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, 2023. The filing was signed by Andrew Johnson, Head Group Shareholding Reporting, on October 31, 2023.
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 Value of Reported Holdings: $290,088,560,404
- Total Number of Holdings Entries: 17,347
- Number of Other Included Managers: 9
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 Portfolio Composition
This report is a 13F Combination Report, indicating that a portion of the holdings for this reporting manager are reported in this document, while other portions are reported by other managers. The filing includes data for several other UBS entities, including:
- UBS Asset Management Americas Inc
- UBS O'Connor LLC
- Credit Suisse AG
- UBS Financial Services Inc
- UBS AG
- UBS Switzerland AG
- UBS Europe SE
- UBS Bank (Canada)
- UBS La Maison de Gestion
- UBS Securities LLC
- UBS Brasil Administradora de Valores Mobiliarios Ltda
- UBS (Monaco) S.A.
The filing text does not provide specific data on material changes in holdings compared to the prior comparable period.
Guidance, Outlook, and Risks
Form 13F filings are statutory disclosures of equity holdings and do not contain management commentary, forward-looking guidance, risk factors, or contingencies regarding the issuer's future performance. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Key Facts for Investor Verification
- Verify the total reported portfolio value of approximately $290.1 billion against the firm's total assets under management (AUM) to understand the scope of reported holdings.
- Confirm the inclusion of Credit Suisse AG in the list of other managers, reflecting the integration of portfolios following the acquisition.
- Note that this is a combination report; investors should review filings from the other listed managers to obtain a complete picture of UBS Group AG's total equity exposure.
- Recognize that this document does not disclose the firm's own financial health (e.g., capital adequacy, net income) or operational risks.