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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
+4.46%
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
$5.28B
AUM Growth
-$163M
Cap. Flow
-$383M
Cap. Flow %
-7.25%
Top 10 Hldgs %
15.41%
Holding
584
New
193
Increased
92
Reduced
96
Closed
154

Top Buys

Rank Stock Value
1
FRX
FOREST LABORATORIES INC
FRX
+$73.6M
2
BEAM
BEAM INC COM STK (DE)
BEAM
+$47.2M
3
TWC
TIME WARNER CABLE INC NEW COM STK
TWC
+$44.7M
4
HLF icon
Herbalife
HLF
+$39.2M
5
AMH icon
American Homes 4 Rent
AMH
+$36.3M

Top Sells

Rank Stock Value
1
LIFE
LIFE TECHNOLOGIES CORP COM STK (DE)
LIFE
+$95.1M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$73.6M
3
PM icon
Philip Morris
PM
+$55.7M
4
KO icon
Coca-Cola
KO
+$50.2M
5
CCI.PRA
Crown Castle International Corp.
CCI.PRA
+$48M

Sector Composition

Rank Sector Weight
1 Real Estate 23.24%
2 Industrials 8.44%
3 Consumer Staples 7.97%
4 Financials 6.82%
5 Consumer Discretionary 6.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WMGI
501
CALL
DELISTED
Wright Medical Group Inc
WMGI
– –
-50,000
Closed -$89K
CBL
502
DELISTED
CBL& Associates Properties, Inc.
CBL
– –
-200,000
Closed -$3.59M
ETFC
503
CALL
DELISTED
E*Trade Financial Corporation
ETFC
– –
-125,000
Closed -$456K
AVP
504
DELISTED
Avon Products, Inc.
AVP
– –
-2,762,832
Closed -$47.6M
CRZO
505
DELISTED
Carrizo Oil & Gas Inc
CRZO
– –
-20,000
Closed -$895K
DF
506
DELISTED
Dean Foods Company
DF
– –
-2,637,498
Closed -$45.3M
ARRS
507
PUT
DELISTED
ARRIS International plc Ordinary Shares
ARRS
– –
-50,000
Closed -$4K
WBMD
508
CALL
DELISTED
WebMD Health Corp.
WBMD
– –
-30,000
Closed -$29K
NVDQ
509
DELISTED
Novadaq Technologies Inc.
NVDQ
– –
-31,967
Closed -$527K
WFM
510
CALL
DELISTED
Whole Foods Market Inc
WFM
– –
-100,000
Closed -$110K
WFM
511
DELISTED
Whole Foods Market Inc
WFM
– –
-162,435
Closed -$9.39M
PVTB
512
DELISTED
PrivateBancorp Inc
PVTB
– –
-196,762
Closed -$5.69M
XCO
513
CALL
DELISTED
Exco Resources
XCO
– –
-33,333
Closed -$88K
FNBC
514
DELISTED
First NBC Bank Holding Company
FNBC
– –
-38,800
Closed -$1.25M
FNFG
515
DELISTED
FIRST NIAGARA FINANCIAL GROUP INC
FNFG
– –
-137,151
Closed -$1.46M
TWER
516
DELISTED
Towerstream Corporation Common Stock
TWER
– –
-2,500
Closed -$148K
RSE
517
DELISTED
ROUSE PPTYS INC COM (DE)
RSE
– –
-68,567
Closed -$1.52M
YOKU
518
DELISTED
YOUKU TUDOU INC.(CAYMAN ISLS)
YOKU
– –
-80,133
Closed -$2.43M
TC
519
CALL
DELISTED
Thompson Creek Metals Company Inc. Ordinary Shares (Canada)
TC
– –
-208,500
Closed -$5K
UIL
520
DELISTED
UIL HOLDINGS
UIL
– –
-51,400
Closed -$1.99M
BEE
521
DELISTED
STRATEGIC HOTELS & RESORTS, INC
BEE
– –
-200,000
Closed -$1.89M
SUSQ
522
DELISTED
SUSQUEHANNA BANCSHARES INC
SUSQ
– –
-99,198
Closed -$1.27M
MERU
523
DELISTED
MERU NETWORKS INC COM STK (DE)
MERU
– –
-40,000
Closed -$172K
MWV
524
DELISTED
MEADWESTVACO CORP
MWV
– –
-813,384
Closed -$30M
BPZ
525
DELISTED
BPZ RESOURCES INC COM STK
BPZ
– –
-94,050
Closed -$171K
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
RC
RGM Capital Naples, Florida $2.06B AUM 8.49% 1-Year Est. Return
A
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CGL
Clarius Group LLC Seattle, Washington $1.75B AUM 19.04% 1-Year Est. Return
CB
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JCM
Janney Capital Management Pittsburgh, Pennsylvania $1.59B AUM 23.25% 1-Year Est. Return

UBS O'Connor's Q1 2014 Portfolio in Review

As of Q1 2014, UBS O'Connor held 584 positions worth $5.28B, down 3% from $5.44B the previous quarter. Its ten largest holdings account for 15% of the portfolio.

UBS O'Connor withdrew a net $383M in Q1 2014, closing 154 positions and reducing 96 holdings. Its most notable exit was LIFE TECHNOLOGIES CORP COM STK (DE), an estimated $95.1M position sold in full.

By sector, the portfolio is most concentrated in Real Estate at 23% of assets, up from 17% a quarter earlier, followed by Industrials and Consumer Staples.

Against the trend, UBS O'Connor opened a new position in FOREST LABORATORIES INC worth $84.1M.

  • UBS O'Connor's largest Q1 2014 buy was FOREST LABORATORIES INC: 911,918 shares worth $84.1M.
  • UBS O'Connor added most to TIME WARNER CABLE INC NEW COM STK in Q1 2014, an estimated $44.7M increase.
  • UBS O'Connor's biggest Q1 2014 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $73.6M.
  • UBS O'Connor fully exited LIFE TECHNOLOGIES CORP COM STK (DE) in Q1 2014, selling an estimated $95.1M.
  • UBS O'Connor's ten largest holdings make up 15% of its $5.28B portfolio in Q1 2014.
  • UBS O'Connor opened 193 new positions and closed 154 in Q1 2014.
  • UBS O'Connor's portfolio value fell 3% quarter-over-quarter to $5.28B.

Based on UBS O'Connor's 13F filing for Q1 2014, filed 14 May 2014.