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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
+3.87%
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
$4.81B
AUM Growth
-$531M
Cap. Flow
-$1.18B
Cap. Flow %
-24.44%
Top 10 Hldgs %
18.16%
Holding
673
New
167
Increased
91
Reduced
97
Closed
256

Top Buys

Rank Stock Value
1
CL icon
Colgate-Palmolive
CL
+$59.4M
2
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$56.3M
3
SPG icon
Simon Property Group
SPG
+$52M
4
TSM icon
TSMC
TSM
+$45.4M
5
M icon
Macy's
M
+$44.3M

Top Sells

Rank Stock Value
1
PFE icon
Pfizer
PFE
+$167M
2
GDI
GARDNER DENVER,INC
GDI
+$60.4M
3
BMC
BMC SOFTWARE, INC
BMC
+$58.7M
4
SFD
SMITHFIELD FOODS,INC
SFD
+$55.2M
5
AAP icon
Advance Auto Parts
AAP
+$48.2M

Sector Composition

Rank Sector Weight
1 Real Estate 14.75%
2 Consumer Staples 11.78%
3 Consumer Discretionary 6.16%
4 Financials 6.01%
5 Industrials 5.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GM.PRB
251
DELISTED
GENERAL MTRS CO JR PFD CONV SER B (DE)
GM.PRB
$1.01M 0.02%
20,000
– –
DMND
252
DELISTED
DIAMOND FOODS, INC.
DMND
$990K 0.02%
42,000
-3,500
-8% -$75.4K
RDA
253
DELISTED
RDA MICROELECTRONICS INC SPONSORED ADR
RDA
$923K 0.02%
+60,400
New +$722K
RRTS
254
DELISTED
RoadRunner Transportation Systems, Inc.
RRTS
$847K 0.02%
+1,200
New +$858K
NBIX icon
255
Neurocrine Biosciences
NBIX
$16.2B
$837K 0.02%
+73,900
New +$1.02M
SEIC icon
256
SEI Investments
SEIC
$12.6B
$828K 0.02%
+26,800
New +$826K
SQNM
257
DELISTED
SEQUENOM INC NEW
SQNM
$801K 0.02%
300,000
-259,000
-46% -$870K
RXII
258
DELISTED
GALENA BIOPHARMA INC COM
RXII
$793K 0.02%
+349,400
New +$793K
ETFC
259
CALL
DELISTED
E*Trade Financial Corporation
ETFC
$783K 0.02%
470,000
-259,100
-36% -$3.86M
TPR icon
260
Tapestry
TPR
$32.7B
$778K 0.02%
+14,263
New +$785K
EARN
261
Ellington Residential Mortgage REIT
EARN
$163M
$768K 0.02%
50,000
+25,000
+100% +$383K
HOT
262
CALL
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
$759K 0.02%
220,000
+170,000
+340% +$11.3M
ROST icon
263
CALL
Ross Stores
ROST
$81.6B
$755K 0.02%
+400,000
New +$13.7M
RST
264
DELISTED
ROSETTA STONE INC
RST
$730K 0.02%
45,000
-130,000
-74% -$2.08M
EPC icon
265
Edgewell Personal Care
EPC
$1.3B
$715K 0.01%
+10,582
New +$782K
CIE
266
DELISTED
Cobalt International Energy, Inc
CIE
$708K 0.01%
1,899
+383
+25% +$155K
SPDC
267
DELISTED
SPEED COMMERCE, INC COM STK
SPDC
$656K 0.01%
+200,000
New +$644K
FDO
268
PUT
DELISTED
FAMILY DOLLAR STORES
FDO
$656K 0.01%
+350,000
New +$24.6M
TLT icon
269
CALL
iShares 20+ Year Treasury Bond ETF
TLT
$41.6B
$591K 0.01%
585,000
+485,000
+485% +$51.4M
CGRN
270
DELISTED
Capstone Green Energy Corporation Common Stock
CGRN
$590K 0.01%
+2,500
New +$623K
KBIO
271
DELISTED
KALOBIOS PHARMACEUTICALS INC COM STK NEW (DE)
KBIO
$565K 0.01%
15,625
+6,953
+80% +$317K
AGIO icon
272
Agios Pharmaceuticals
AGIO
$1.91B
$559K 0.01%
+20,000
New +$552K
CX icon
273
Cemex
CX
$16.3B
$559K 0.01%
+58,493
New +$575K
NSPH
274
DELISTED
NANOSPHERE INC. COM NEW
NSPH
$550K 0.01%
+13,750
New +$686K
TEX icon
275
Terex
TEX
$7.47B
$521K 0.01%
+15,516
New +$470K
9 10
11
12 13

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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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A
AlphaQuest New York $1.79B AUM 10.61% 1-Year Est. Return
CGL
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CB
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UBS O'Connor's Q3 2013 Portfolio in Review

As of Q3 2013, UBS O'Connor held 673 positions worth $4.81B, down 9.9% from $5.34B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

UBS O'Connor withdrew a net $1.18B in Q3 2013, closing 256 positions and reducing 97 holdings. Its most notable exit was Pfizer, an estimated $167M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 15% of assets, up from 13% a quarter earlier, followed by Consumer Staples and Consumer Discretionary.

Against the trend, UBS O'Connor opened a new position in Colgate-Palmolive worth $59.4M.

  • UBS O'Connor's largest Q3 2013 buy was Colgate-Palmolive: 1,002,498 shares worth $59.4M.
  • UBS O'Connor added most to ONYX PHARMACEUTICALS INC in Q3 2013, an estimated $56.3M increase.
  • UBS O'Connor's biggest Q3 2013 reduction was Advance Auto Parts, cutting an estimated $48.2M.
  • UBS O'Connor fully exited Pfizer in Q3 2013, selling an estimated $167M.
  • UBS O'Connor's ten largest holdings make up 18% of its $4.81B portfolio in Q3 2013.
  • UBS O'Connor opened 167 new positions and closed 256 in Q3 2013.
  • UBS O'Connor's portfolio value fell 9.9% quarter-over-quarter to $4.81B.

Based on UBS O'Connor's 13F filing for Q3 2013, filed 14 Nov 2013.