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 150
Increased Positions 257
Decreased Positions 220
Positions with Activity 477
Sold Out Positions 131
Total Mkt Value (in $ millions) 4,247

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

Sector Weighting

Basic Materials 8.07%
Capital Goods 4.46%
Conglomerates 0.12%
Consumer Cyclical 3.47%
Consumer/Non-Cyclical 11.99%
Energy 4.53%
Financial 12.79%
Healthcare 2.72%
Services 22.34%
Technology 16.71%
Transportation 2.19%
Utilities 5.4%

487 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
VIMPELCOM LTD SPONSORED ADR -3,375 Sold Out 0
WASTE CONNECTIONS INC COM -1,774 Sold Out 0
WEBSTER FINL CORP CONN COM -1,177 Sold Out 0
WELLS FARGO & CO NEW COM -3,611 Sold Out 0
WESTAR ENERGY INC COM -18,745 Sold Out 0
WEYERHAEUSER CO PREF CONV SER A -246 Sold Out 0
WEYERHAEUSER CO COM -45,799 Sold Out 0