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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
+0.38%
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
$3.59B
AUM Growth
-$1.57B
Cap. Flow
-$2.47B
Cap. Flow %
-68.8%
Top 10 Hldgs %
49.92%
Holding
394
New
147
Increased
44
Reduced
60
Closed
82

Top Buys

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$273M
2
GWR
Genesee & Wyoming Inc.
GWR
+$169M
3
CY
Cypress Semiconductor
CY
+$116M
4
WCG
Wellcare Health Plans, Inc.
WCG
+$108M
5
AABA
Altaba Inc
AABA
+$91.3M

Top Sells

Rank Stock Value
1
RHT
Red Hat Inc
RHT
+$555M
2
FDC
First Data Corporation
FDC
+$522M
3
LLL
L3 Technologies, Inc.
LLL
+$404M
4
WP
Worldpay, Inc.
WP
+$334M
5
APC
Anadarko Petroleum
APC
+$296M

Sector Composition

Rank Sector Weight
1 Healthcare 18.77%
2 Technology 13.48%
3 Financials 9.55%
4 Industrials 8.32%
5 Real Estate 6.91%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PLD icon
126
Prologis
PLD
$130B
$3.34M 0.09%
39,200
-28,653
-42% -$2.37M
AMZN icon
127
Amazon
AMZN
$2.94T
$3.21M 0.09%
37,000
-20,000
-35% -$1.85M
DDOG icon
128
Datadog
DDOG
$81.6B
$3.11M 0.09%
+91,770
New +$3.19M
PAE
129
DELISTED
PAE Incorporated Class A Common Stock
PAE
$3.09M 0.09%
+305,333
New +$3.07M
GME icon
130
GameStop
GME
$8.63B
$3.08M 0.09%
2,231,420
-1,095,380
-33% -$1.18M
KN icon
131
Knowles
KN
$3.36B
$3.05M 0.08%
150,000
+100,000
+200% +$1.96M
DRE
132
DELISTED
Duke Realty Corp.
DRE
$3.04M 0.08%
89,500
+6,500
+8% +$215K
LSI
133
DELISTED
Life Storage, Inc.
LSI
$3.04M 0.08%
43,200
-36,450
-46% -$2.48M
NVR icon
134
NVR
NVR
$16.9B
$2.96M 0.08%
+797
New +$2.81M
TSLA icon
135
PUT
Tesla
TSLA
$1.26T
$2.92M 0.08%
1,510,500
+135,000
+10% +$2.11M
PDD icon
136
Pinduoduo
PDD
$129B
$2.88M 0.08%
+89,311
New +$2.39M
GOEV
137
DELISTED
Canoo Inc. Class A Common Stock
GOEV
$2.69M 0.07%
+580
New +$2.66M
AMH icon
138
American Homes 4 Rent
AMH
$12.4B
$2.63M 0.07%
101,600
-115,871
-53% -$2.91M
SPAQ.U
139
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$2.59M 0.07%
+250,000
New +$2.57M
PFPT
140
DELISTED
Proofpoint, Inc.
PFPT
$2.56M 0.07%
+19,852
New +$2.43M
P
141
Everpure Inc
P
$29B
$2.54M 0.07%
150,000
-115,000
-43% -$1.8M
MDLA
142
DELISTED
Medallia, Inc.
MDLA
$2.38M 0.07%
+86,600
New +$3.07M
EQIX icon
143
Equinix
EQIX
$104B
$2.31M 0.06%
4,000
-3,000
-43% -$1.61M
EDU icon
144
New Oriental
EDU
$9.04B
$2.3M 0.06%
+20,747
New +$2.17M
CPE
145
DELISTED
Callon Petroleum Company
CPE
$2.27M 0.06%
+52,219
New +$2.55M
LVGO
146
DELISTED
Livongo Health, Inc. Common Stock
LVGO
$2.22M 0.06%
+127,183
New +$3.85M
PVT
147
DELISTED
Pivotal Acquisition Corp.
PVT
$2.19M 0.06%
+215,000
New +$2.19M
NXPI icon
148
NXP Semiconductors
NXPI
$58.4B
$2.18M 0.06%
+20,000
New +$2.04M
NET icon
149
Cloudflare
NET
$101B
$2.17M 0.06%
+116,690
New +$2.26M
CRWD icon
150
CrowdStrike
CRWD
$211B
$2.09M 0.06%
143,400
-29,800
-17% -$592K
4 5
6
7 8

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FNBT
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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 Q3 2019 Portfolio in Review

As of Q3 2019, UBS O'Connor held 394 positions worth $3.59B, down 30% from $5.16B the previous quarter. Its ten largest holdings account for 50% of the portfolio.

UBS O'Connor withdrew a net $2.47B in Q3 2019, closing 82 positions and reducing 60 holdings. Its most notable exit was Red Hat Inc, an estimated $555M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 19% of assets, up from 8.6% a quarter earlier, followed by Technology and Financials.

Against the trend, UBS O'Connor opened a new position in Genesee & Wyoming Inc. worth $170M.

  • UBS O'Connor's largest Q3 2019 buy was Genesee & Wyoming Inc.: 1,538,321 shares worth $170M.
  • UBS O'Connor added most to Celgene Corp in Q3 2019, an estimated $273M increase.
  • UBS O'Connor's biggest Q3 2019 reduction was Walt Disney, cutting an estimated $55.8M.
  • UBS O'Connor fully exited Red Hat Inc in Q3 2019, selling an estimated $555M.
  • UBS O'Connor's ten largest holdings make up 50% of its $3.59B portfolio in Q3 2019.
  • UBS O'Connor opened 147 new positions and closed 82 in Q3 2019.
  • UBS O'Connor's portfolio value fell 30% quarter-over-quarter to $3.59B.

Based on UBS O'Connor's 13F filing for Q3 2019, filed 14 Nov 2019.