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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
+5.71%
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
$5.44B
AUM Growth
+$635M
Cap. Flow
+$416M
Cap. Flow %
7.65%
Top 10 Hldgs %
15.63%
Holding
579
New
166
Increased
105
Reduced
70
Closed
180

Top Buys

Rank Stock Value
1
AAL icon
American Airlines Group
AAL
+$66.9M
2
CCI icon
Crown Castle
CCI
+$53.8M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$52M
4
CCI.PRA
Crown Castle International Corp.
CCI.PRA
+$48.4M
5
DLTR icon
Dollar Tree
DLTR
+$42M

Top Sells

Rank Stock Value
1
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$60.5M
2
CL icon
Colgate-Palmolive
CL
+$46.1M
3
ELN
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
+$44.4M
4
WMT icon
Walmart Inc
WMT
+$41.7M
5
M icon
Macy's
M
+$41M

Sector Composition

Rank Sector Weight
1 Real Estate 17.07%
2 Consumer Staples 11.62%
3 Industrials 7.66%
4 Financials 6.61%
5 Consumer Discretionary 6.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ITUB icon
251
Itaú Unibanco
ITUB
$90.2B
$1.3M 0.02%
+263,338
New +$1.37M
SUSQ
252
DELISTED
SUSQUEHANNA BANCSHARES INC
SUSQ
$1.27M 0.02%
+99,198
New +$1.23M
FNBC
253
DELISTED
First NBC Bank Holding Company
FNBC
$1.25M 0.02%
+38,800
New +$1.08M
FXB icon
254
Invesco CurrencyShares British Pound Sterling Trust
FXB
$64.6M
$1.23M 0.02%
+7,500
New +$1.2M
CLVS
255
DELISTED
Clovis Oncology, Inc.
CLVS
$1.21M 0.02%
+20,000
New +$1.09M
EOX
256
DELISTED
EMERALD OIL INC (MT)
EOX
$1.15M 0.02%
7,525
-32,975
-81% -$5.1M
MDLZ icon
257
CALL
Mondelez International
MDLZ
$80.1B
$1.13M 0.02%
600,000
+200,000
+50% +$6.65M
ATRS
258
DELISTED
Antares Pharma, Inc.
ATRS
$1.12M 0.02%
250,000
-16,000
-6% -$65.2K
GEF icon
259
Greif
GEF
$5.07B
$1.08M 0.02%
20,586
-95,831
-82% -$5.03M
SHW icon
260
Sherwin-Williams
SHW
$88.2B
$1.07M 0.02%
+17,481
New +$1.07M
TRLA
261
DELISTED
TRULIA INC (DEL)
TRLA
$965K 0.02%
27,365
-74,243
-73% -$2.81M
DMND
262
DELISTED
DIAMOND FOODS, INC.
DMND
$904K 0.02%
35,000
-7,000
-17% -$167K
CRZO
263
DELISTED
Carrizo Oil & Gas Inc
CRZO
$895K 0.02%
+20,000
New +$850K
SGMO
264
DELISTED
SANGAMO THERAPEUTICS INC
SGMO
$888K 0.02%
63,959
-161,041
-72% -$1.85M
KRA
265
DELISTED
Kraton Corporation
KRA
$864K 0.02%
+37,499
New +$811K
KO icon
266
CALL
Coca-Cola
KO
$374B
$861K 0.02%
600,000
-400,000
-40% -$15.8M
LOV
267
DELISTED
Spark Networks SE American Depositary Shares
LOV
$708K 0.01%
+115,000
New +$768K
CIE
268
DELISTED
Cobalt International Energy, Inc
CIE
$699K 0.01%
2,833
+934
+49% +$292K
NUWE icon
269
Nuwellis
NUWE
$594K
– –
0
– –
EMBJ
270
Embraer S.A. ADS
EMBJ
$12.8B
$688K 0.01%
+21,375
New +$678K
GTAT
271
DELISTED
GT ADVANCED TECHNOLOGIES INC COM STK (DE)
GTAT
$654K 0.01%
+75,000
New +$666K
FCEL icon
272
FuelCell Energy
FCEL
$1.62B
$649K 0.01%
+106
New +$641K
VTG
273
DELISTED
VANTAGE DRILLING COMPANY ORD SHS (KY)
VTG
$644K 0.01%
+350,000
New +$634K
XLE icon
274
State Street Energy Select Sector SPDR ETF
XLE
$38.1B
$620K 0.01%
+14,000
New +$603K
QIWI
275
DELISTED
QIWI PLC
QIWI
$564K 0.01%
+10,068
New +$450K
9 10
11
12 13

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FNBT
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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 2013 Portfolio in Review

As of Q4 2013, UBS O'Connor held 579 positions worth $5.44B, up 13% from $4.81B the previous quarter. Its ten largest holdings account for 16% of the portfolio.

UBS O'Connor deployed $416M of net new capital in Q4 2013, opening 166 new positions and adding to 105 existing holdings. Its largest new stake was American Airlines Group: 2,596,600 shares worth $65.6M.

By sector, the portfolio is most concentrated in Real Estate at 17% of assets, up from 15% a quarter earlier, followed by Consumer Staples and Industrials.

On the sell side, the largest reduction was Colgate-Palmolive, an estimated $46.1M trimmed.

  • UBS O'Connor's largest Q4 2013 buy was American Airlines Group: 2,596,600 shares worth $65.6M.
  • UBS O'Connor added most to Crown Castle in Q4 2013, an estimated $53.8M increase.
  • UBS O'Connor's biggest Q4 2013 reduction was Colgate-Palmolive, cutting an estimated $46.1M.
  • UBS O'Connor fully exited ONYX PHARMACEUTICALS INC in Q4 2013, selling an estimated $60.5M.
  • UBS O'Connor's ten largest holdings make up 16% of its $5.44B portfolio in Q4 2013.
  • UBS O'Connor opened 166 new positions and closed 180 in Q4 2013.
  • UBS O'Connor's portfolio value rose 13% quarter-over-quarter to $5.44B.

Based on UBS O'Connor's 13F filing for Q4 2013, filed 13 Feb 2014.