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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
GSAQW
751
DELISTED
Global Synergy Acquisition Corp. Warrant
GSAQW
$142K ﹤0.01%
249,991
– –
LDTCW
752
DELISTED
LeddarTech Holdings Inc. Warrants
LDTCW
$141K ﹤0.01%
199,992
– –
RGTIW icon
753
Rigetti Computing Warrants
RGTIW
$161M
$140K ﹤0.01%
+175,114
New +$179K
APGB.WS
754
DELISTED
Apollo Strategic Growth Capital II Warrants, each exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share
APGB.WS
$137K ﹤0.01%
149,993
– –
ASAXW
755
DELISTED
Astrea Acquisition Corp. Warrant
ASAXW
$137K ﹤0.01%
174,994
– –
AISPW
756
Airship AI Holdings Warrants
AISPW
$14.4M
$136K ﹤0.01%
225,000
– –
TRONW
757
DELISTED
Corner Growth Acquisition Corp. 2 Warrants
TRONW
$136K ﹤0.01%
+117,122
New +$116K
EOCW.WS
758
DELISTED
Elliott Opportunity II Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
EOCW.WS
$135K ﹤0.01%
+125,489
New +$134K
LFTRW
759
DELISTED
Lefteris Acquisition Corp. Warrant
LFTRW
$135K ﹤0.01%
166,660
– –
GMBTW
760
DELISTED
Pivotal Holdings Corp Warrant
GMBTW
$135K ﹤0.01%
166,660
– –
CRU.WS
761
DELISTED
Crucible Acquisition Corporation Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
CRU.WS
$134K ﹤0.01%
158,328
– –
STWD icon
762
PUT
Starwood Property Trust
STWD
$6B
$133K ﹤0.01%
52,200
– –
ZFOXW
763
DELISTED
ZeroFox Holdings, Inc. Warrants
ZFOXW
$132K ﹤0.01%
224,992
– –
EPWR.WS
764
DELISTED
Empowerment & Inclusion Capital I Corp. Redeemable warrants, each whole warrant exercisable for one share of Class A common stock, each at an exercise price of $11.50 per share
EPWR.WS
$132K ﹤0.01%
224,992
– –
CLRMW
765
DELISTED
Clarim Acquisition Corp. Warrant
CLRMW
$131K ﹤0.01%
199,992
– –
CFFVW
766
DELISTED
CF Acquisition Corp. V Warrant
CFFVW
$131K ﹤0.01%
133,328
– –
TRTL.WS
767
DELISTED
TortoiseEcofin Acquisition Corp. III Warrant, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per share
TRTL.WS
$129K ﹤0.01%
+125,488
New +$138K
CPRI icon
768
PUT
Capri Holdings
CPRI
$1.69B
$128K ﹤0.01%
16,100
– –
DAL icon
769
PUT
Delta Air Lines
DAL
$60B
$128K ﹤0.01%
20,000
– –
SCOAW
770
DELISTED
ScION Tech Growth I Warrant
SCOAW
$128K ﹤0.01%
166,660
– –
GNACW
771
DELISTED
Group Nine Acquisition Corp. Warrant
GNACW
$127K ﹤0.01%
166,660
– –
GHACW
772
DELISTED
Gaming & Hospitality Acquisition Corp. Warrants
GHACW
$127K ﹤0.01%
166,660
– –
AKICW
773
DELISTED
Sports Ventures Acquisition Corp. Warrant
AKICW
$126K ﹤0.01%
216,658
– –
GFX.WS
774
DELISTED
Golden Falcon Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
GFX.WS
$126K ﹤0.01%
199,993
– –
IEF icon
775
PUT
iShares 7-10 Year Treasury Bond ETF
IEF
$47.2B
$124K ﹤0.01%
140,000
– –
29 30
31
32 33

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SAG
SageView Advisory Group Newport Beach, California $2.96B AUM 15.81% 1-Year Est. Return
ACI
Alpha Cubed Investments Irvine, California $2.92B AUM 31.27% 1-Year Est. Return
TCOV
Trust Company of Vermont Brattleboro, Vermont $2.4B AUM 18.8% 1-Year Est. Return
RC
RGM Capital Naples, Florida $2.06B AUM 8.49% 1-Year Est. Return
A
AlphaQuest New York $1.79B AUM 10.61% 1-Year Est. Return
CGL
Clarius Group LLC Seattle, Washington $1.75B AUM 19.04% 1-Year Est. Return
CB
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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.