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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
CPE
651
PUT
DELISTED
Callon Petroleum Company
CPE
$327K ﹤0.01%
74,400
– –
JOFFW
652
DELISTED
JOFF Fintech Acquisition Corp. Warrant
JOFFW
$324K ﹤0.01%
517,766
+284,442
+122% +$227K
IMPX.WS
653
DELISTED
AEA-Bridges Impact Corp Warrants
IMPX.WS
$324K ﹤0.01%
499,982
– –
RCL icon
654
PUT
Royal Caribbean
RCL
$85.7B
$323K ﹤0.01%
25,300
– –
NVTSW
655
DELISTED
Navitas Semiconductor Corporation Warrants
NVTSW
$319K ﹤0.01%
166,660
– –
GOAC.WS
656
DELISTED
GO Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock
GOAC.WS
$309K ﹤0.01%
416,651
– –
GRNAW
657
DELISTED
GreenLight Biosciences Holdings, PBC Warrant
GRNAW
$306K ﹤0.01%
299,989
– –
FCX icon
658
PUT
Freeport-McMoran
FCX
$97.3B
$300K ﹤0.01%
+500,000
New +$17.6M
HTPA.WS
659
DELISTED
Highland Transcend Partners I Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HTPA.WS
$299K ﹤0.01%
199,993
– –
ENDP
660
PUT
DELISTED
Endo International plc
ENDP
$296K ﹤0.01%
316,400
+225,000
+246% +$795K
COOLW
661
DELISTED
Corner Growth Acquisition Corp. Warrant
COOLW
$285K ﹤0.01%
333,321
– –
ISPOW
662
DELISTED
Inspirato Inc Warrant
ISPOW
$282K ﹤0.01%
249,991
– –
HZON.WS
663
DELISTED
Horizon Acquisition Corporation II Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HZON.WS
$279K ﹤0.01%
308,322
– –
HOG icon
664
PUT
Harley-Davidson
HOG
$2.72B
$272K ﹤0.01%
110,000
– –
BSN.WS
665
DELISTED
Broadstone Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share
BSN.WS
$267K ﹤0.01%
249,991
– –
LUMN icon
666
PUT
Lumen
LUMN
$6.48B
$258K ﹤0.01%
128,000
– –
DISH
667
PUT
DELISTED
DISH Network Corp.
DISH
$257K ﹤0.01%
84,500
+50,000
+145% +$2.13M
JSPRW icon
668
Japer Therapeutics Warrants
JSPRW
$256K ﹤0.01%
179,723
– –
BTAQW
669
DELISTED
Burgundy Technology Acquisition Corporation Warrant
BTAQW
$248K ﹤0.01%
374,987
– –
LEGOW
670
DELISTED
Legato Merger Corp. Warrant
LEGOW
$248K ﹤0.01%
98,810
-150,588
-60% -$350K
AVAN.WS
671
DELISTED
Avanti Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
AVAN.WS
$246K ﹤0.01%
374,987
– –
TACA.WS
672
DELISTED
Trepont Acquisition Corp I Redeemable Warrants, each whole warrant exercisable for one Class A ordin
TACA.WS
$242K ﹤0.01%
374,987
– –
HIGA.WS
673
DELISTED
H.I.G. Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HIGA.WS
$230K ﹤0.01%
333,321
– –
NCLH icon
674
PUT
Norwegian Cruise Line
NCLH
$8.81B
$228K ﹤0.01%
47,200
-60,500
-56% -$1.54M
RBAC.WS
675
DELISTED
RedBall Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordina
RBAC.WS
$226K ﹤0.01%
299,989
– –
25 26
27
28 29

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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.