UBS OCONNOR LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 487
New Positions 151
Increased Positions 258
Decreased Positions 219
Positions with Activity 477
Sold Out Positions 130
Total Mkt Value (in $ millions) 4,264

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

Sector Weighting

Basic Materials 8.01%
Capital Goods 4.24%
Conglomerates 0.12%
Consumer Cyclical 3.46%
Consumer/Non-Cyclical 11.94%
Energy 3.7%
Financial 13.19%
Healthcare 2.78%
Services 22.85%
Technology 16.58%
Transportation 2.12%
Utilities 5.76%

487 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 4,494 2,699 150.37 16,900
CURTISS WRIGHT CORP COM 4,400 -63 (1.42) 61,930
ISHARES TR RUSSELL 2000 ETF 4,359 3,072 238.73 36,400
STERLING BANCORP DEL COM 4,285 4,285 New 303,055
ARATANA THERAPEUTICS INC COM 4,238 2,878 211.52 248,589
TESARO INC COM 4,158 4,158 New 113,000
INVESCO LTD SHS 4,139 4,139 New 102,519
WYNDHAM WORLDWIDE CORP COM 4,121 2,231 118.00 48,100
ISHARES TR CORE S&P500 ETF 4,081 2,187 115.47 19,500
AMERICAN WTR WKS CO INC NEW COM 3,997 -11,086 (73.5) 74,340
SUNTRUST BKS INC COM 3,926 -16,325 (80.61) 92,539
SANCHEZ ENERGY CORP COM 3,869 2,157 126.01 390,431
KBR INC COM 3,858 3,858 New 226,957
COMCAST CORP NEW CL A 3,827 -1,678 (30.49) 65,899
OWENS CORNING NEW COM 3,825 -1,711 (30.91) 108,565
SUNCOR ENERGY INC NEW COM 3,762 3,762 New 117,264
CHURCH & DWIGHT INC COM 3,751 3,751 New 46,800
OMEGA HEALTHCARE INVS INC COM 3,747 1,211 47.77 95,138
HALLIBURTON CO COM 3,732 3,732 New 94,008
CIMAREX ENERGY CO COM 3,691 3,691 New 32,969


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