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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
ADNT icon
176
Adient
ADNT
$1.45B
$1.73M 0.04%
+100,000
New +$1.74M
AXTA icon
177
Axalta
AXTA
$8.03B
$1.72M 0.04%
77,500
-87,500
-53% -$2.03M
BKNG icon
178
Booking.com
BKNG
$156B
$1.71M 0.04%
25,000
-7,500
-23% -$527K
NEE icon
179
NextEra Energy
NEE
$176B
$1.67M 0.04%
24,000
+4,000
+20% +$276K
LEA icon
180
Lear
LEA
$7.93B
$1.64M 0.04%
+15,000
New +$1.71M
MRO
181
DELISTED
Marathon Oil Corporation
MRO
$1.64M 0.04%
400,000
+350,000
+700% +$1.85M
VRM icon
182
Vroom Inc
VRM
$48.3M
$1.63M 0.04%
+393
New +$1.75M
INVH icon
183
Invitation Homes
INVH
$18B
$1.59M 0.04%
56,900
-20,562
-27% -$586K
JCI icon
184
Johnson Controls International
JCI
$93.6B
$1.53M 0.04%
37,500
-28,750
-43% -$1.13M
PPG icon
185
PPG Industries
PPG
$26B
$1.53M 0.04%
+12,500
New +$1.46M
CCL icon
186
PUT
Carnival Corporation Ltd
CCL
$39.4B
$1.51M 0.04%
150,000
– –
OXY icon
187
CALL
Occidental Petroleum
OXY
$56B
$1.5M 0.04%
+500,000
New +$7.05M
OGE icon
188
OGE Energy
OGE
$9.67B
$1.5M 0.04%
+50,000
New +$1.57M
RMO
189
DELISTED
Romeo Power, Inc.
RMO
$1.49M 0.04%
+139,341
New +$1.44M
TMC icon
190
CALL
TMC The Metals Company
TMC
$1.78B
$1.47M 0.04%
843,446
-11,554
-1% -$116K
UNVR
191
DELISTED
Univar Solutions Inc.
UNVR
$1.44M 0.04%
+85,000
New +$1.5M
RSI icon
192
CALL
Rush Street Interactive
RSI
$2.9B
$1.43M 0.04%
468,581
-6,419
-1% -$73.1K
O icon
193
Realty Income
O
$59B
$1.42M 0.04%
24,149
+14,964
+163% +$885K
CNX icon
194
CNX Resources
CNX
$5.2B
$1.42M 0.04%
150,000
+50,000
+50% +$510K
ASTS icon
195
CALL
AST SpaceMobile
ASTS
$20.1B
$1.4M 0.04%
1,138,500
– –
HTZ
196
PUT
DELISTED
Hertz Global Holdings, Inc.
HTZ
$1.39M 0.04%
115,500
– –
CHPM
197
CALL
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
$1.34M 0.03%
1,148,023
-15,727
-1% -$160K
ETN icon
198
Eaton
ETN
$174B
$1.27M 0.03%
12,500
-25,000
-67% -$2.44M
CWEN icon
199
Clearway Energy Class C
CWEN
$6.74B
$1.21M 0.03%
+45,000
New +$1.11M
PLX icon
200
Protalix BioTherapeutics
PLX
$197M
$1.16M 0.03%
300,000
-372,035
-55% -$1.35M
6 7
8
9 10

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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
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RC
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A
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CGL
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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.