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 151
Increased Positions 258
Decreased Positions 219
Positions with Activity 477
Sold Out Positions 130
Total Mkt Value (in $ millions) 4,237

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

Sector Weighting

Basic Materials 8.03%
Capital Goods 4.24%
Conglomerates 0.12%
Consumer Cyclical 3.45%
Consumer/Non-Cyclical 11.88%
Energy 3.89%
Financial 13.2%
Healthcare 2.85%
Services 22.77%
Technology 16.47%
Transportation 2.1%
Utilities 5.64%

487 Positions as of 09/30/2014

Company ▲ Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
A10 NETWORKS INC COM 1,655 1,655 New 387,513
AARONS INC COM PAR $0.50 246 57 30.09 8,600
ACADIA RLTY TR COM SH BEN INT -4,309 Sold Out 0
ACTAVIS PLC SHS -76,085 Sold Out 0
ACTIVISION BLIZZARD INC COM 5,092 -7,979 (61.04) 251,473
ACTUANT CORP CL A NEW -3,512 Sold Out 0
ADVANCE AUTO PARTS INC COM 28,430 28,430 New 177,853
AFFILIATED MANAGERS GROUP COM 11,352 4,264 60.15 53,762
AGL RES INC COM 253 55 27.80 4,855
AIR LEASE CORP CL A -7,286 Sold Out 0
AK STL HLDG CORP COM 11,344 11,344 New 1,814,963
ALIBABA GROUP HLDG LTD SPONSORED ADS 96,487 96,487 New 872,000
ALLIANCE DATA SYSTEMS CORP COM 47,908 33,433 230.97 165,486
ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 3,220 3,220 New 129,485
ALLIANT ENERGY CORP COM -15,323 Sold Out 0
ALLISON TRANSMISSION HLDGS INC COM 8,260 -4,047 (32.88) 246,408
ALTRIA GROUP INC COM -24,345 Sold Out 0
AMAZON COM INC COM -750 Sold Out 0
AMBEV SA SPONSORED ADR 933 -1,219 (56.67) 155,174
AMC ENTMT HLDGS INC CL A COM -2,669 Sold Out 0


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