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 485
New Positions 150
Increased Positions 258
Decreased Positions 217
Positions with Activity 475
Sold Out Positions 129
Total Mkt Value (in $ millions) 4,124

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

Sector Weighting

Basic Materials 7.9%
Capital Goods 4.19%
Conglomerates 0.11%
Consumer Cyclical 3.41%
Consumer/Non-Cyclical 11.96%
Energy 3.59%
Financial 13%
Healthcare 3.05%
Services 23.69%
Technology 15.88%
Transportation 2.04%
Utilities 6.09%

485 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
WEBSTER FINL CORP CONN COM -1,138 Sold Out 0
WELLS FARGO & CO NEW COM -3,536 Sold Out 0
WESTAR ENERGY INC COM -21,398 Sold Out 0
WEYERHAEUSER CO PREF CONV SER A -242 Sold Out 0
WEYERHAEUSER CO COM -46,033 Sold Out 0