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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
WBC
26
DELISTED
WABCO HOLDINGS INC.
WBC
$19M 0.54%
+140,350
New +$18.9M
KPLT icon
27
Katapult Holdings
KPLT
$32.1M
$18.7M 0.53%
+72,000
New +$18.7M
DBX icon
28
Dropbox
DBX
$8.06B
$18.3M 0.52%
1,024,432
+190,000
+23% +$3.58M
CIICU
29
DELISTED
CIIG Merger Corp. Units
CIICU
$18.3M 0.52%
+1,800,000
New +$18.3M
FREE
30
DELISTED
Whole Earth Brands, Inc. Class A Common Stock
FREE
$17.5M 0.5%
1,733,443
+575,000
+50% +$5.72M
DIS icon
31
Walt Disney
DIS
$182B
$17.4M 0.49%
120,000
-60,000
-33% -$8.37M
BKSY icon
32
BlackSky Technology
BKSY
$1.14B
$17.2M 0.49%
+218,750
New +$17.1M
PAYA
33
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
$17.1M 0.48%
1,690,000
– –
HCCOU
34
DELISTED
Healthcare Merger Corp. Units
HCCOU
$16.6M 0.47%
+1,600,000
New +$16.8M
MVST icon
35
Microvast
MVST
$261M
$15.7M 0.45%
1,580,000
– –
TRIT
36
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
$15.4M 0.44%
1,546,595
-100,000
-6% -$985K
DFNS.U
37
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$14.8M 0.42%
+1,450,000
New +$14.6M
VVNT
38
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
$14.4M 0.41%
1,395,671
-1,015,829
-42% -$10.4M
PTACU
39
DELISTED
PropTech Acquisition Corporation Unit
PTACU
$14.3M 0.41%
+1,400,000
New +$14.2M
CRC
40
PUT
DELISTED
California Resources Corporation
CRC
$13.9M 0.39%
3,875,500
+497,800
+15% +$4.03M
DMS
41
DELISTED
Digital Media Solutions, Inc.
DMS
$13.3M 0.38%
85,355
– –
LYFT icon
42
Lyft
LYFT
$6.19B
$13.1M 0.37%
305,328
+292,828
+2,343% +$12.8M
BMY.RT
43
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$12.8M 0.36%
+4,153,884
New +$10.8M
UTZ icon
44
Utz Brands
UTZ
$2.04B
$12.5M 0.35%
+1,215,700
New +$12.5M
DM
45
DELISTED
Desktop Metal, Inc.
DM
$12.4M 0.35%
124,430
+76,000
+157% +$7.53M
GLPI icon
46
Gaming and Leisure Properties
GLPI
$12.8B
$12.1M 0.34%
280,900
-33,800
-11% -$1.39M
GTYH
47
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$12.1M 0.34%
2,050,000
+176,574
+9% +$954K
ALUS.U
48
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
$11.9M 0.34%
+1,179,200
New +$11.8M
UPH
49
DELISTED
UpHealth, Inc.
UPH
$11.6M 0.33%
115,840
+30,000
+35% +$2.96M
MAPS
50
DELISTED
WM TECHNOLOGY INC A
MAPS
$11.5M 0.33%
+1,157,890
New +$11.4M
1
2
3 4 5

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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 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.