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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
AVP
476
CALL
DELISTED
Avon Products, Inc.
AVP
– –
-100,000
Closed -$30K
MBFI
477
DELISTED
MB Financial Corp
MBFI
– –
-244,717
Closed -$6.91M
SGYP
478
DELISTED
Synergy Pharmaceuticals, Inc Common Stock
SGYP
– –
-71,929
Closed -$324K
PX
479
DELISTED
Praxair Inc
PX
– –
-78,108
Closed -$9.39M
ANTH
480
DELISTED
Anthera Pharmaceuticals, Inc.
ANTH
– –
-9,063
Closed -$291K
MON
481
DELISTED
Monsanto Co
MON
– –
-33,243
Closed -$3.47M
CPN
482
DELISTED
Calpine Corporation
CPN
– –
-347,167
Closed -$6.75M
BIOA
483
CALL
DELISTED
BioAmber Inc.
BIOA
– –
-100,000
Closed -$80K
BIOA
484
DELISTED
BioAmber Inc.
BIOA
– –
-36,168
Closed -$177K
DD
485
PUT
DELISTED
Du Pont De Nemours E I
DD
– –
-136,890
Closed -$5K
BHI
486
PUT
DELISTED
Baker Hughes
BHI
– –
-20,000
Closed -$7K
ALJ
487
DELISTED
Alon USA Energy Inc
ALJ
– –
-248,500
Closed -$2.54M
CHMT
488
DELISTED
Chemtura Corporation
CHMT
– –
-147,288
Closed -$3.39M
NRF
489
DELISTED
NorthStar Realty Finance Corp.
NRF
– –
-166,921
Closed -$3.04M
RAX
490
DELISTED
Rackspace Hosting Inc
RAX
– –
-256,469
Closed -$13.5M
SQNM
491
DELISTED
SEQUENOM INC NEW
SQNM
– –
-300,000
Closed -$712K
FMER
492
DELISTED
FIRSTMERIT CORP
FMER
– –
-578,126
Closed -$12.6M
FUR
493
DELISTED
WINTHROP REALTY TRUST SHS BENE INT (NEW)
FUR
– –
-42,500
Closed -$474K
PRGN
494
DELISTED
PARAGON SHIPPING INC CL A NEW (MHL)
PRGN
– –
-2,114
Closed -$464K
SNDK
495
DELISTED
SANDISK CORP
SNDK
– –
-63,303
Closed -$3.77M
SPDC
496
DELISTED
SPEED COMMERCE, INC COM STK
SPDC
– –
-200,000
Closed -$656K
NES
497
DELISTED
NUVERRA ENVIRONMENTAL INC NEW COM STK (DE)
NES
– –
-20,000
Closed -$458K
CYT
498
DELISTED
CYTEC INDS INC
CYT
– –
-369,088
Closed -$15M
ONCY
499
DELISTED
ONCOLYTICS BIOTECH INC
ONCY
– –
-50,000
Closed -$122K
HME
500
DELISTED
HOME PROPERTIES, INC
HME
– –
-149,752
Closed -$8.65M
18 19
20
21 22

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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
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CGL
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CB
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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.