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UM

Ulysses Management Portfolio holdings

AUM $802M
1-Year Est. Return 5.35%
This Fund
S&P 500
This Quarter Est. Return
+9.59%
1 Year Est. Return
+5.35%
3 Year Est. Return
+48.67%
5 Year Est. Return
+15.21%
10 Year Est. Return
+258.4%
AUM
$584M
AUM Growth
-$194M
Cap. Flow
-$258M
Cap. Flow %
-44.23%
Top 10 Hldgs %
75.61%
Holding
64
New
14
Increased
13
Reduced
8
Closed
13

Top Buys

Rank Stock Value
1
TMUS icon
T-Mobile US
TMUS
+$6.3M
2
C icon
Citigroup
C
+$5.06M
3
CSTM icon
Constellium
CSTM
+$4.4M
4
IDCC icon
InterDigital
IDCC
+$3.32M
5
ARMK icon
Aramark
ARMK
+$1.46M

Top Sells

Rank Stock Value
1
EXPE icon
Expedia Group
EXPE
+$18.3M
2
VOD icon
Vodafone
VOD
+$5.31M
3
AIG icon
American International
AIG
+$4.49M
4
MOVE
MOVE INC COM STK NEW (DE)
MOVE
+$2.05M
5
XOM icon
ExxonMobil
XOM
+$1.51M

Sector Composition

Rank Sector Weight
1 Financials 9.06%
2 Technology 6.19%
3 Communication Services 4.56%
4 Consumer Staples 3.07%
5 Consumer Discretionary 1.23%
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
$806B
$184M 31.54%
997,500
-1,137,500
-53% -$201M
IWM icon
2
PUT
iShares Russell 2000 ETF
IWM
$81.5B
$65.8M 11.26%
570,000
-555,000
-49% -$61.3M
PEP icon
3
CALL
PepsiCo
PEP
$191B
$40.9M 7%
493,300
+69,300
+16% +$5.75M
C icon
4
Citigroup
C
$224B
$27.1M 4.64%
520,000
+100,000
+24% +$5.06M
SFLY
5
DELISTED
Shutterfly, Inc.
SFLY
$25.5M 4.37%
501,500
+20,000
+4% +$1.01M
GOOG icon
6
CALL
Alphabet (Google) Class C
GOOG
$4.56T
$24.7M 4.22%
883,298
-20,075
-2% -$508K
MSFT icon
7
Microsoft
MSFT
$3.62T
$22.5M 3.85%
601,000
– –
AIG icon
8
American International
AIG
$41.8B
$18.4M 3.15%
359,900
-90,000
-20% -$4.49M
BUD icon
9
AB InBev
BUD
$166B
$16.5M 2.83%
155,000
– –
PPLI
10
People Inc
PPLI
$3.13B
$16.1M 2.76%
1,312,324
+5,981
+0.5% +$61.7K
FSGI
11
DELISTED
FIRST SECURITY GROUP, INC.
FSGI
$13.8M 2.36%
6,000,000
– –
MOVE
12
DELISTED
MOVE INC COM STK NEW (DE)
MOVE
$12.5M 2.13%
779,807
-125,625
-14% -$2.05M
TMUS icon
13
T-Mobile US
TMUS
$190B
$10.5M 1.8%
313,000
+230,000
+277% +$6.3M
MOS icon
14
CALL
The Mosaic Company
MOS
$6.93B
$10M 1.72%
212,000
+22,500
+12% +$1.04M
CMA.WS
15
DELISTED
Comerica Incorporated Ws
CMA.WS
$9.53M 1.63%
500,000
– –
OUTR
16
DELISTED
OUTERWALL INC
OUTR
$9.08M 1.55%
135,000
– –
IDCC icon
17
InterDigital
IDCC
$7.98B
$8.55M 1.46%
290,000
+97,999
+51% +$3.32M
HVB
18
DELISTED
HUDSON VY HLDG CORP
HVB
$7.12M 1.22%
350,000
– –
CSTM icon
19
Constellium
CSTM
$3.85B
$5.12M 0.88%
+220,000
New +$4.4M
SFLY
20
CALL
DELISTED
Shutterfly, Inc.
SFLY
$5.09M 0.87%
+100,000
New +$5.05M
NOVB
21
DELISTED
NORTH VALLEY BANCORP-COM
NOVB
$4.35M 0.74%
230,000
– –
DDD icon
22
PUT
3D Systems Corp
DDD
$462M
$4.04M 0.69%
+43,500
New +$3.05M
IMCB
23
DELISTED
INTERMOUNTAIN COMMUNITY BANCORP (ID) COMMON STOCK
IMCB
$3.7M 0.63%
235,000
+13,432
+6% +$209K
S
24
PUT
DELISTED
Sprint Corporation
S
$3.23M 0.55%
+300,000
New +$2.26M
EXPE icon
25
Expedia Group
EXPE
$35.8B
$3.13M 0.54%
45,000
-310,900
-87% -$18.3M
1
2 3

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Ulysses Management's Q4 2013 Portfolio in Review

As of Q4 2013, Ulysses Management held 64 positions worth $584M, down 25% from $778M the previous quarter. Its ten largest holdings account for 76% of the portfolio.

Ulysses Management withdrew a net $258M in Q4 2013, closing 13 positions and reducing 8 holdings. Its most notable exit was Vodafone, an estimated $5.31M position sold in full.

By sector, the portfolio is most concentrated in Financials at 9.1% of assets, up from 6.4% a quarter earlier, followed by Technology and Communication Services.

Against the trend, Ulysses Management opened a new position in Constellium worth $5.12M.

  • Ulysses Management's largest Q4 2013 buy was Constellium: 220,000 shares worth $5.12M.
  • Ulysses Management added most to T-Mobile US in Q4 2013, an estimated $6.3M increase.
  • Ulysses Management's biggest Q4 2013 reduction was Expedia Group, cutting an estimated $18.3M.
  • Ulysses Management fully exited Vodafone in Q4 2013, selling an estimated $5.31M.
  • Ulysses Management's ten largest holdings make up 76% of its $584M portfolio in Q4 2013.
  • Ulysses Management opened 14 new positions and closed 13 in Q4 2013.
  • Ulysses Management's portfolio value fell 25% quarter-over-quarter to $584M.

Based on Ulysses Management's 13F filing for Q4 2013, filed 14 Feb 2014.