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UOC

UBS O'Connor Portfolio holdings

AUM $3.38B
1-Year Est. Return 63.08%
This Fund
S&P 500
This Quarter Est. Return
+0.38%
1 Year Est. Return
+63.08%
3 Year Est. Return
+180.99%
5 Year Est. Return
+483.22%
10 Year Est. Return
+2,128.62%
AUM
$3.59B
AUM Growth
-$1.57B
Cap. Flow
-$2.47B
Cap. Flow %
-68.8%
Top 10 Hldgs %
49.92%
Holding
394
New
147
Increased
44
Reduced
60
Closed
82

Top Buys

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$273M
2
GWR
Genesee & Wyoming Inc.
GWR
+$169M
3
CY
Cypress Semiconductor
CY
+$116M
4
WCG
Wellcare Health Plans, Inc.
WCG
+$108M
5
AABA
Altaba Inc
AABA
+$91.3M

Top Sells

Rank Stock Value
1
RHT
Red Hat Inc
RHT
+$555M
2
FDC
First Data Corporation
FDC
+$522M
3
LLL
L3 Technologies, Inc.
LLL
+$404M
4
WP
Worldpay, Inc.
WP
+$334M
5
APC
Anadarko Petroleum
APC
+$296M

Sector Composition

Rank Sector Weight
1 Healthcare 18.77%
2 Technology 13.48%
3 Financials 9.55%
4 Industrials 8.32%
5 Real Estate 6.91%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRMK
226
CALL
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
$315K 0.01%
+250,000
New +$2.59M
KOS icon
227
Kosmos Energy
KOS
$1.47B
$285K 0.01%
45,693
-265,528
-85% -$1.63M
PRVB
228
DELISTED
Provention Bio, Inc. Common Stock
PRVB
$273K 0.01%
+40,000
New +$405K
PCG icon
229
PUT
PG&E
PCG
$37.4B
$266K 0.01%
399,900
– –
RRC icon
230
PUT
Range Resources
RRC
$9.01B
$254K 0.01%
54,600
– –
RWGE
231
CALL
DELISTED
Regalwood Global Energy Ltd. Class A Ordinary Shares
RWGE
$254K 0.01%
+442,012
New +$4.54M
WW
232
CALL
DELISTED
WW International
WW
$251K 0.01%
25,000
-100,000
-80% -$2.82M
ANGI icon
233
Angi Inc
ANGI
$201M
$248K 0.01%
3,500
-4,250
-55% -$436K
TRIT
234
CALL
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
$236K 0.01%
+800,000
New +$7.83M
BBGI icon
235
Beasley Broadcasting Group
BBGI
$42.8M
$227K 0.01%
3,655
-40
-1% -$2.52K
VVNT
236
CALL
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
$225K 0.01%
+200,000
New +$2.05M
GME icon
237
PUT
GameStop
GME
$8.63B
$212K 0.01%
800,000
-120,000
-13% -$130K
GT icon
238
CALL
Goodyear
GT
$1.94B
$200K 0.01%
+200,000
New +$2.66M
BTRS
239
CALL
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
$200K 0.01%
+250,000
New +$2.46M
ID
240
CALL
DELISTED
PARTS iD, Inc.
ID
$179K 0.01%
+550,000
New +$5.59M
GE icon
241
PUT
GE Aerospace
GE
$389B
$165K ﹤0.01%
+401,273
New +$18.9M
LACQ
242
CALL
DELISTED
Leisure Acquisition Corp.
LACQ
$160K ﹤0.01%
+210,182
New +$2.14M
LSEA
243
CALL
DELISTED
Landsea Homes
LSEA
$154K ﹤0.01%
+375,000
New +$3.83M
REV
244
PUT
DELISTED
Revlon, Inc.
REV
$147K ﹤0.01%
62,500
– –
RMO
245
CALL
DELISTED
Romeo Power, Inc.
RMO
$145K ﹤0.01%
+200,000
New +$1.97M
WW
246
PUT
DELISTED
WW International
WW
$142K ﹤0.01%
205,000
-90,000
-31% -$2.54M
UTZ icon
247
CALL
Utz Brands
UTZ
$1.25B
$140K ﹤0.01%
+100,000
New +$1.02M
TLT icon
248
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$41.6B
$132K ﹤0.01%
+250,000
New +$34.7M
USO icon
249
PUT
United States Oil Fund
USO
$1.86B
$132K ﹤0.01%
62,500
-26,250
-30% -$2.46M
SOLO
250
CALL
DELISTED
Electrameccanica Vehicles Corp. Ltd.
SOLO
$126K ﹤0.01%
350,000
– –
8 9
10
11 12

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FNBT
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SAG
SageView Advisory Group Newport Beach, California $2.96B AUM 15.81% 1-Year Est. Return
ACI
Alpha Cubed Investments Irvine, California $2.92B AUM 31.27% 1-Year Est. Return
TCOV
Trust Company of Vermont Brattleboro, Vermont $2.4B AUM 18.8% 1-Year Est. Return
RC
RGM Capital Naples, Florida $2.06B AUM 8.49% 1-Year Est. Return
A
AlphaQuest New York $1.79B AUM 10.61% 1-Year Est. Return
CGL
Clarius Group LLC Seattle, Washington $1.75B AUM 19.04% 1-Year Est. Return
CB
Cadence Bank Tupelo, Mississippi $1.71B AUM 16.17% 1-Year Est. Return

UBS O'Connor's Q3 2019 Portfolio in Review

As of Q3 2019, UBS O'Connor held 394 positions worth $3.59B, down 30% from $5.16B the previous quarter. Its ten largest holdings account for 50% of the portfolio.

UBS O'Connor withdrew a net $2.47B in Q3 2019, closing 82 positions and reducing 60 holdings. Its most notable exit was Red Hat Inc, an estimated $555M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 19% of assets, up from 8.6% a quarter earlier, followed by Technology and Financials.

Against the trend, UBS O'Connor opened a new position in Genesee & Wyoming Inc. worth $170M.

  • UBS O'Connor's largest Q3 2019 buy was Genesee & Wyoming Inc.: 1,538,321 shares worth $170M.
  • UBS O'Connor added most to Celgene Corp in Q3 2019, an estimated $273M increase.
  • UBS O'Connor's biggest Q3 2019 reduction was Walt Disney, cutting an estimated $55.8M.
  • UBS O'Connor fully exited Red Hat Inc in Q3 2019, selling an estimated $555M.
  • UBS O'Connor's ten largest holdings make up 50% of its $3.59B portfolio in Q3 2019.
  • UBS O'Connor opened 147 new positions and closed 82 in Q3 2019.
  • UBS O'Connor's portfolio value fell 30% quarter-over-quarter to $3.59B.

Based on UBS O'Connor's 13F filing for Q3 2019, filed 14 Nov 2019.