Form 13f Holdings Report (13f-hr)
November 14 2016 - 5:07PM
Edgar (US Regulatory)
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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
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OMB APPROVAL
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Washington, D.C. 20549
FORM 13F
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OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
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Report for the Calendar Year or Quarter Ended:
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09-30-2016
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Check here if Amendment:
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Amendment Number:
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This Amendment (Check only one.):
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is a restatement.
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adds new holdings entries.
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Institutional Investment Manager Filing this Report:
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Name:
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UBS Group AG
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Address:
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BAHNHOFSTRASSE 45
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ZURICH
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V8
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CH-8001
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Form 13F File Number:
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028-16612
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The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing
the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood
that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
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Name:
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Patricia Arce
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Title:
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Associate Director, Compliance and Operational Risk Control
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Phone:
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(201) 352-7137
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Signature, Place, and Date of Signing:
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/s/ Patricia Arce
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Weehawken,
NEW JERSEY
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11-14-2016
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[Signature]
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[City, State]
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[Date]
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Do you wish to provide information pursuant to Special Instruction 5?
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Yes
X
No
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Report Type (Check only one.):
13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
X
13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager
[If there are no entries in this list, omit this section.]
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Form 13F File Number
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Name
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028-02682
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UBS ASSET MANAGEMENT (AMERICAS) INC
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028-06327
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UBS OCONNOR LLC
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Form 13F Summary Page
Report Summary:
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Number of Other Included Managers:
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3
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Form 13F Information table Entry Total:
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12798
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Form 13F Information table Value Total:
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167,743,054
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(thousands)
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List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F number(s) of all institutional investement managers with respect to which this report is filed, other than the manager filing this report.
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No.
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Form 13F File Number
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Name
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CIK
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1
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028-11496
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UBS Financial Services Inc.
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17
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028-11603
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UBS Swiss Financial Advisors AG
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20
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028-07344
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UBS AG New York Branch
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