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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
FINMW
776
DELISTED
Marlin Technology Corporation Warrant
FINMW
$123K ﹤0.01%
149,994
– –
FSRDW
777
DELISTED
Fast Radius, Inc. Warrants
FSRDW
$123K ﹤0.01%
149,994
– –
KRNLW
778
DELISTED
Kernel Group Holdings, Inc. Warrants
KRNLW
$120K ﹤0.01%
199,992
– –
LGACW
779
DELISTED
Lazard Growth Acquisition Corp. I Warrants
LGACW
$120K ﹤0.01%
150,192
+50,196
+50% +$51.5K
FVT.WS
780
DELISTED
Fortress Value Acquisition Corp. III Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
FVT.WS
$118K ﹤0.01%
149,994
– –
DDMXW
781
DELISTED
DD3 Acquisition Corp. II Warrant
DDMXW
$118K ﹤0.01%
99,996
– –
AGAC.WS
782
DELISTED
African Gold Acquisition Corp Warrants
AGAC.WS
$117K ﹤0.01%
247,287
– –
CLAS.WS
783
DELISTED
Class Acceleration Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50
CLAS.WS
$117K ﹤0.01%
199,992
– –
SABSW icon
784
SAB Biotherapeutics Warrant
SABSW
$220K
$116K ﹤0.01%
124,996
– –
YSAC.WS
785
DELISTED
Yellowstone Acquisition Company Warrants, each whole warrant exercisable for one share of Class A co
YSAC.WS
$116K ﹤0.01%
124,996
– –
TBCPW
786
DELISTED
Thunder Bridge Capital Partners III Inc. Warrant
TBCPW
$114K ﹤0.01%
149,994
– –
KLAQW
787
DELISTED
KL Acquisition Corp Warrant
KLAQW
$114K ﹤0.01%
166,660
– –
CTAQW
788
DELISTED
Carney Technology Acquisition Corp. II Warrant
CTAQW
$112K ﹤0.01%
166,660
– –
MIMO.WS
789
DELISTED
Airspan Networks Holdings Inc Warrants
MIMO.WS
$111K ﹤0.01%
+153,369
New +$122K
JCICW
790
DELISTED
Jack Creek Investment Corp. Warrants
JCICW
$110K ﹤0.01%
174,994
– –
COVAW
791
DELISTED
COVA Acquisition Corp. Warrants to purchase Class A ordinary shares
COVAW
$110K ﹤0.01%
200,189
– –
HCICW
792
DELISTED
Hennessy Capital Investment Corp. V Warrant
HCICW
$108K ﹤0.01%
87,496
– –
OEPWW
793
DELISTED
One Equity Partners Open Water I Corp. Warrant
OEPWW
$108K ﹤0.01%
166,660
– –
OPALW
794
DELISTED
OPAL Fuels Inc. Warrant
OPALW
$107K ﹤0.01%
100,000
– –
PV.WS
795
DELISTED
Primavera Capital Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
PV.WS
$106K ﹤0.01%
124,996
– –
LHC.WS
796
DELISTED
Leo Holdings Corp. II Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
LHC.WS
$106K ﹤0.01%
162,494
– –
ZNTEW
797
DELISTED
Zanite Acquisition Corp. Warrant
ZNTEW
$106K ﹤0.01%
124,996
– –
GIGGW
798
DELISTED
GigCapital4, Inc. Warrant
GIGGW
$102K ﹤0.01%
99,996
– –
VST icon
799
CALL
Vistra
VST
$46.6B
$100K ﹤0.01%
+500,000
New +$9.24M
TZPSW
800
DELISTED
TZP Strategies Acquisition Corp. Warrant
TZPSW
$100K ﹤0.01%
166,660
– –
30 31
32
33 34

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FNBT
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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
Cadence Bank Tupelo, Mississippi $1.71B AUM 16.17% 1-Year Est. Return

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.