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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
UAL icon
276
PUT
United Airlines
UAL
$41.9B
$84K ﹤0.01%
87,000
-20,000
-19% -$692K
LVOX
277
CALL
DELISTED
LiveVox Holding, Inc. Class A Common Stock
LVOX
$81K ﹤0.01%
95,638
-1,310
-1% -$13.3K
IWM icon
278
PUT
iShares Russell 2000 ETF
IWM
$82.1B
$80K ﹤0.01%
+17,000
New +$2.56M
CNX icon
279
PUT
CNX Resources
CNX
$5.2B
$74K ﹤0.01%
47,500
– –
LAZR
280
CALL
DELISTED
Luminar Technologies
LAZR
$71K ﹤0.01%
+1,499
New +$252K
GEO icon
281
PUT
The GEO Group
GEO
$4.03B
$62K ﹤0.01%
25,000
– –
GME icon
282
PUT
GameStop
GME
$8.63B
$56K ﹤0.01%
400,000
– –
PBI icon
283
PUT
Pitney Bowes
PBI
$2.46B
$51K ﹤0.01%
61,600
– –
GNCA
284
DELISTED
Genocea Biosciences, Inc.
GNCA
$44K ﹤0.01%
19,170
– –
HYG icon
285
CALL
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
$38K ﹤0.01%
+1,000,000
New +$84.2M
WT icon
286
CALL
WisdomTree
WT
$3.25B
$32K ﹤0.01%
+100,000
New +$361K
THBR
287
CALL
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$32K ﹤0.01%
23,429
-321
-1% -$3.29K
F icon
288
CALL
Ford
F
$55B
$19K ﹤0.01%
+750,000
New +$5.08M
GRUB
289
PUT
DELISTED
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
$14K ﹤0.01%
12,500
-12,500
-50% -$1.8M
DAL icon
290
PUT
Delta Air Lines
DAL
$60.5B
$12K ﹤0.01%
36,500
-100,000
-73% -$2.88M
VREX icon
291
PUT
Varex Imaging
VREX
$516M
$12K ﹤0.01%
+100,000
New +$1.37M
QID icon
292
CALL
ProShares UltraShort QQQ
QID
$253M
$9K ﹤0.01%
+5,000
New +$1.04M
BG icon
293
CALL
Bunge Global
BG
$20.9B
$7K ﹤0.01%
+25,000
New +$1.12M
CCL icon
294
CALL
Carnival Corporation Ltd
CCL
$39.4B
$6K ﹤0.01%
+150,000
New +$2.32M
ERIC icon
295
PUT
Ericsson
ERIC
$33.3B
$5K ﹤0.01%
215,000
– –
ADT icon
296
PUT
ADT
ADT
$5.59B
$4K ﹤0.01%
51,800
– –
UUP icon
297
CALL
Invesco DB US Dollar Index Bullish Fund
UUP
$424M
$4K ﹤0.01%
+250,000
New +$6.35M
AAL icon
298
American Airlines Group
AAL
$10.6B
– –
-150,000
Closed -$1.88M
AAT
299
American Assets Trust
AAT
$1.38B
– –
-19,400
Closed -$540K
ACEL icon
300
CALL
Accel Entertainment
ACEL
$998M
– –
-476,900
Closed -$1.12M
10 11
12
13 14

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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 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.