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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
MPC icon
151
Marathon Petroleum
MPC
$84B
$2.57M 0.07%
87,500
-25,000
-22% -$878K
LPRO
152
DELISTED
Open Lending Corp
LPRO
$2.55M 0.06%
+100,000
New +$1.95M
OXY icon
153
PUT
Occidental Petroleum
OXY
$55.7B
$2.46M 0.06%
3,574,500
-4,520,000
-56% -$63.7M
SQM icon
154
Sociedad Química y Minera de Chile
SQM
$20.7B
$2.43M 0.06%
+75,000
New +$2.34M
CHPT icon
155
CALL
ChargePoint
CHPT
$152M
$2.4M 0.06%
25,548
-350
-1% -$76.2K
FIRY
156
CALL
Firy Inc
FIRY
$156M
$2.39M 0.06%
36,914
-492
-1% -$113K
DRI icon
157
Darden Restaurants
DRI
$24.1B
$2.27M 0.06%
22,500
-17,020
-43% -$1.41M
AVPT icon
158
CALL
AvePoint
AVPT
$2.71B
$2.25M 0.06%
1,171,452
-16,048
-1% -$167K
GM icon
159
General Motors
GM
$76.3B
$2.22M 0.06%
75,000
-150,000
-67% -$4.21M
WLK icon
160
Westlake Corp
WLK
$9.93B
$2.21M 0.06%
+35,000
New +$2.07M
DT icon
161
Dynatrace
DT
$14.2B
$2.21M 0.06%
53,781
-22,000
-29% -$901K
PDM
162
Piedmont Realty Trust
PDM
$1.18B
$2.16M 0.05%
+159,200
New +$2.47M
ROST icon
163
Ross Stores
ROST
$81.6B
$2.15M 0.05%
+23,000
New +$2.06M
JIH
164
CALL
DELISTED
Juniper Industrial Holdings, Inc.
JIH
$2.15M 0.05%
1,230,026
-16,849
-1% -$171K
CDLX icon
165
Cardlytics
CDLX
$20.4M
$2.12M 0.05%
+3,000
New +$2.18M
CMI icon
166
Cummins
CMI
$88.7B
$2.11M 0.05%
10,000
+5,000
+100% +$996K
ES icon
167
Eversource Energy
ES
$27.1B
$2.09M 0.05%
25,000
+12,500
+100% +$1.07M
WKHS icon
168
Workhorse Group
WKHS
$35.2M
$2.02M 0.05%
27
-29
-52% -$1.66M
F icon
169
Ford
F
$55B
$2M 0.05%
+300,000
New +$2.03M
AEE icon
170
Ameren
AEE
$30B
$1.98M 0.05%
+25,000
New +$1.96M
ABR icon
171
Arbor Realty Trust
ABR
$957M
$1.9M 0.05%
+165,200
New +$1.73M
RSG icon
172
Republic Services
RSG
$64.5B
$1.87M 0.05%
+20,000
New +$1.79M
ENDP
173
DELISTED
Endo International plc
ENDP
$1.85M 0.05%
560,009
+500,000
+833% +$1.6M
OPEN icon
174
CALL
Opendoor
OPEN
$3.34B
$1.83M 0.05%
+338,941
New +$4.05M
TRNO icon
175
Terreno Realty
TRNO
$7.2B
$1.75M 0.04%
32,000
-17,500
-35% -$995K
5 6
7
8 9

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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 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.