SPDR SER TR

Ticker: KRE CUSIP: 78464A698 Class: Exchange Traded Fund

OCONNOR, A Distinct Business Unit of UBS ASSET MANAGEMENT AM's Holding History (CIK: 0001132716)

Note: Option positions (PUT/CALL) are excluded.

Q4 2017
Shares 75,000 Value ($000) $4,414,000 Avg Close — Range —
Q2 2017
Shares 127,680 Value ($000) $7,016,000 Avg Close — Range —
Q1 2017
Shares 148,879 Value ($000) $8,130,000 Avg Close — Range —
Q4 2016
Shares 297,675 Value ($000) $16,542,000 Avg Close — Range —
Q4 2015
Shares 62,500 Value ($000) $2,620,000 Avg Close — Range —
Q2 2015
Shares 40,000 Value ($000) $1,766,000 Avg Close — Range —
Q4 2013
Shares 124,000 Value ($000) $5,036,000 Avg Close — Range —