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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
PUCKW
701
DELISTED
Goal Acquisitions Corp. Warrant
PUCKW
$200K ﹤0.01%
349,804
– –
ATVI
702
CALL
DELISTED
Activision Blizzard
ATVI
$199K ﹤0.01%
+100,000
New +$8.36M
CVIIW
703
DELISTED
Churchill Capital Corp VII Warrants
CVIIW
$197K ﹤0.01%
210,196
+50,196
+31% +$56K
CAS.WS
704
DELISTED
Cascade Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class
CAS.WS
$190K ﹤0.01%
299,989
– –
PNTM.WS
705
DELISTED
Pontem Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
PNTM.WS
$189K ﹤0.01%
266,657
– –
NXU.WS
706
DELISTED
Novus Capital Corporation II Redeemable warrants, each whole warrant exercisable for shares of Class
NXU.WS
$187K ﹤0.01%
176,435
– –
OXY icon
707
PUT
Occidental Petroleum
OXY
$56.2B
$185K ﹤0.01%
177,600
– –
RMGCW
708
DELISTED
RMG Acquisition Corp. III Warrant
RMGCW
$184K ﹤0.01%
199,992
– –
PIAI.WS
709
DELISTED
Prime Impact Acquisition I Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
PIAI.WS
$183K ﹤0.01%
266,656
– –
OCA.WS
710
DELISTED
Omnichannel Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A comm
OCA.WS
$183K ﹤0.01%
234,992
– –
VLD.WS
711
DELISTED
Velo3D, Inc. Redeemable warrants, each Warrant exercisable for 1/35th of a share of Common Stock at an exercise price of $402.50
VLD.WS
$182K ﹤0.01%
+124,996
New +$192K
CPUH.WS
712
DELISTED
Compute Health Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
CPUH.WS
$181K ﹤0.01%
187,492
– –
HAACW
713
DELISTED
Health Assurance Acquisition Corp. Warrants
HAACW
$181K ﹤0.01%
175,191
+50,195
+40% +$65.6K
KURIW
714
DELISTED
Alkuri Global Acquisition Corp Warrant
KURIW
$177K ﹤0.01%
124,996
– –
ADT icon
715
PUT
ADT
ADT
$5.57B
$173K ﹤0.01%
56,800
– –
PMVC.WS
716
DELISTED
PMV Consumer Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
PMVC.WS
$171K ﹤0.01%
249,991
– –
ETACW
717
DELISTED
E.Merge Technology Acquisition Corp. Warrant
ETACW
$171K ﹤0.01%
249,991
– –
ENJYW
718
DELISTED
Enjoy Technology, Inc. Warrant
ENJYW
$171K ﹤0.01%
124,996
– –
SNRHW
719
DELISTED
Senior Connect Acquisition Corp. I Warrant
SNRHW
$170K ﹤0.01%
250,485
+125,489
+100% +$98.1K
XPOA.WS
720
DELISTED
DPCM Capital, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at
XPOA.WS
$168K ﹤0.01%
266,656
– –
MIT.WS
721
DELISTED
Mason Industrial Technology, Inc. Redeemable warrants, exercisable for one share of Class A common stock for $11.50 per share
MIT.WS
$167K ﹤0.01%
233,324
– –
ALTUW
722
DELISTED
Altitude Acquisition Corp Warrant
ALTUW
$166K ﹤0.01%
250,979
– –
FOXO.WS
723
DELISTED
FOXO Technologies Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
FOXO.WS
$166K ﹤0.01%
249,991
– –
AEACW
724
DELISTED
Authentic Equity Acquisition Corp. Warrant
AEACW
$166K ﹤0.01%
249,991
– –
XRX icon
725
PUT
Xerox
XRX
$427M
$164K ﹤0.01%
30,600
– –
27 28
29
30 31

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SAG
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ACI
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CGL
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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.