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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
MMLP icon
251
PUT
Martin Midstream Partners
MMLP
$99.8M
$125K ﹤0.01%
45,600
– –
NLSN
252
PUT
DELISTED
Nielsen Holdings plc
NLSN
$124K ﹤0.01%
20,800
– –
DKNG icon
253
CALL
DraftKings
DKNG
$11B
$121K ﹤0.01%
+133,332
New +$1.31M
FPAY
254
CALL
DELISTED
FlexShopper
FPAY
$117K ﹤0.01%
200,000
– –
ENDP
255
CALL
DELISTED
Endo International plc
ENDP
$112K ﹤0.01%
1,100,000
– –
WKHS icon
256
Workhorse Group
WKHS
$35.2M
$108K ﹤0.01%
+10
New +$107K
BMTX
257
CALL
DELISTED
BM Technologies, Inc.
BMTX
$106K ﹤0.01%
+300,000
New +$3.04M
PBI icon
258
PUT
Pitney Bowes
PBI
$2.46B
$99K ﹤0.01%
61,600
– –
NBR icon
259
PUT
Nabors Industries
NBR
$1.23B
$98K ﹤0.01%
1,240
– –
RIDE
260
CALL
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
$83K ﹤0.01%
+6,633
New +$977K
DM
261
CALL
DELISTED
Desktop Metal, Inc.
DM
$77K ﹤0.01%
+9,965
New +$977K
ATI icon
262
PUT
ATI
ATI
$30.5B
$75K ﹤0.01%
50,000
– –
CNX icon
263
PUT
CNX Resources
CNX
$5.2B
$75K ﹤0.01%
51,800
– –
ARKO icon
264
CALL
ARKO Corp
ARKO
$818M
$66K ﹤0.01%
+50,000
New +$496K
X
265
PUT
DELISTED
US Steel
X
$58K ﹤0.01%
500,000
-500,000
-50% -$6.44M
FSR
266
CALL
DELISTED
Fisker Inc.
FSR
$57K ﹤0.01%
+88,000
New +$881K
GNCA
267
DELISTED
Genocea Biosciences, Inc.
GNCA
$56K ﹤0.01%
19,460
– –
SPRU icon
268
CALL
Spruce Power Holding Corp
SPRU
$42.2M
$52K ﹤0.01%
+6,250
New +$492K
GEO icon
269
PUT
The GEO Group
GEO
$4.03B
$47K ﹤0.01%
27,700
– –
ADT icon
270
PUT
ADT
ADT
$5.59B
$44K ﹤0.01%
51,800
– –
HOG icon
271
PUT
Harley-Davidson
HOG
$2.67B
$31K ﹤0.01%
50,000
-50,000
-50% -$1.71M
AXTA icon
272
PUT
Axalta
AXTA
$8.03B
$30K ﹤0.01%
100,000
– –
UPBD icon
273
PUT
Upbound Group
UPBD
$1.14B
$26K ﹤0.01%
341,700
+25,300
+8% +$664K
BKLN icon
274
PUT
Invesco Senior Loan ETF
BKLN
$6.81B
$25K ﹤0.01%
1,000,000
– –
NAVI icon
275
PUT
Navient
NAVI
$892M
$25K ﹤0.01%
84,100
– –
9 10
11
12 13

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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.