UBS OCONNOR LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 458
New Positions 163
Increased Positions 254
Decreased Positions 201
Positions with Activity 455
Sold Out Positions 112
Total Mkt Value (in $ millions) 4,753

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

Sector Weighting

Basic Materials 6.16%
Capital Goods 3.71%
Conglomerates 0.02%
Consumer Cyclical 3.31%
Consumer/Non-Cyclical 8.76%
Energy 2.83%
Financial 11.27%
Healthcare 1.81%
Services 38.3%
Technology 10.01%
Transportation 1.19%
Utilities 6.6%

458 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
HAIN CELESTIAL GROUP INC COM 206 206 New 2,364
ARATANA THERAPEUTICS INC COM 195 195 New 15,537
REGULUS THERAPEUTICS INC COM 137 -30 (18.03) 20,000
FUELCELL ENERGY INC COM 126 -1,029 (89.13) 50,000
VERTEX ENERGY INC COM 123 -134 (52.08) 15,000
VERITIV CORP COM 86 86 New 2,231
ACTIVISION BLIZZARD INC COM -3,967 Sold Out 0
ADOBE SYS INC COM -20,242 Sold Out 0
AIR PRODS & CHEMS INC COM -17,130 Sold Out 0
AMAZON COM INC COM -6,469 Sold Out 0
AMBEV SA SPONSORED ADR -1,772 Sold Out 0
AMERICAN CAMPUS CMNTYS INC COM -19,031 Sold Out 0
AMERICAN CAP LTD COM -10,236 Sold Out 0
ANNALY CAP MGMT INC COM -159 Sold Out 0
ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH -13,997 Sold Out 0
ARCHER DANIELS MIDLAND CO COM -9,382 Sold Out 0
ASHFORD HOSPITALITY TR INC COM SHS -13,429 Sold Out 0
AVON PRODS INC COM -37,188 Sold Out 0
BAIDU INC SPON ADR REP A -9,593 Sold Out 0
BPZ RESOURCES INC COM -278 Sold Out 0