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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
PAE
251
CALL
DELISTED
PAE Incorporated Class A Common Stock
PAE
$328K 0.01%
155,912
-2,136
-1% -$19K
ATI icon
252
PUT
ATI
ATI
$30.5B
$318K 0.01%
50,000
– –
HOG icon
253
PUT
Harley-Davidson
HOG
$2.67B
$310K 0.01%
100,000
+50,000
+100% +$1.35M
LOTZ
254
CALL
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
$308K 0.01%
265,217
-3,633
-1% -$37.3K
LSEA
255
CALL
DELISTED
Landsea Homes
LSEA
$296K 0.01%
164,004
-2,246
-1% -$23.9K
LATN
256
CALL
DELISTED
Union Acquisition Corp. II Ordinary Shares
LATN
$249K 0.01%
331,849
-4,546
-1% -$45.3K
ENDP
257
CALL
DELISTED
Endo International plc
ENDP
$238K 0.01%
+475,000
New +$1.52M
CGRO
258
CALL
DELISTED
Collective Growth Corporation Class A Common Stock
CGRO
$230K 0.01%
351,436
-4,814
-1% -$47.5K
NLSN
259
PUT
DELISTED
Nielsen Holdings plc
NLSN
$227K 0.01%
20,800
– –
MAPS
260
CALL
DELISTED
WM TECHNOLOGY INC A
MAPS
$214K 0.01%
353,539
-4,843
-1% -$48.9K
FPAY
261
DELISTED
FlexShopper
FPAY
$194K ﹤0.01%
109,480
– –
JSPR icon
262
CALL
Jasper Therapeutics
JSPR
$21.5M
$194K ﹤0.01%
16,400
-225
-1% -$22.5K
MAT icon
263
Mattel
MAT
$4.21B
$155K ﹤0.01%
13,260
– –
TSLA icon
264
PUT
Tesla
TSLA
$1.26T
$130K ﹤0.01%
1,177,500
– –
XLF icon
265
CALL
State Street Financial Select Sector SPDR ETF
XLF
$58.4B
$125K ﹤0.01%
+2,000,000
New +$48.6M
GCMG icon
266
CALL
GCM Grosvenor
GCMG
$814M
$121K ﹤0.01%
123,002
-1,685
-1% -$17.8K
ESSCR
267
DELISTED
East Stone Acquisition Corporation Right
ESSCR
$121K ﹤0.01%
556,206
-7,619
-1% -$1.53K
RRC icon
268
PUT
Range Resources
RRC
$9.01B
$117K ﹤0.01%
54,600
– –
GTYH
269
CALL
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$115K ﹤0.01%
606,177
– –
SCPE
270
CALL
DELISTED
SC Health Corporation
SCPE
$103K ﹤0.01%
93,716
-1,284
-1% -$13K
RIG icon
271
Transocean
RIG
$5.71B
$101K ﹤0.01%
125,000
– –
BROG
272
CALL
DELISTED
Brooge Energy
BROG
$96K ﹤0.01%
191,677
-2,626
-1% -$24.8K
LACQ
273
CALL
DELISTED
Leisure Acquisition Corp.
LACQ
$95K ﹤0.01%
196,975
-2,698
-1% -$28.5K
ITRM
274
DELISTED
Iterum Therapeutics
ITRM
$92K ﹤0.01%
5,867
– –
QEP
275
DELISTED
QEP RESOURCES, INC.
QEP
$85K ﹤0.01%
93,600
– –
9 10
11
12 13

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SAG
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ACI
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TCOV
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RC
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A
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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.