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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
HTZ
201
PUT
DELISTED
Hertz Global Holdings, Inc.
HTZ
$634K 0.02%
+295,000
New +$4.16M
UBER icon
202
PUT
Uber
UBER
$143B
$620K 0.02%
+400,000
New +$15.1M
ZS icon
203
Zscaler
ZS
$26.3B
$591K 0.02%
+12,500
New +$900K
RDHL
204
Redhill Biopharma
RDHL
$3.53M
$586K 0.02%
+83
New +$604K
CHPT icon
205
CALL
ChargePoint
CHPT
$152M
$578K 0.02%
+32,316
New +$6.31M
WW
206
DELISTED
WW International
WW
$567K 0.02%
+15,000
New +$424K
ADT icon
207
ADT
ADT
$5.59B
$564K 0.02%
90,000
– –
EIGR
208
DELISTED
Eiger BioPharmaceuticals, Inc.
EIGR
$527K 0.01%
+1,713
New +$556K
ITRM
209
DELISTED
Iterum Therapeutics
ITRM
$523K 0.01%
5,913
– –
LSEA
210
DELISTED
Landsea Homes
LSEA
$513K 0.01%
+50,000
New +$510K
LYFT icon
211
Lyft
LYFT
$6.19B
$510K 0.01%
+12,500
New +$683K
THBRU
212
DELISTED
Thunder Bridge Acquisition II, Ltd. Units
THBRU
$509K 0.01%
+50,000
New +$506K
ALDX icon
213
Aldeyra Therapeutics
ALDX
$95.9M
$487K 0.01%
+92,500
New +$498K
GDP
214
DELISTED
Goodrich Petroleum Corporation Common Stock
GDP
$468K 0.01%
44,000
-106,000
-71% -$1.17M
RIG icon
215
Transocean
RIG
$5.71B
$447K 0.01%
+100,000
New +$531K
SPY icon
216
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$818B
$445K 0.01%
3,000,000
-2,500,000
-45% -$739M
QEP
217
PUT
DELISTED
QEP RESOURCES, INC.
QEP
$417K 0.01%
93,600
– –
GTYH
218
CALL
DELISTED
GTY Technology Holdings, Inc. Common Stock
GTYH
$396K 0.01%
650,000
– –
PHR icon
219
Phreesia
PHR
$706M
$380K 0.01%
+15,687
New +$414K
SKIL icon
220
CALL
Skillsoft
SKIL
$72.1M
$369K 0.01%
+12,500
New +$2.49M
WUBA
221
DELISTED
58.com Inc
WUBA
$367K 0.01%
+7,448
New +$412K
GOOGL icon
222
Alphabet (Google) Class A
GOOGL
$4.38T
$366K 0.01%
6,000
-73,620
-92% -$4.36M
IBM icon
223
IBM
IBM
$220B
$364K 0.01%
+2,615
New +$353K
MNTV
224
DELISTED
Momentive Global Inc. Common Stock
MNTV
$342K 0.01%
+20,000
New +$348K
MOBL
225
DELISTED
MobileIron, Inc.
MOBL
$327K 0.01%
+50,000
New +$341K
7 8
9
10 11

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SAG
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ACI
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TCOV
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RC
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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.