UBS OCONNOR LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 407
New Positions 133
Increased Positions 224
Decreased Positions 181
Positions with Activity 405
Sold Out Positions 115
Total Mkt Value (in $ millions) 4,586

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

Sector Weighting

Basic Materials 5.36%
Capital Goods 5.62%
Conglomerates 0.01%
Consumer Cyclical 2.45%
Consumer/Non-Cyclical 13.18%
Energy 1.75%
Financial 12.96%
Healthcare 2.13%
Services 37.41%
Technology 6.94%
Transportation 1.74%
Utilities 7.48%

407 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
WAL-MART STORES INC COM -43,748 Sold Out 0
WASHINGTON REAL ESTATE INVT TR SH BEN INT -2,157 Sold Out 0
WERNER ENTERPRISES INC COM -8,268 Sold Out 0
WESTERN REFNG INC COM -2,668 Sold Out 0
WESTPORT INNOVATIONS INC COM NEW -806 Sold Out 0
WINTHROP RLTY TR SH BEN INT NEW -489 Sold Out 0
ZIONS BANCORPORATION COM -4,765 Sold Out 0