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 459
New Positions 164
Increased Positions 255
Decreased Positions 201
Positions with Activity 456
Sold Out Positions 112
Total Mkt Value (in $ millions) 4,730

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 3.37%
Consumer/Non-Cyclical 8.92%
Energy 2.81%
Financial 11.23%
Healthcare 1.85%
Services 38.17%
Technology 9.9%
Transportation 1.19%
Utilities 6.66%

459 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
DUKE ENERGY CORP NEW COM NEW 24,701 1,511 6.51 342,550
GENERAL MTRS CO COM 24,378 24,123 9,437.17 642,042
DANAHER CORP DEL COM 24,327 24,327 New 310,732
STEEL DYNAMICS INC COM 24,215 24,215 New 1,326,112
RALPH LAUREN CORP CL A 24,145 -13,889 (36.52) 148,200
AMERICAN ELEC PWR INC COM 23,999 3,165 15.19 438,650
GAMESTOP CORP NEW CL A 23,486 10,949 87.33 562,000
EDUCATION RLTY TR INC COM 23,425 3,250 16.11 2,175,000
CROWN CASTLE INTL CORP COM 23,270 -37,733 (61.85) 313,737
REPUBLIC SVCS INC COM 22,964 15,939 226.86 615,331
JOY GLOBAL INC COM 22,085 8,497 62.53 364,075
VORNADO RLTY TR SH BEN INT 22,022 10,279 87.54 207,033
EMERSON ELEC CO COM 21,844 21,844 New 322,666
ESSEX PPTY TR INC COM 21,421 21,421 New 114,800
MONSANTO CO NEW COM 21,254 21,254 New 172,135
AMERICAN WTR WKS CO INC NEW COM 20,736 7,095 52.01 427,801
FIDELITY NATL INFORMATION SVCS COM 20,670 5,122 32.95 374,383
MOHAWK INDS INC COM 20,580 17,746 626.15 152,492
T-MOBILE US INC COM 19,941 14,725 282.31 603,725
FEDERAL REALTY INVT TR SH BEN INT NEW 19,581 -6,334 (24.44) 159,426