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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
+11.57%
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
$3.94B
AUM Growth
-$591M
Cap. Flow
-$564M
Cap. Flow %
-14.32%
Top 10 Hldgs %
52.08%
Holding
457
New
70
Increased
52
Reduced
144
Closed
139

Top Buys

Rank Stock Value
1
ETFC
E*Trade Financial Corporation
ETFC
+$172M
2
MXIM
Maxim Integrated Products
MXIM
+$117M
3
VAR
Varian Medical Systems, Inc.
VAR
+$112M
4
GRUB
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
+$102M
5
AMTD
TD Ameritrade Holding Corp
AMTD
+$88.9M

Top Sells

Rank Stock Value
1
LM
Legg Mason, Inc.
LM
+$165M
2
EE
El Paso Electric Company
EE
+$106M
3
LOGM
LogMein, Inc.
LOGM
+$76.5M
4
TIF
Tiffany & Co.
TIF
+$74.4M
5
CZR
Caesars Entertainment Corporation
CZR
+$70.2M

Sector Composition

Rank Sector Weight
1 Financials 31.8%
2 Healthcare 9.34%
3 Industrials 6.85%
4 Technology 5.85%
5 Communication Services 5.42%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPRU icon
226
CALL
Spruce Power Holding Corp
SPRU
$42.2M
$680K 0.02%
22,636
-310
-1% -$26K
PRCH icon
227
CALL
Porch Group
PRCH
$1.75B
$677K 0.02%
421,723
-5,777
-1% -$61K
QEP
228
PUT
DELISTED
QEP RESOURCES, INC.
QEP
$665K 0.02%
93,600
– –
CRK icon
229
Comstock Resources
CRK
$3.88B
$657K 0.02%
+150,000
New +$795K
APPH
230
CALL
DELISTED
AppHarvest, Inc. Common Stock
APPH
$653K 0.02%
234,375
-3,125
-1% -$31.2K
DAL icon
231
CALL
Delta Air Lines
DAL
$60.5B
$626K 0.02%
+150,000
New +$4.33M
SPY icon
232
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$818B
$622K 0.02%
1,000,000
-75,000
-7% -$24.9M
EPRT icon
233
Essential Properties Realty Trust
EPRT
$6.62B
$597K 0.02%
32,600
-41,900
-56% -$710K
GLPI icon
234
Gaming and Leisure Properties
GLPI
$12.8B
$583K 0.01%
+15,800
New +$575K
ADT icon
235
ADT
ADT
$5.59B
$547K 0.01%
67,000
-23,000
-26% -$224K
MNK
236
PUT
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$546K 0.01%
38,600
– –
RITM icon
237
Rithm Capital
RITM
$5.55B
$528K 0.01%
+66,400
New +$511K
COLD icon
238
Americold
COLD
$4.11B
$518K 0.01%
14,500
-45,900
-76% -$1.74M
SKIL icon
239
CALL
Skillsoft
SKIL
$72.1M
$511K 0.01%
11,715
-160
-1% -$34.6K
DM
240
CALL
DELISTED
Desktop Metal, Inc.
DM
$504K 0.01%
19,186
-256
-1% -$27.7K
MAT icon
241
PUT
Mattel
MAT
$4.21B
$502K 0.01%
610,000
– –
DNMR
242
CALL
DELISTED
Danimer Scientific, Inc.
DNMR
$467K 0.01%
11,715
-160
-1% -$63.8K
AES icon
243
AES
AES
$10.5B
$453K 0.01%
+25,000
New +$418K
ENDP
244
PUT
DELISTED
Endo International plc
ENDP
$442K 0.01%
450,000
– –
GOEV
245
CALL
DELISTED
Canoo Inc. Class A Common Stock
GOEV
$436K 0.01%
408
-5
-1% -$25.6K
BTRS
246
CALL
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
$417K 0.01%
298,750
-4,092
-1% -$42.2K
SOLO
247
CALL
DELISTED
Electrameccanica Vehicles Corp. Ltd.
SOLO
$402K 0.01%
342,157
– –
AEVA
248
CALL
Aeva Technologies
AEVA
$1.73B
$390K 0.01%
93,716
-1,284
-1% -$63.9K
TWO
249
Two Harbors Investment
TWO
$1.26B
$382K 0.01%
+18,750
New +$398K
CELU icon
250
CALL
Celularity
CELU
$19.8M
$369K 0.01%
23,429
-321
-1% -$33.2K
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
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RC
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CGL
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CB
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UBS O'Connor's Q3 2020 Portfolio in Review

As of Q3 2020, UBS O'Connor held 457 positions worth $3.94B, down 13% from $4.53B the previous quarter. Its ten largest holdings account for 52% of the portfolio.

UBS O'Connor withdrew a net $564M in Q3 2020, closing 139 positions and reducing 144 holdings. Its most notable exit was Legg Mason, Inc., an estimated $165M position sold in full.

By sector, the portfolio is most concentrated in Financials at 32% of assets, up from 27% a quarter earlier, followed by Healthcare and Industrials.

Against the trend, UBS O'Connor opened a new position in Maxim Integrated Products worth $117M.

  • UBS O'Connor's largest Q3 2020 buy was Maxim Integrated Products: 1,729,774 shares worth $117M.
  • UBS O'Connor added most to E*Trade Financial Corporation in Q3 2020, an estimated $172M increase.
  • UBS O'Connor's biggest Q3 2020 reduction was Tiffany & Co., cutting an estimated $74.4M.
  • UBS O'Connor fully exited Legg Mason, Inc. in Q3 2020, selling an estimated $165M.
  • UBS O'Connor's ten largest holdings make up 52% of its $3.94B portfolio in Q3 2020.
  • UBS O'Connor opened 70 new positions and closed 139 in Q3 2020.
  • UBS O'Connor's portfolio value fell 13% quarter-over-quarter to $3.94B.

Based on UBS O'Connor's 13F filing for Q3 2020, filed 12 Nov 2020.