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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
SHW icon
326
PUT
Sherwin-Williams
SHW
$88.2B
$40K ﹤0.01%
30,000
-69,900
-70% -$4.28M
DLLR
327
PUT
DELISTED
DFC GLOBAL CORP COM STK (DE)
DLLR
$38K ﹤0.01%
200,000
+100,000
+100% +$1.14M
RIO icon
328
CALL
Rio Tinto
RIO
$162B
$35K ﹤0.01%
+202,800
New +$10.5M
MO icon
329
CALL
Altria Group
MO
$113B
$32K ﹤0.01%
+50,000
New +$1.85M
PM icon
330
CALL
Philip Morris
PM
$293B
$31K ﹤0.01%
250,000
+200,000
+400% +$17.5M
WBMD
331
CALL
DELISTED
WebMD Health Corp.
WBMD
$29K ﹤0.01%
+30,000
New +$1.08M
GPN icon
332
PUT
Global Payments
GPN
$23.2B
$24K ﹤0.01%
+80,000
New +$2.42M
K
333
CALL
DELISTED
Kellanova
K
$20K ﹤0.01%
+106,500
New +$6.13M
OIH icon
334
CALL
VanEck Oil Services ETF
OIH
$1.94B
$19K ﹤0.01%
+2,500
New +$2.43M
XOM icon
335
PUT
ExxonMobil
XOM
$642B
$19K ﹤0.01%
+45,000
New +$4.16M
XOP icon
336
PUT
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.52B
$16K ﹤0.01%
5,000
-1,250
-20% -$342K
NLY icon
337
PUT
Annaly Capital Management
NLY
$17.1B
$15K ﹤0.01%
85,775
– –
POM
338
CALL
DELISTED
PEPCO HOLDINGS, INC.
POM
$13K ﹤0.01%
+251,500
New +$4.77M
PLUR icon
339
CALL
Pluri
PLUR
$19.5M
$10K ﹤0.01%
2,188
– –
ATCO
340
PUT
DELISTED
Atlas Corp.
ATCO
$9K ﹤0.01%
+50,000
New +$1.12M
SQNM
341
CALL
DELISTED
SEQUENOM INC NEW
SQNM
$8K ﹤0.01%
50,000
– –
ACAD icon
342
CALL
Acadia Pharmaceuticals
ACAD
$4.9B
$7K ﹤0.01%
+10,000
New +$236K
IWM icon
343
PUT
iShares Russell 2000 ETF
IWM
$82.1B
$6K ﹤0.01%
+20,000
New +$2.21M
ANW
344
PUT
DELISTED
Aegean Marine Petroleum Network
ANW
$5K ﹤0.01%
+50,000
New +$539K
TC
345
CALL
DELISTED
Thompson Creek Metals Company Inc. Ordinary Shares (Canada)
TC
$5K ﹤0.01%
208,500
+178,500
+595% +$506K
DD icon
346
PUT
DuPont de Nemours
DD
$19.5B
$4K ﹤0.01%
+9,872
New +$1.01M
ARRS
347
PUT
DELISTED
ARRIS International plc Ordinary Shares
ARRS
$4K ﹤0.01%
+50,000
New +$954K
AMRN
348
CALL
Amarin Corp
AMRN
$301M
$2K ﹤0.01%
8,805
+1,250
+17% +$64.7K
AA icon
349
Alcoa
AA
$12.5B
– –
-76,049
Closed -$1.48M
AAP icon
350
Advance Auto Parts
AAP
$3.49B
– –
-39,685
Closed -$3.28M
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 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.