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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
+10.95%
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
$3.53B
AUM Growth
-$60.5M
Cap. Flow
-$649M
Cap. Flow %
-18.37%
Top 10 Hldgs %
46.78%
Holding
411
New
105
Increased
79
Reduced
73
Closed
94

Top Buys

Rank Stock Value
1
WCG
Wellcare Health Plans, Inc.
WCG
+$198M
2
AMTD
TD Ameritrade Holding Corp
AMTD
+$140M
3
TIF
Tiffany & Co.
TIF
+$119M
4
CY
Cypress Semiconductor
CY
+$76M
5
MDCO
Medicines Co
MDCO
+$64.5M

Top Sells

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$545M
2
STI
SunTrust Banks, Inc.
STI
+$231M
3
GWR
Genesee & Wyoming Inc.
GWR
+$170M
4
AABA
Altaba Inc
AABA
+$72.2M
5
ACEL icon
Accel Entertainment
ACEL
+$33.9M

Sector Composition

Rank Sector Weight
1 Technology 19.08%
2 Consumer Discretionary 8.09%
3 Real Estate 7.1%
4 Financials 7.07%
5 Industrials 3.4%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PRVB
351
DELISTED
Provention Bio, Inc. Common Stock
PRVB
– –
-40,000
Closed -$273K
ATCX
352
DELISTED
Atlas Technical Consultants, Inc. Class A Common Stock
ATCX
– –
-1,388,720
Closed -$14M
VVNT
353
CALL
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
– –
-200,000
Closed -$225K
PING
354
DELISTED
Ping Identity Holding Corp.
PING
– –
-93,800
Closed -$1.62M
RMO
355
CALL
DELISTED
Romeo Power, Inc.
RMO
– –
-200,000
Closed -$145K
TPTX
356
DELISTED
Turning Point Therapeutics, Inc. Common Stock
TPTX
– –
-39,000
Closed -$1.47M
CNR
357
DELISTED
Cornerstone Building Brands, Inc.
CNR
– –
-200,000
Closed -$1.21M
PAE
358
DELISTED
PAE Incorporated Class A Common Stock
PAE
– –
-305,333
Closed -$3.09M
TRIT
359
CALL
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
– –
-800,000
Closed -$236K
NFH
360
DELISTED
New Frontier Health Corporation Ordinary Shares
NFH
– –
-2,092,510
Closed -$21.3M
GDP
361
DELISTED
Goodrich Petroleum Corporation Common Stock
GDP
– –
-44,000
Closed -$468K
PFPT
362
DELISTED
Proofpoint, Inc.
PFPT
– –
-19,852
Closed -$2.56M
APXTU
363
DELISTED
Apex Technology Acquisition Corporation Unit
APXTU
– –
-2,500,000
Closed -$25.5M
SSPKU
364
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
– –
-737,290
Closed -$7.44M
GRUB
365
DELISTED
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
– –
-70,000
Closed -$7.87M
THBRU
366
DELISTED
Thunder Bridge Acquisition II, Ltd. Units
THBRU
– –
-50,000
Closed -$509K
EXPCU
367
DELISTED
Experience Investment Corp. Unit
EXPCU
– –
-2,675,000
Closed -$26.8M
NPAUU
368
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
– –
-2,277,000
Closed -$22.9M
TCO
369
DELISTED
Taubman Centers Inc.
TCO
– –
-33,300
Closed -$1.36M
NFINU
370
DELISTED
Netfin Acquisition Corp. Unit
NFINU
– –
-100,000
Closed -$1.01M
SPAQ.U
371
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
– –
-250,000
Closed -$2.59M
INSUU
372
DELISTED
Insurance Acquisition Corp. Unit
INSUU
– –
-450,000
Closed -$4.69M
TGE
373
DELISTED
Tallgrass Energy, LP Class A Shares
TGE
– –
-1,386,178
Closed -$27.9M
ZAYO
374
PUT
DELISTED
Zayo Group Holdings, Inc.
ZAYO
– –
-30,000
Closed -$21K
GWR
375
DELISTED
Genesee & Wyoming Inc.
GWR
– –
-1,538,321
Closed -$170M
12 13 14
15
16

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SAG
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ACI
Alpha Cubed Investments Irvine, California $2.92B AUM 31.27% 1-Year Est. Return
TCOV
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RC
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AlphaQuest New York $1.79B AUM 10.61% 1-Year Est. Return
CGL
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CB
Cadence Bank Tupelo, Mississippi $1.71B AUM 16.17% 1-Year Est. Return

UBS O'Connor's Q4 2019 Portfolio in Review

As of Q4 2019, UBS O'Connor held 411 positions worth $3.53B, down 1.7% from $3.59B the previous quarter. Its ten largest holdings account for 47% of the portfolio.

UBS O'Connor withdrew a net $649M in Q4 2019, closing 94 positions and reducing 73 holdings. Its most notable exit was Celgene Corp, an estimated $545M position sold in full.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 13% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, UBS O'Connor opened a new position in TD Ameritrade Holding Corp worth $160M.

  • UBS O'Connor's largest Q4 2019 buy was TD Ameritrade Holding Corp: 3,221,718 shares worth $160M.
  • UBS O'Connor added most to Wellcare Health Plans, Inc. in Q4 2019, an estimated $198M increase.
  • UBS O'Connor's biggest Q4 2019 reduction was Post Holdings, cutting an estimated $31.4M.
  • UBS O'Connor fully exited Celgene Corp in Q4 2019, selling an estimated $545M.
  • UBS O'Connor's ten largest holdings make up 47% of its $3.53B portfolio in Q4 2019.
  • UBS O'Connor opened 105 new positions and closed 94 in Q4 2019.
  • UBS O'Connor's portfolio value fell 1.7% quarter-over-quarter to $3.53B.

Based on UBS O'Connor's 13F filing for Q4 2019, filed 14 Feb 2020.