159,204,080,000 (159,204,080 thousands)
- Total Number of Holdings Entries: 14,247
- Number of Other Included Managers: 3
Note: The filing text does not provide data on UBS Group AG's own revenue, profit, margins, debt, or liquidity, as this form reports investment positions held by the manager, not the manager's corporate financials.
Material Changes and Scope
This report is a combination filing. It explicitly lists other managers reporting for UBS Group AG, including:
- UBS ASSET MANAGEMENT (AMERICAS) INC (File No. 028-02682)
- UBS OCONNOR LLC (File No. 028-06327)
- 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)
The filing does not contain a comparative table of changes versus the prior period (Q1 2016) within the provided text; it only lists the aggregate totals for the current quarter.
Guidance, Outlook, and Risks
The filing text does not contain management commentary, forward-looking guidance, risk factors, or contingencies 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.
Key Facts for Investor Verification
- Verify the total reported equity exposure of approximately $159.2 billion across 14,247 holdings.
- Confirm that this is a partial report (Combination Report) and review filings from the listed "Other Included Managers" for a complete picture of UBS's managed assets.
- Note that this document does not reflect UBS Group AG's own financial health (e.g., earnings or balance sheet), only its investment portfolio.