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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
SE icon
376
PUT
Sea Limited
SE
$68B
– –
-65,000
Closed -$152K
SLQT icon
377
SelectQuote
SLQT
$120M
– –
-59,000
Closed -$1.49M
SPRU icon
378
Spruce Power Holding Corp
SPRU
$42.2M
– –
-193,586
Closed -$16.2M
TAL icon
379
TAL Education Group
TAL
$6.91B
– –
-142,600
Closed -$9.75M
TT icon
380
Trane Technologies
TT
$105B
– –
-32,500
Closed -$2.89M
UE icon
381
Urban Edge Properties
UE
$2.71B
– –
-131,200
Closed -$1.56M
UTZ icon
382
CALL
Utz Brands
UTZ
$1.25B
– –
-313,720
Closed -$996K
UTZ icon
383
Utz Brands
UTZ
$1.25B
– –
-712,500
Closed -$9.76M
VNET
384
VNET Group
VNET
$2B
– –
-76,529
Closed -$1.83M
WCC
385
WESCO International
WCC
$18.1B
– –
-32,908
Closed -$1.16M
WMT icon
386
Walmart Inc
WMT
$892B
– –
-37,500
Closed -$1.5M
WW
387
PUT
DELISTED
WW International
WW
– –
-120,000
Closed -$171K
X
388
DELISTED
US Steel
X
– –
-50,000
Closed -$361K
XLF icon
389
State Street Financial Select Sector SPDR ETF
XLF
$58.4B
– –
-550,000
Closed -$13.4M
XLF icon
390
PUT
State Street Financial Select Sector SPDR ETF
XLF
$58.4B
– –
-1,000,000
Closed -$738K
ZS icon
391
Zscaler
ZS
$26.3B
– –
-31,000
Closed -$3.39M
ZTO icon
392
ZTO Express
ZTO
$18.3B
– –
-54,645
Closed -$2.01M
CTEV
393
CALL
Claritev Corp
CTEV
$458M
– –
-27,532
Closed -$3.25M
BMTX
394
CALL
DELISTED
BM Technologies, Inc.
BMTX
– –
-95,000
Closed -$81K
SILK
395
DELISTED
Silk Road Medical, Inc. Common Stock
SILK
– –
-43,828
Closed -$1.84M
FSR
396
DELISTED
Fisker Inc.
FSR
– –
-950,000
Closed -$10.2M
SPLK
397
DELISTED
Splunk Inc
SPLK
– –
-28,600
Closed -$5.68M
GOEV
398
DELISTED
Canoo Inc. Class A Common Stock
GOEV
– –
-1,894
Closed -$9.71M
DMS
399
DELISTED
Digital Media Solutions, Inc.
DMS
– –
-63,333
Closed -$9.88M
RIDE
400
CALL
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
– –
-6,302
Closed -$160K
14 15
16
17 18

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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
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
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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.