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UM

Ulysses Management Portfolio holdings

AUM $506M
1-Year Est. Return 8.58%
This Fund
S&P 500
This Quarter Est. Return
+3.78%
1 Year Est. Return
+8.58%
3 Year Est. Return
+51.83%
5 Year Est. Return
+25.87%
10 Year Est. Return
+306.8%
AUM
$778M
AUM Growth
+$151M
Cap. Flow
-$44.2M
Cap. Flow %
-5.68%
Top 10 Hldgs %
84.21%
Holding
60
New
15
Increased
11
Reduced
11
Closed
10

Top Buys

Rank Stock Value
1
EXPE icon
Expedia Group
EXPE
+$8.28M
2
OUTR
OUTERWALL INC
OUTR
+$4.42M
3
XOM icon
ExxonMobil
XOM
+$1.58M
4
ERIC icon
Ericsson
ERIC
+$1.55M
5
IDCC icon
InterDigital
IDCC
+$1.51M

Top Sells

Rank Stock Value
1
JNJ icon
Johnson & Johnson
JNJ
+$15M
2
VOD icon
Vodafone
VOD
+$11.3M
3
AIG icon
American International
AIG
+$10.2M
4
SFLY
Shutterfly, Inc.
SFLY
+$7.78M
5
TMUS icon
T-Mobile US
TMUS
+$5.44M

Sector Composition

Rank Sector Weight
1 Miscellaneous 77.84%
2 Financials 6.42%
3 Consumer Discretionary 6.11%
4 Technology 4.44%
5 Communication Services 2.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$804B
$359M 46.11%
2,135,000
+320,000
+18% +$53.6M
IWM icon
2
PUT
iShares Russell 2000 ETF
IWM
$76.9B
$120M 15.42%
1,125,000
+405,000
+56% +$41.9M
PEP icon
3
CALL
PepsiCo
PEP
$182B
$33.7M 4.33%
+424,000
New +$34.8M
SFLY
4
DELISTED
Shutterfly, Inc.
SFLY
$26.9M 3.46%
481,500
-140,000
-23% -$7.78M
AIG icon
5
American International
AIG
$39.6B
$21.9M 2.81%
449,900
-215,100
-32% -$10.2M
C icon
6
Citigroup
C
$223B
$20.4M 2.62%
420,000
– –
MSFT icon
7
Microsoft
MSFT
$3.7T
$20M 2.57%
601,000
-107,500
-15% -$3.54M
GOOG icon
8
CALL
Alphabet (Google) Class C
GOOG
$4.2T
$19.7M 2.53%
+903,373
New +$20M
EXPE icon
9
Expedia Group
EXPE
$34.2B
$18.4M 2.37%
355,900
+155,000
+77% +$8.28M
BUD icon
10
AB InBev
BUD
$155B
$15.4M 1.98%
155,000
– –
MOVE
11
DELISTED
MOVE INC COM STK NEW (DE)
MOVE
$15.4M 1.97%
905,432
-243,503
-21% -$3.52M
PPLI
12
People Inc
PPLI
$2.75B
$12.8M 1.64%
1,306,343
+47,376
+4% +$433K
FSGI
13
DELISTED
FIRST SECURITY GROUP, INC.
FSGI
$12.5M 1.6%
6,000,000
– –
MOS icon
14
CALL
The Mosaic Company
MOS
$8.07B
$8.15M 1.05%
+189,500
New +$8.82M
IDCC icon
15
InterDigital
IDCC
$8.31B
$7.17M 0.92%
192,001
+40,000
+26% +$1.51M
CMA.WS
16
DELISTED
Comerica Incorporated Ws
CMA.WS
$6.92M 0.89%
500,000
– –
OUTR
17
DELISTED
OUTERWALL INC
OUTR
$6.75M 0.87%
135,000
+75,000
+125% +$4.42M
HVB
18
DELISTED
HUDSON VY HLDG CORP
HVB
$6.57M 0.85%
350,000
– –
EBIX
19
PUT
DELISTED
Ebix Inc
EBIX
$5.71M 0.73%
575,000
+450,000
+360% +$4.89M
VOD icon
20
Vodafone
VOD
$40.5B
$5.31M 0.68%
148,131
-358,065
-71% -$11.3M
MSFT icon
21
CALL
Microsoft
MSFT
$3.7T
$4.66M 0.6%
+140,000
New +$4.61M
NOVB
22
DELISTED
NORTH VALLEY BANCORP-COM
NOVB
$4.35M 0.56%
230,000
+10,000
+5% +$181K
IMCB
23
DELISTED
INTERMOUNTAIN COMMUNITY BANCORP (ID) COMMON STOCK
IMCB
$3.38M 0.43%
221,568
+56,568
+34% +$832K
TMUS icon
24
T-Mobile US
TMUS
$179B
$2.16M 0.28%
83,000
-222,500
-73% -$5.44M
ERIC icon
25
Ericsson
ERIC
$33.6B
$1.67M 0.21%
+125,000
New +$1.55M
1
2 3

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HIM
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RWM
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LSA
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Ulysses Management's Q3 2013 Portfolio in Review

As of Q3 2013, Ulysses Management held 60 positions worth $778M, up 24% from $626M the previous quarter. Its ten largest holdings account for 84% of the portfolio.

Ulysses Management withdrew a net $44.2M in Q3 2013, closing 10 positions and reducing 11 holdings. Its most notable exit was Johnson & Johnson, an estimated $15M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 78% of assets, up from 66% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Ulysses Management opened a new position in ExxonMobil worth $1.51M.

  • Ulysses Management's largest Q3 2013 buy was ExxonMobil: 17,500 shares worth $1.51M.
  • Ulysses Management added most to Expedia Group in Q3 2013, an estimated $8.28M increase.
  • Ulysses Management's biggest Q3 2013 reduction was Vodafone, cutting an estimated $11.3M.
  • Ulysses Management fully exited Johnson & Johnson in Q3 2013, selling an estimated $15M.
  • Ulysses Management's ten largest holdings make up 84% of its $778M portfolio in Q3 2013.
  • Ulysses Management opened 15 new positions and closed 10 in Q3 2013.
  • Ulysses Management's portfolio value rose 24% quarter-over-quarter to $778M.

Based on Ulysses Management's 13F filing for Q3 2013, filed 14 Nov 2013.