CC NEUBERGER PRINCIPAL HLDNG

CUSIP: G1992Y114 Class: COM

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

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

Q4 2020
Shares 182,499 Value ($000) $1,978,000 Avg Close — Range —
Q3 2020
Shares 1,551,245 Value ($000) $16,133,000 Avg Close — Range —