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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
KBH icon
326
PUT
KB Home
KBH
$3.49B
$69K ﹤0.01%
235,400
+205,400
+685% +$3.59M
GD icon
327
PUT
General Dynamics
GD
$105B
$67K ﹤0.01%
+25,000
New +$2.12M
AMRN
328
CALL
Amarin Corp
AMRN
$301M
$66K ﹤0.01%
7,555
– –
LMT icon
329
PUT
Lockheed Martin
LMT
$135B
$66K ﹤0.01%
+25,000
New +$3.03M
NOC icon
330
PUT
Northrop Grumman
NOC
$80.7B
$64K ﹤0.01%
+25,000
New +$2.31M
PVH icon
331
CALL
PVH
PVH
$3.99B
$60K ﹤0.01%
+100,000
New +$12.8M
RTN
332
PUT
DELISTED
Raytheon Company
RTN
$60K ﹤0.01%
+25,000
New +$1.86M
DFS
333
CALL
DELISTED
Discover Financial Services
DFS
$58K ﹤0.01%
+43,200
New +$2.16M
JPM icon
334
CALL
JPMorgan Chase
JPM
$947B
$58K ﹤0.01%
+300,000
New +$16.1M
MGM icon
335
PUT
MGM Resorts International
MGM
$11.2B
$58K ﹤0.01%
+150,000
New +$2.61M
PLUR icon
336
CALL
Pluri
PLUR
$19.5M
$54K ﹤0.01%
2,188
– –
MS icon
337
CALL
Morgan Stanley
MS
$336B
$52K ﹤0.01%
150,000
+58,800
+64% +$1.58M
WMGI
338
CALL
DELISTED
Wright Medical Group Inc
WMGI
$50K ﹤0.01%
+50,000
New +$1.31M
RIO icon
339
PUT
Rio Tinto
RIO
$162B
$48K ﹤0.01%
+30,000
New +$1.4M
NLY icon
340
PUT
Annaly Capital Management
NLY
$17.1B
$39K ﹤0.01%
85,775
– –
DLLR
341
PUT
DELISTED
DFC GLOBAL CORP COM STK (DE)
DLLR
$34K ﹤0.01%
+100,000
New +$1.37M
CL icon
342
CALL
Colgate-Palmolive
CL
$74.1B
$31K ﹤0.01%
+100,000
New +$5.92M
NKE icon
343
PUT
Nike
NKE
$62.3B
$31K ﹤0.01%
+300,000
New +$9.8M
AVP
344
CALL
DELISTED
Avon Products, Inc.
AVP
$30K ﹤0.01%
+100,000
New +$2.14M
XLU icon
345
CALL
State Street Utilities Select Sector SPDR ETF
XLU
$22.4B
$28K ﹤0.01%
240,000
-160,000
-40% -$3.05M
NOV icon
346
PUT
NOV
NOV
$7.09B
$24K ﹤0.01%
+22,180
New +$1.48M
DE icon
347
PUT
Deere & Co
DE
$166B
$22K ﹤0.01%
+25,000
New +$2.08M
PEP icon
348
CALL
PepsiCo
PEP
$189B
$21K ﹤0.01%
200,000
+100,000
+100% +$8.22M
EPC icon
349
CALL
Edgewell Personal Care
EPC
$1.3B
$19K ﹤0.01%
+202,350
New +$15M
SQNM
350
CALL
DELISTED
SEQUENOM INC NEW
SQNM
$16K ﹤0.01%
+50,000
New +$168K
12 13
14
15 16

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FNBT
FineMark National Bank & Trust Fort Myers, Florida $3.2B AUM 18.28% 1-Year Est. Return
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 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.