CARVAL INVESTORS, LLC Information

9320 EXCELSIOR BOULEVARD, 7TH FLOOR, HOPKINS, Minnesota, 55343, (952) 984-3967

Report Date: 12/31/2013

Position Statistics

Total Positions 20
New Positions 2
Increased Positions 6
Decreased Positions 12
Positions with Activity 18
Sold Out Positions 8
Total Mkt Value (in $ millions) 93

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

Sector Weighting

Basic Materials
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy 11.65%
Financial 62.31%
Healthcare
Services 3.64%
Technology
Transportation
Utilities 18%

20 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
DYNEGY INC NEW DEL COM 16,684 -4,846 (22.51) 634,363
ROYAL BK SCOTLAND GROUP PLC ADR PREF SER N 14,997 1,554 11.56 660,669
CITIGROUP INC WT EXP 010419 10,324 7,560 273.52 16,387,300
ASSURED GUARANTY LTD COM 9,458 -2,367 (20.02) 399,581
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF M 7,981 622 8.46 350,371
EXCO RESOURCES INC COM 7,270 2,580 55.02 1,185,900
MBIA INC COM 6,655 -4,808 (41.94) 553,700
ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 6,446 New 301,797
AMERICAN HOMES 4 RENT CL A 4,076 4,076 New 254,580
TRANSPORTADORA DE GAS SUR SPON ADR B 3,531 -135 (3.67) 1,477,493
WALTER INVT MGMT CORP COM 3,369 3,369 New 121,115
ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS R 1,890 New 85,542
BANK OF AMERICA CORPORATION WT EXP 011619 -5,573 Sold Out 0
BANK OF AMERICA CORPORATION COM -20,386 Sold Out 0
JPMORGAN CHASE & CO WT EXP 102818 -7,199 Sold Out 0
LINN ENERGY LLC UNIT LTD LIAB -4,162 Sold Out 0
NRG ENERGY INC COM NEW -2,426 Sold Out 0
ROYAL BK SCOTLAND GROUP PLC ADR PFD SER P -2,193 Sold Out 0
SPDR S&P 500 ETF TR TR UNIT -53,868 Sold Out 0
WELLS FARGO & CO NEW WT EXP 102818 -4,829 Sold Out 0

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