BANK OF NEW YORK MELLON CORP Information

ONE WALL STREET, 31ST FLOOR, NEW YORK, New York, 10286, (212) 495-1784

Report Date: 12/31/2013

Position Statistics

Total Positions 4,029
New Positions 167
Increased Positions 2,102
Decreased Positions 1,773
Positions with Activity 3,875
Sold Out Positions 62
Total Mkt Value (in $ millions) 359,115

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.91%
Capital Goods 4.79%
Conglomerates 0.29%
Consumer Cyclical 3.36%
Consumer/Non-Cyclical 7.01%
Energy 9.82%
Financial 17.96%
Healthcare 10.69%
Services 17.84%
Technology 17.91%
Transportation 2.04%
Utilities 2.84%

62 Sold Out Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) ▲ Shares Held
ALTISOURCE ASSET MGMT CORP COM -2,848 Sold Out 0
AMR CORP DEL COM -14,962 Sold Out 0
ASTRONICS CORP CL B -914 Sold Out 0
BANK OF AMERICA CORPORATION WT EXP 102818 -48 Sold Out 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L -1,717 Sold Out 0
BERKSHIRE BANCORP INC DEL COM NEW -139 Sold Out 0
CBS CORP (CLASS B) CL A -1,723 Sold Out 0
CHENIERE ENERGY PARTNERS LP COM UNIT -1,279 Sold Out 0
CHUNGHWA TELECOM CO LTD SPON ADR NEW11 -485 Sold Out 0
CONCURRENT COMPUTER CORP NEW COM PAR $.01 -83 Sold Out 0
DBX ETF TR XTRAK MSCI EAFE -1,609 Sold Out 0
DIANA SHIPPING INC COM -249 Sold Out 0
DNP SELECT INCOME FD COM -152 Sold Out 0
EATON VANCE MUN BD FD COM -166 Sold Out 0
ELAN PLC ADR -997 Sold Out 0
ETFS GOLD TR SHS -200 Sold Out 0
EXA CORP COM -138 Sold Out 0
FIDUCIARY CLAYMORE MLP OPP FD COM -358 Sold Out 0
FIRST TR EXCHANGE TRADED FD II HLTH CARE ALPH -290 Sold Out 0
GOLD FIELDS LTD NEW SPONSORED ADR -103 Sold Out 0