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 668
New Positions 311
Increased Positions 397
Decreased Positions 265
Positions with Activity 662
Sold Out Positions 139
Total Mkt Value (in $ millions) 3,632

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

Sector Weighting

Basic Materials 10.34%
Capital Goods 3.57%
Conglomerates 0.39%
Consumer Cyclical 6.33%
Consumer/Non-Cyclical 12.99%
Energy 3.33%
Financial 12.41%
Healthcare 7.37%
Services 22.19%
Technology 12.21%
Transportation 1.67%
Utilities 2.13%

668 Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SIENTRA INC COM 1,369 1,369 New 76,000
SANGAMO BIOSCIENCES INC COM 1,358 -679 (33.33) 80,000
CHESAPEAKE LODGING TR SH BEN INT 1,340 -64 (4.55) 37,661
THERAPEUTICSMD INC COM 1,335 134 11.11 250,000
PLUG POWER INC COM NEW 1,322 545 70.08 425,200
OLYMPIC STEEL INC COM 1,322 -68 (4.87) 90,259
DEVON ENERGY CORP NEW COM 1,314 1,314 New 21,000
ISHARES TR MSCI PHILIPS ETF 1,309 1,309 New 31,250
CAMDEN PPTY TR SH BEN INT 1,275 1,275 New 17,618
DERMIRA INC COM 1,269 1,269 New 70,900
VALE S A ADR 1,255 613 95.38 171,000
KITE PHARMA INC COM 1,245 1,245 New 18,445
HEALTHCARE TR AMER INC CL A NEW 1,242 278 28.81 45,792
C&J ENERGY SVCS INC COM 1,239 1,063 604.07 93,501
DCT INDUSTRIAL TRUST INC COM NEW 1,191 -1,021 (46.16) 33,285
EXACT SCIENCES CORP COM 1,168 1,168 New 50,000
HORNBECK OFFSHORE SVCS INC NEW COM 1,160 1,160 New 57,800
WHITING PETE CORP NEW COM 1,146 -1,119 (49.41) 33,700
MEAD JOHNSON NUTRITION CO COM 1,127 -4,969 (81.51) 10,801
ATRICURE INC COM 1,076 New 60,000