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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
RIDE
401
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
– –
-136,167
Closed -$21M
IAA
402
DELISTED
IAA, Inc. Common Stock
IAA
– –
-92,500
Closed -$3.57M
SFT
403
CALL
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
– –
-21,375
Closed -$798K
PAYA
404
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
– –
-1,700,500
Closed -$19M
ZEN
405
DELISTED
ZENDESK INC
ZEN
– –
-41,400
Closed -$3.67M
ESSC
406
DELISTED
East Stone Acquisition Corporation Ordinary Shares
ESSC
– –
-570,000
Closed -$5.62M
SAFM
407
DELISTED
Sanderson Farms Inc
SAFM
– –
-10,000
Closed -$1.16M
TLMD
408
CALL
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
– –
-760,000
Closed -$863K
RDS.A
409
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-187,500
Closed -$6.13M
PPD
410
DELISTED
PPD, Inc. Common Stock
PPD
– –
-103,844
Closed -$2.78M
GSAH.U
411
DELISTED
GS Acquisition Holdings Corp II Units, each consisting of one share of Class A Common Stock and one-
GSAH.U
– –
-2,921,326
Closed -$30.7M
FUSE.U
412
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
– –
-1,803,195
Closed -$18.3M
LIVK
413
CALL
DELISTED
LIV Capital Acquisition Corp. Class A Ordinary Shares
LIVK
– –
-44,114
Closed -$17K
ALUS
414
CALL
DELISTED
Alussa Energy Acquisition Corp
ALUS
– –
-85,120
Closed -$46K
WPF.U
415
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
– –
-2,660,000
Closed -$28.4M
HECCU
416
DELISTED
Hudson Executive Investment Corp. Units
HECCU
– –
-1,500,646
Closed -$15.4M
JWS.U
417
DELISTED
Jaws Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one red
JWS.U
– –
-1,995,000
Closed -$20.8M
GIK.U
418
DELISTED
GigCapital3, Inc. Units, each consisting of one share of Common Stock and three-fourths of one Redee
GIK.U
– –
-760,000
Closed -$7.63M
LGVW.U
419
DELISTED
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
– –
-2,280,000
Closed -$23M
CXO
420
DELISTED
CONCHO RESOURCES INC.
CXO
– –
-15,000
Closed -$772K
PE
421
DELISTED
PARSLEY ENERGY INC
PE
– –
-150,000
Closed -$1.6M
HYACU
422
DELISTED
Haymaker Acquisition Corp. II Unit
HYACU
– –
-142,500
Closed -$1.56M
VER
423
DELISTED
VEREIT, Inc.
VER
– –
-25,800
Closed -$829K
GMHIU
424
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
– –
-68,400
Closed -$770K
KCAC.U
425
DELISTED
Kensington Capital Acquisition Corp.Units, each consisting of one share of Class A common stock and
KCAC.U
– –
-1,278,139
Closed -$12.8M
14 15 16
17
18

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SAG
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ACI
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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.