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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
ONON icon
601
On Holding
ONON
$12.6B
$951K 0.01%
+31,547
New +$1.11M
CYXT
602
DELISTED
Cyxtera Technologies, Inc. Class A Common Stock
CYXT
$918K 0.01%
99,254
+3,675
+4% +$34.4K
RIG icon
603
PUT
Transocean
RIG
$5.82B
$885K 0.01%
1,707,000
– –
CCI icon
604
Crown Castle
CCI
$32.2B
$884K 0.01%
+5,100
New +$986K
EVOJ
605
DELISTED
Evo Acquisition Corp. Class A Common Stock
EVOJ
$827K 0.01%
+85,333
New +$827K
PDM
606
Piedmont Realty Trust
PDM
$1.19B
$743K 0.01%
42,600
-11,100
-21% -$202K
IIAC.WS
607
DELISTED
Investindustrial Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class
IIAC.WS
$737K 0.01%
566,645
– –
FAZE
608
DELISTED
FaZe Holdings Inc. Common Stock
FAZE
$724K 0.01%
+74,303
New +$721K
HYG icon
609
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.6B
$690K 0.01%
2,000,000
-1,250,000
-38% -$110M
QQQ icon
610
PUT
Invesco QQQ Trust
QQQ
$483B
$683K 0.01%
+54,000
New +$19.9M
CHPMW
611
DELISTED
CHP Merger Corp. Warrant
CHPMW
$673K 0.01%
1,258,066
– –
GSDWU
612
DELISTED
Global Systems Dynamics, Inc. Unit
GSDWU
$641K 0.01%
+62,946
New +$634K
LICY.WS
613
DELISTED
Li-Cycle Holdings Corp. Redeemable Warrants, each whole warrant exercisable for one Common Share at
LICY.WS
$604K ﹤0.01%
+250,979
New +$461K
CONXW
614
DELISTED
CONX Corp. Warrant
CONXW
$587K ﹤0.01%
499,982
– –
ADT icon
615
ADT
ADT
$5.6B
$582K ﹤0.01%
71,985
– –
TOIIW
616
DELISTED
The Oncology Institute Warrant
TOIIW
$577K ﹤0.01%
372,284
– –
BNNRU
617
DELISTED
Banner Acquisition Corp. Units
BNNRU
$566K ﹤0.01%
+56,922
New +$565K
HZAC.WS
618
DELISTED
Horizon Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary sh
HZAC.WS
$562K ﹤0.01%
333,321
– –
VYGG.WS
619
DELISTED
Vy Global Growth Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
VYGG.WS
$538K ﹤0.01%
399,985
– –
ESMT
620
DELISTED
EngageSmart, Inc.
ESMT
$511K ﹤0.01%
+15,000
New +$515K
PUCK
621
DELISTED
Goal Acquisitions Corp. Common Stock
PUCK
$488K ﹤0.01%
+50,196
New +$485K
NRAC
622
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
$487K ﹤0.01%
+50,196
New +$486K
SHACW
623
DELISTED
SCP & CO Healthcare Acquisition Company Warrant
SHACW
$478K ﹤0.01%
866,222
– –
MAACW
624
DELISTED
Montes Archimedes Acquisition Corp. Warrant
MAACW
$478K ﹤0.01%
324,989
– –
CCAC.WS
625
DELISTED
CITIC Capital Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary sh
CCAC.WS
$473K ﹤0.01%
602,262
– –
23 24
25
26 27

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SAG
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ACI
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RC
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CGL
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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.