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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
TNL icon
501
Travel + Leisure Co
TNL
$4.69B
$2.42M 0.02%
44,400
-65,500
-60% -$3.58M
AAC
502
DELISTED
Ares Acquisition Corporation
AAC
$2.42M 0.02%
248,608
– –
BNZI icon
503
Banzai International
BNZI
$6.33M
$2.42M 0.02%
25
– –
FORG
504
DELISTED
ForgeRock, Inc.
FORG
$2.41M 0.02%
+62,000
New +$2.61M
PTOC
505
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$2.41M 0.02%
250,163
– –
GXII
506
DELISTED
GX Acquisition Corp. II Class A Common Stock
GXII
$2.41M 0.02%
249,804
– –
FRW
507
DELISTED
PWP Forward Acquisition Corp. I Class A Common Stock
FRW
$2.41M 0.02%
250,164
– –
DCRN
508
DELISTED
Decarbonization Plus Acquisition Corporation II Class A Common stock
DCRN
$2.41M 0.02%
243,299
+78,505
+48% +$775K
PLTR icon
509
Palantir
PLTR
$409B
$2.4M 0.02%
100,000
+25,000
+33% +$610K
HMCO
510
DELISTED
HumanCo Acquisition Corp. Class A Common Stock
HMCO
$2.4M 0.02%
242,309
+73,379
+43% +$715K
WPCA
511
DELISTED
Warburg Pincus Capital Corporation I-A
WPCA
$2.37M 0.02%
241,680
– –
NGL icon
512
NGL Energy Partners
NGL
$2.11B
$2.37M 0.02%
1,000,000
-250,000
-20% -$488K
HLGN
513
DELISTED
Heliogen, Inc.
HLGN
$2.37M 0.02%
6,808
-1,769
-21% -$613K
NMG
514
Nouveau Monde Graphite
NMG
$454M
$2.32M 0.02%
414,412
+39,412
+11% +$259K
RLX icon
515
RLX Technology
RLX
$2.47B
$2.26M 0.02%
+500,000
New +$2.72M
DNAD
516
DELISTED
Social Capital Suvretta Holdings Corp. IV Class A Ordinary Shares
DNAD
$2.25M 0.02%
229,422
+179,422
+359% +$1.77M
TSLA icon
517
PUT
Tesla
TSLA
$1.29T
$2.23M 0.02%
321,600
+261,600
+436% +$61.6M
EJFA
518
DELISTED
EJF Acquisition Corp. Class A Ordinary Share
EJFA
$2.22M 0.02%
225,001
– –
KVSA
519
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
$2.2M 0.02%
223,310
– –
S icon
520
SentinelOne
S
$7.32B
$2.14M 0.02%
40,000
+5,000
+14% +$274K
RBLX icon
521
Roblox
RBLX
$26.5B
$2.12M 0.02%
28,000
+15,000
+115% +$1.23M
PFSI icon
522
PennyMac Financial
PFSI
$4.01B
$2.1M 0.02%
34,300
+4,300
+14% +$273K
BHC icon
523
Bausch Health
BHC
$2.29B
$2.09M 0.02%
75,000
-90,000
-55% -$2.55M
CRK icon
524
Comstock Resources
CRK
$3.94B
$2.08M 0.02%
201,250
-1,182,500
-85% -$8.01M
GIA.U
525
DELISTED
GigCapital 5, Inc. Units, each consisting of one share of common stock and one whole redeemable warrant
GIA.U
$2.06M 0.02%
+200,783
New +$2.05M
19 20
21
22 23

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SAG
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ACI
Alpha Cubed Investments Irvine, California $2.92B AUM 31.27% 1-Year Est. Return
RC
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A
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CGL
Clarius Group LLC Seattle, Washington $1.75B AUM 19.04% 1-Year Est. Return
CB
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JCM
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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.