UBS OCONNOR LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 667
New Positions 310
Increased Positions 396
Decreased Positions 265
Positions with Activity 661
Sold Out Positions 139
Total Mkt Value (in $ millions) 3,546

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

Sector Weighting

Basic Materials 10.22%
Capital Goods 3.12%
Conglomerates 0.4%
Consumer Cyclical 6.52%
Consumer/Non-Cyclical 13.46%
Energy 3.33%
Financial 13.05%
Healthcare 6.65%
Services 22.5%
Technology 11.83%
Transportation 1.62%
Utilities 2.12%

667 Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
HEALTHCARE TR AMER INC CL A NEW 1,263 282 28.81 45,792
HESS CORP COM 1,260 1,260 New 18,700
ALTRIA GROUP INC COM 1,259 1,259 New 25,000
SANGAMO BIOSCIENCES INC COM 1,243 -622 (33.33) 80,000
DEVON ENERGY CORP NEW COM 1,242 1,242 New 21,000
COVISINT CORP COM 1,211 1,211 New 605,669
GOODRICH PETE CORP COM NEW 1,201 354 41.89 366,030
REX ENERGY CORPORATION COM 1,196 89 8.01 309,800
OLYMPIC STEEL INC COM 1,189 -61 (4.87) 90,259
HORNBECK OFFSHORE SVCS INC NEW COM 1,150 1,150 New 57,800
DCT INDUSTRIAL TRUST INC COM NEW 1,147 -983 (46.16) 33,285
EXACT SCIENCES CORP COM 1,125 1,125 New 50,000
PLUG POWER INC COM NEW 1,123 463 70.08 425,200
C&J ENERGY SVCS LTD SHS 1,115 956 604.07 93,501
KITE PHARMA INC COM 1,103 1,103 New 18,445
MEAD JOHNSON NUTRITION CO COM 1,081 -4,765 (81.51) 10,801
DERMIRA INC COM 1,073 1,073 New 70,900
NEOTHETICS INC COM 1,068 1,068 New 139,600
WHITING PETE CORP NEW COM 1,028 -1,004 (49.41) 33,700
ORBCOMM INC COM 1,022 1,022 New 175,000