UBS OCONNOR LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 501
New Positions 152
Increased Positions 222
Decreased Positions 270
Positions with Activity 492
Sold Out Positions 165
Total Mkt Value (in $ millions) 3,939

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 3.78%
Conglomerates 0%
Consumer Cyclical 4.01%
Consumer/Non-Cyclical 14.07%
Energy 3%
Financial 13.34%
Healthcare 3.65%
Services 22.83%
Technology 14.81%
Transportation 1.48%
Utilities 7.33%

501 Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
EDISON INTL COM 14,894 3,894 35.40 251,843
MALLINCKRODT PUB LTD CO SHS 14,451 14,451 New 177,337
CMS ENERGY CORP COM 14,434 -4,690 (24.53) 472,622
CONSTELLIUM NV CL A 14,270 475 3.44 501,039
RELIANCE STEEL & ALUMINUM CO COM 14,249 14,249 New 203,787
AMERICAN WTR WKS CO INC NEW COM 14,199 -7,452 (34.42) 280,552
APOLLO ED GROUP INC CL A 14,051 3,670 35.35 505,993
ALLIANT ENERGY CORP COM 13,690 1,813 15.27 234,050
VISTEON CORP COM NEW 13,546 13,546 New 133,864
MONSANTO CO NEW COM 13,446 -6,461 (32.46) 116,266
SYNOVUS FINL CORP COM NEW 13,442 13,442 New 556,600
GENERAL MTRS CO COM 13,425 -8,918 (39.92) 385,769
REGIONS FINL CORP NEW COM 13,397 6,389 91.17 1,319,856
ALLIANCE DATA SYSTEMS CORP COM 13,232 13,232 New 50,000
CALPINE CORP COM NEW 13,067 13,067 New 549,715
CLAYMORE EXCHANGE TRD FD TR 2 GUGGENHEIM SOLAR 12,771 2,819 28.33 294,338
QUANTA SVCS INC COM 12,608 7,697 156.73 346,955
FIRSTMERIT CORP COM 12,583 12,583 New 730,088
UNITED PARCEL SERVICE INC CL B 12,292 11,225 1,051.18 126,296
OGE ENERGY CORP COM 12,213 -2,035 (14.29) 325,500