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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
+10.95%
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
$3.53B
AUM Growth
-$60.5M
Cap. Flow
-$649M
Cap. Flow %
-18.37%
Top 10 Hldgs %
46.78%
Holding
411
New
105
Increased
79
Reduced
73
Closed
94

Top Buys

Rank Stock Value
1
WCG
Wellcare Health Plans, Inc.
WCG
+$198M
2
AMTD
TD Ameritrade Holding Corp
AMTD
+$140M
3
TIF
Tiffany & Co.
TIF
+$119M
4
CY
Cypress Semiconductor
CY
+$76M
5
MDCO
Medicines Co
MDCO
+$64.5M

Top Sells

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$545M
2
STI
SunTrust Banks, Inc.
STI
+$231M
3
GWR
Genesee & Wyoming Inc.
GWR
+$170M
4
AABA
Altaba Inc
AABA
+$72.2M
5
ACEL icon
Accel Entertainment
ACEL
+$33.9M

Sector Composition

Rank Sector Weight
1 Technology 19.08%
2 Consumer Discretionary 8.09%
3 Real Estate 7.1%
4 Financials 7.07%
5 Industrials 3.4%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TSLA icon
226
PUT
Tesla
TSLA
$1.26T
$595K 0.02%
1,473,000
-37,500
-2% -$813K
WW
227
DELISTED
WW International
WW
$573K 0.02%
15,000
– –
HYG icon
228
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
$545K 0.02%
2,000,000
-2,980,000
-60% -$259M
DKNG icon
229
CALL
DraftKings
DKNG
$11B
$523K 0.01%
219,352
+86,020
+65% +$871K
S
230
PUT
DELISTED
Sprint Corporation
S
$510K 0.01%
+1,019,900
New +$5.98M
LATN
231
CALL
DELISTED
Union Acquisition Corp. II Ordinary Shares
LATN
$490K 0.01%
+800,000
New +$7.88M
FVRR icon
232
Fiverr
FVRR
$331M
$482K 0.01%
20,500
-40,170
-66% -$886K
KOS icon
233
Kosmos Energy
KOS
$1.47B
$456K 0.01%
80,000
+34,307
+75% +$207K
RCKT icon
234
Rocket Pharmaceuticals
RCKT
$387M
$455K 0.01%
+20,000
New +$334K
FRT icon
235
Federal Realty Investment Trust
FRT
$10.2B
$438K 0.01%
3,400
-38,300
-92% -$5.09M
MNK
236
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$436K 0.01%
+125,000
New +$390K
ITRM
237
DELISTED
Iterum Therapeutics
ITRM
$399K 0.01%
5,913
– –
GTYH
238
CALL
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$370K 0.01%
650,000
– –
QEP
239
PUT
DELISTED
QEP RESOURCES, INC.
QEP
$351K 0.01%
93,600
– –
SKIL icon
240
CALL
Skillsoft
SKIL
$72.1M
$349K 0.01%
12,500
– –
CHPT icon
241
CALL
ChargePoint
CHPT
$152M
$341K 0.01%
27,296
-5,020
-16% -$979K
UTZ icon
242
CALL
Utz Brands
UTZ
$1.25B
$338K 0.01%
246,900
+146,900
+147% +$1.5M
FREE
243
CALL
DELISTED
Whole Earth Brands, Inc. Class A Common Stock
FREE
$337K 0.01%
+337,000
New +$3.35M
LPRO
244
CALL
DELISTED
Open Lending Corp
LPRO
$329K 0.01%
+250,000
New +$2.58M
GLD icon
245
CALL
SPDR Gold Trust
GLD
$138B
$324K 0.01%
+75,000
New +$10.5M
PHR icon
246
Phreesia
PHR
$706M
$320K 0.01%
12,000
-3,687
-24% -$102K
FPAY
247
CALL
DELISTED
FlexShopper
FPAY
$295K 0.01%
200,000
– –
BTRS
248
CALL
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
$265K 0.01%
318,781
+68,781
+28% +$678K
MAT icon
249
PUT
Mattel
MAT
$4.21B
$256K 0.01%
922,500
-117,500
-11% -$1.39M
SFT
250
CALL
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
$256K 0.01%
+22,500
New +$2.23M
8 9
10
11 12

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SAG
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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 Q4 2019 Portfolio in Review

As of Q4 2019, UBS O'Connor held 411 positions worth $3.53B, down 1.7% from $3.59B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

UBS O'Connor withdrew a net $649M in Q4 2019, closing 94 positions and reducing 73 holdings. Its most notable exit was Celgene Corp, an estimated $545M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 13% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, UBS O'Connor opened a new position in TD Ameritrade Holding Corp worth $160M.

  • UBS O'Connor's largest Q4 2019 buy was TD Ameritrade Holding Corp: 3,221,718 shares worth $160M.
  • UBS O'Connor added most to Wellcare Health Plans, Inc. in Q4 2019, an estimated $198M increase.
  • UBS O'Connor's biggest Q4 2019 reduction was Post Holdings, cutting an estimated $31.4M.
  • UBS O'Connor fully exited Celgene Corp in Q4 2019, selling an estimated $545M.
  • UBS O'Connor's ten largest holdings make up 47% of its $3.53B portfolio in Q4 2019.
  • UBS O'Connor opened 105 new positions and closed 94 in Q4 2019.
  • UBS O'Connor's portfolio value fell 1.7% quarter-over-quarter to $3.53B.

Based on UBS O'Connor's 13F filing for Q4 2019, filed 14 Feb 2020.