SILVERBACK ASSET MANAGEMENT LLC Information

1414 RALEIGH ROAD, CHAPEL HILL, North Carolina, 27517, (919) 969-9300

Report Date: 03/31/2014

Position Statistics

Total Positions 20
New Positions 5
Increased Positions 8
Decreased Positions 10
Positions with Activity 18
Sold Out Positions 8
Total Mkt Value (in $ millions) 294

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

Sector Weighting

Basic Materials 0.16%
Capital Goods
Conglomerates
Consumer Cyclical 0%
Consumer/Non-Cyclical
Energy 0.29%
Financial 65.68%
Healthcare 2.28%
Services 0.1%
Technology 1.01%
Transportation
Utilities 30.48%

20 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CITIGROUP INC COM NEW 193,079 193,079 New 3,859,274
KINDER MORGAN INC DEL COM 89,596 89,596 New 2,364,000
HOLOGIC INC COM 4,160 New 164,700
VRINGO INC COM 1,520 768 102.13 464,844
FUELCELL ENERGY INC COM 1,440 1,440 New 607,745
ADVAXIS INC COM NEW 1,426 988 225.57 488,350
SANOFI CONTGNT VAL RT 763 -280 (26.86) 1,582,410
SOLAZYME INC COM 489 489 New 50,000
MOLYCORP INC DEL COM 464 New 216,700
BPZ RESOURCES INC COM 367 240 189.95 129,707
CUBIST PHARMACEUTICALS INC CONT VAL RT 13 345 -19 (5.29) 2,558,079
CARRIAGE SVCS INC COM 299 299 New 18,560
ADVAXIS INC WT EXP 071518 -113 Sold Out 0
AMERICAN EQTY INVT LIFE HLD CO COM -5,828 Sold Out 0
CHENIERE ENERGY INC COM NEW -3,591 Sold Out 0
CITIGROUP INC WT EXP 102818 -65 Sold Out 0
CITIGROUP INC WT EXP 010419 -1,628 Sold Out 0
GENERAL MTRS CO WT EXP 071016 -12,760 Sold Out 0
KINDER MORGAN INC DEL WT EXP 052517 -5,570 Sold Out 0
PENNEY J C INC COM -1,838 Sold Out 0

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