UBS OCONNOR LLC Information

ONE NORTH WACKER DRIVE 32ND FLOOR, CHICAGO, Illinois, 60606, (312) 525-6000

Report Date: 06/30/2014

Position Statistics

Total Positions 501
New Positions 152
Increased Positions 222
Decreased Positions 270
Positions with Activity 492
Sold Out Positions 165
Total Mkt Value (in $ millions) 3,894

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

Sector Weighting

Basic Materials 7.83%
Capital Goods 3.72%
Conglomerates 0%
Consumer Cyclical 4.03%
Consumer/Non-Cyclical 13.95%
Energy 2.66%
Financial 13.95%
Healthcare 3.79%
Services 22.56%
Technology 15.02%
Transportation 1.54%
Utilities 7.26%

165 Sold Out Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
MCGRAW HILL FINL INC COM -52,131 Sold Out 0
ACADIA PHARMACEUTICALS COM -799 Sold Out 0
AGCO CORP COM -5,563 Sold Out 0
AIRGAS INC COM -13,707 Sold Out 0
ALEXANDRIA REAL ESTATE EQ INC COM -11,602 Sold Out 0
ALLSTATE CORP COM -35,725 Sold Out 0
AMEREN CORP COM -599 Sold Out 0
AMERICAN CAP SR FLOATING LTD COM -3,019 Sold Out 0
AMERICAN ELEC PWR INC COM -23,371 Sold Out 0
AMERICAN HOMES 4 RENT CL A -37,715 Sold Out 0
AMERICAN INTL GROUP INC COM NEW -2,587 Sold Out 0
AMPIO PHARMACEUTICALS INC COM -261 Sold Out 0
ATMOS ENERGY CORP COM -5,370 Sold Out 0
AXIALL CORP COM -3,136 Sold Out 0
BB&T CORP COM -3,874 Sold Out 0
BEST BUY INC COM -419 Sold Out 0
BIOMARIN PHARMACEUTICAL INC COM -1,222 Sold Out 0
BLACKSTONE MTG TR INC COM CL A -11,637 Sold Out 0
BLOCK H & R INC COM -18,369 Sold Out 0
BROWN & BROWN INC COM -11,513 Sold Out 0