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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
+2.09%
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
$12.7B
AUM Growth
+$1.53B
Cap. Flow
+$693M
Cap. Flow %
5.44%
Top 10 Hldgs %
59.59%
Holding
1,083
New
213
Increased
181
Reduced
63
Closed
169

Top Buys

Rank Stock Value
1
NUAN
Nuance Communications, Inc.
NUAN
+$1.07B
2
INFO
IHS Markit Ltd. Common Shares
INFO
+$904M
3
KSU
Kansas City Southern
KSU
+$631M
4
ATH
Athene Holding Ltd. Class A Common Shares
ATH
+$303M
5
HRC
HILL-ROM HOLDINGS, INC.
HRC
+$283M

Top Sells

Rank Stock Value
1
MXIM
Maxim Integrated Products
MXIM
+$850M
2
ALXN
Alexion Pharmaceuticals
ALXN
+$813M
3
WORK
Slack Technologies, Inc.
WORK
+$491M
4
GRA
W.R. Grace & Co.
GRA
+$404M
5
QTS
QTS REALTY TRUST, INC.
QTS
+$355M

Sector Composition

Rank Sector Weight
1 Financials 21.02%
2 Technology 16.2%
3 Communication Services 14.41%
4 Industrials 10.32%
5 Healthcare 9.46%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EMBK
351
DELISTED
Embark Technology, Inc. Common Stock
EMBK
$3.92M 0.03%
19,716
-352
-2% -$69.8K
ZVIA icon
352
Zevia
ZVIA
$113M
$3.91M 0.03%
+339,956
New +$4.51M
NDAC
353
DELISTED
NightDragon Acquisition Corp. Class A Common stock
NDAC
$3.91M 0.03%
400,261
– –
WALD icon
354
Waldencast
WALD
$181M
$3.91M 0.03%
400,261
– –
FMIV
355
DELISTED
Forum Merger IV Corporation Class A Common stock
FMIV
$3.91M 0.03%
400,196
– –
FRXB
356
DELISTED
Forest Road Acquisition Corp. II
FRXB
$3.9M 0.03%
400,261
– –
ATAQ
357
DELISTED
Altimar Acquisition Corp III
ATAQ
$3.9M 0.03%
400,261
– –
REVH
358
DELISTED
Revolution Healthcare Acquisition Corp. SAIL Class A Common Stock
REVH
$3.9M 0.03%
400,392
– –
AEM icon
359
Agnico Eagle Mines
AEM
$91.4B
$3.89M 0.03%
+75,000
New +$4.37M
MIT
360
DELISTED
Mason Industrial Technology, Inc.
MIT
$3.88M 0.03%
398,799
– –
AISP
361
Airship AI Holdings
AISP
$66.5M
$3.88M 0.03%
399,804
– –
DHBC
362
DELISTED
DHB Capital Corp. Class A common stock
DHBC
$3.88M 0.03%
399,935
– –
RKTA
363
DELISTED
Rocket Internet Growth Opportunities Corp.
RKTA
$3.88M 0.03%
396,802
+96,802
+32% +$940K
AEAC
364
DELISTED
Authentic Equity Acquisition Corp. Class A ordinary share
AEAC
$3.88M 0.03%
399,591
– –
VEEA
365
Veea Inc
VEEA
$8.57M
$3.87M 0.03%
400,261
– –
KAIR
366
DELISTED
Kairos Acquisition Corp. Class A Ordinary Shares
KAIR
$3.86M 0.03%
399,591
– –
STAG icon
367
STAG Industrial
STAG
$7.1B
$3.85M 0.03%
98,100
+3,000
+3% +$123K
AVAN
368
DELISTED
Avanti Acquisition Corp.
AVAN
$3.82M 0.03%
389,870
– –
TSPQ
369
DELISTED
TCW Special Purpose Acquisition Corp.
TSPQ
$3.77M 0.03%
385,202
+135,528
+54% +$1.31M
MRVI icon
370
Maravai LifeSciences
MRVI
$860M
$3.68M 0.03%
+75,065
New +$3.66M
BOAC
371
DELISTED
Bluescape Opportunities Acquisition Corp.
BOAC
$3.63M 0.03%
370,368
– –
PENN icon
372
PENN Entertainment
PENN
$2.71B
$3.62M 0.03%
50,000
-50,000
-50% -$3.68M
LXP icon
373
LXP Industrial Trust
LXP
$3.57B
$3.62M 0.03%
56,780
+1,880
+3% +$123K
GACQ
374
DELISTED
Global Consumer Acquisition Corp. Common Stock
GACQ
$3.62M 0.03%
+366,429
New +$3.59M
AZRE
375
DELISTED
Azure Power Global Limited
AZRE
$3.61M 0.03%
164,210
-114
-0.1% -$2.62K
13 14
15
16 17

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FNBT
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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 2021 Portfolio in Review

As of Q3 2021, UBS O'Connor held 1,083 positions worth $12.7B, up 14% from $11.2B the previous quarter. Its ten largest holdings account for 60% of the portfolio.

UBS O'Connor deployed $693M of net new capital in Q3 2021, opening 213 new positions and adding to 181 existing holdings. Its largest new stake was HILL-ROM HOLDINGS, INC.: 2,100,000 shares worth $315M.

By sector, the portfolio is most concentrated in Financials at 21% of assets, up from 14% a quarter earlier, followed by Technology and Communication Services.

On the sell side, the largest reduction was GreenSky, Inc. Class A Common Stock, an estimated $30.1M trimmed.

  • UBS O'Connor's largest Q3 2021 buy was HILL-ROM HOLDINGS, INC.: 2,100,000 shares worth $315M.
  • UBS O'Connor added most to Nuance Communications, Inc. in Q3 2021, an estimated $1.07B increase.
  • UBS O'Connor's biggest Q3 2021 reduction was GreenSky, Inc. Class A Common Stock, cutting an estimated $30.1M.
  • UBS O'Connor fully exited Maxim Integrated Products in Q3 2021, selling an estimated $850M.
  • UBS O'Connor's ten largest holdings make up 60% of its $12.7B portfolio in Q3 2021.
  • UBS O'Connor opened 213 new positions and closed 169 in Q3 2021.
  • UBS O'Connor's portfolio value rose 14% quarter-over-quarter to $12.7B.

Based on UBS O'Connor's 13F filing for Q3 2021, filed 12 Nov 2021.