UBS AG Information

BAHNHOFSTRASSE 45, ZURICH, , CH 8001, (203) 719-5241

Report Date: 03/31/2014

Position Statistics

Total Positions 6,769
New Positions 463
Increased Positions 3,508
Decreased Positions 3,129
Positions with Activity 6,637
Sold Out Positions 406
Total Mkt Value (in $ millions) 98,431

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

Sector Weighting

Basic Materials 2.31%
Capital Goods 2.72%
Conglomerates 0.14%
Consumer Cyclical 2.26%
Consumer/Non-Cyclical 5.16%
Energy 8.97%
Financial 42.89%
Healthcare 6.78%
Services 9.91%
Technology 11.09%
Transportation 1.46%
Utilities 5.02%

463 New Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
NEWLEAD HOLDINGS LTD SHS PAR $0.50 New 2
QKL STORES INC COM PAR $0.001 New 10
PROSPECT GLOBAL RES INC COM NEW New 113
CAMBRIDGE CAP ACQUISITION CORP WT EXP 122318 New 200
INTERCLOUD SYS INC WT EXP 082518 New 40
SYNUTRA INTL INC COM New 20
ROI ACQUISITION CORP II WT EXP 091718 New 400
REVANCE THERAPEUTICS INC COM New 7
CYCLACEL PHARMACEUTICALS INC PFD CONV EX 6% New 31
I D SYSTEMS INC COM New 55
XPLORE TECHNOLOGIES CORP COM PAR $0.001 New 49
ZBB ENERGY CORPORATION COM NEW New 200
REVETT MNG CO COM NEW New 312
PROVIDENT FINL HLDGS INC COM New 26
FIBROCELL SCIENCE INC COM NEW New 121
ZOGENIX INC COM New 288
CHINA GENGSHENG MINERALS INC COM New 4,484
BLONDER TONGUE LABS INC COM New 500
LEVY ACQUISITION CORP WT EXP 111918 New 1,169
NORTHWEST BIOTHERAPEUTICS INC WT EXP 121217 New 158