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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
WYNN icon
676
PUT
Wynn Resorts
WYNN
$10.7B
$224K ﹤0.01%
+5,300
New +$523K
PPGHW
677
DELISTED
Poema Global Holdings Corp. Warrant
PPGHW
$224K ﹤0.01%
249,991
– –
CTAC.WS
678
DELISTED
Cerberus Telecom Acquisition Corp. Warrants included as part of the Units, each whole warrant exerci
CTAC.WS
$223K ﹤0.01%
217,514
– –
RDBXW
679
DELISTED
Redbox Entertainment Inc. Warrant
RDBXW
$222K ﹤0.01%
262,491
– –
ABLLW
680
DELISTED
Abacus Life Warrant
ABLLW
$220K ﹤0.01%
349,987
– –
NMMCW
681
DELISTED
North Mountain Merger Corp. Warrant
NMMCW
$219K ﹤0.01%
249,991
– –
JWSM.WS
682
DELISTED
Jaws Mustang Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
JWSM.WS
$217K ﹤0.01%
187,492
– –
TEKKW
683
DELISTED
Tekkorp Digital Acquisition Corp. Warrant
TEKKW
$216K ﹤0.01%
249,991
– –
DCGOW
684
DELISTED
DocGo Inc. Warrants
DCGOW
$215K ﹤0.01%
166,660
– –
NGCAW
685
DELISTED
NextGen Acquisition Corp. II Warrant
NGCAW
$215K ﹤0.01%
+130,039
New +$248K
SWBK.WS
686
DELISTED
Switchback II Corporation Warrants, exercisable for one share of Class A Ordinary Share
SWBK.WS
$213K ﹤0.01%
150,192
– –
DAVEW icon
687
Dave Inc Warrants
DAVEW
$16.6M
$209K ﹤0.01%
+125,326
New +$208K
MOTV.WS
688
DELISTED
Motive Capital Corp Warrants, each whole warrant exercisable for one Class A ordinary share at an ex
MOTV.WS
$209K ﹤0.01%
166,660
– –
ADERW
689
DELISTED
26 Capital Acquisition Corp Warrant
ADERW
$208K ﹤0.01%
249,991
– –
SFRWW
690
DELISTED
Appreciate Holdings, Inc. Warrant
SFRWW
$207K ﹤0.01%
249,991
– –
IGACW
691
DELISTED
IG Acquisition Corp. Warrant
IGACW
$207K ﹤0.01%
249,991
– –
ARQQW icon
692
Arqit Quantum Warrants
ARQQW
$129K
$206K ﹤0.01%
+100,392
New +$195K
CMPOW
693
DELISTED
CompoSecure Inc Warrant
CMPOW
$206K ﹤0.01%
124,996
– –
CBAH.WS
694
DELISTED
CBRE Acquisition Holdings, Inc. Warrants, each whole warrant exercisable for one share of Class A co
CBAH.WS
$206K ﹤0.01%
124,996
– –
APSG.WS
695
DELISTED
Apollo Strategic Growth Capital Warrants, each exercisable for one Class A Ordinary Share at an exer
APSG.WS
$205K ﹤0.01%
250,979
– –
JUGGW
696
DELISTED
Jaws Juggernaut Acquisition Corporation Warrant
JUGGW
$204K ﹤0.01%
+175,684
New +$206K
RONI.WS
697
DELISTED
Rice Acquisition Corp. II Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
RONI.WS
$204K ﹤0.01%
+125,488
New +$189K
PDYNW icon
698
Palladyne AI Corp Warrants
PDYNW
$156K
$203K ﹤0.01%
249,991
– –
SDACW
699
DELISTED
Sustainable Development Acquisition I Corp. Warrant
SDACW
$202K ﹤0.01%
299,989
– –
SPR
700
PUT
DELISTED
Spirit AeroSystems
SPR
$200K ﹤0.01%
26,300
– –
26 27
28
29 30

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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.