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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
ACKIW
801
DELISTED
Ackrell SPAC Partners I Co Warrants
ACKIW
$100K ﹤0.01%
212,690
– –
ARBGW
802
DELISTED
Aequi Acquisition Corp warrants
ARBGW
$98K ﹤0.01%
166,660
– –
TLGA.WS
803
DELISTED
TLG Acquisition One Corp. Warrants, each exercisable for one share of Class A common stock at an exercise price of $11.50 per share
TLGA.WS
$97K ﹤0.01%
166,660
– –
LUXAW
804
DELISTED
Lux Health Tech Acquisition Corp. Warrants
LUXAW
$97K ﹤0.01%
83,330
– –
ADEX.WS
805
DELISTED
Adit EdTech Acquisition Corp Warrants
ADEX.WS
$96K ﹤0.01%
187,493
– –
AEON.WS
806
DELISTED
AEON Biopharma Inc
AEON.WS
$95K ﹤0.01%
166,660
– –
EACPW
807
DELISTED
Edify Acquisition Corp. Warrant
EACPW
$95K ﹤0.01%
174,994
– –
ANAC.WS
808
DELISTED
Arctos NorthStar Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
ANAC.WS
$95K ﹤0.01%
125,098
– –
LIII.WS
809
DELISTED
Leo Holdings III Corp Redeemable Warrants, each whole warrant exercisable for one Class A ordinary s
LIII.WS
$95K ﹤0.01%
119,998
– –
M icon
810
PUT
Macy's
M
$6.61B
$94K ﹤0.01%
36,500
– –
LJAQW
811
DELISTED
LightJump Acquisition Corporation Warrant
LJAQW
$94K ﹤0.01%
174,994
– –
NGL icon
812
PUT
NGL Energy Partners
NGL
$2.17B
$93K ﹤0.01%
148,700
– –
DISAW
813
DELISTED
Disruptive Acquisition Corporation I Warrant
DISAW
$93K ﹤0.01%
139,711
– –
PACXW
814
DELISTED
Pioneer Merger Corp. Warrant
PACXW
$93K ﹤0.01%
83,330
– –
AENTW icon
815
Alliance Entertainment Holding Corp Warrants
AENTW
$4.27M
$92K ﹤0.01%
175,191
+50,195
+40% +$31.6K
BHIL.WS
816
DELISTED
Benson Hill, Inc. Warrants, each whole warrant exercisable for one share of common stock at an exercise price of $11.50
BHIL.WS
$91K ﹤0.01%
+63,222
New +$89.1K
EMBKW
817
DELISTED
Embark Technology, Inc. Warrants
EMBKW
$91K ﹤0.01%
83,330
– –
DRAYW
818
DELISTED
Macondray Capital Acquisition Corp. I Warrant
DRAYW
$89K ﹤0.01%
+167,473
New +$98.5K
CXAIW icon
819
CXApp Inc Warrant
CXAIW
$948K
$88K ﹤0.01%
149,994
– –
KWAC.WS
820
DELISTED
Kingswood Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common
KWAC.WS
$88K ﹤0.01%
187,493
– –
DLCAW
821
DELISTED
Deep Lake Capital Acquisition Corp. Warrant
DLCAW
$86K ﹤0.01%
124,996
– –
ACII.WS
822
DELISTED
Atlas Crest Investment Corp. II Redeemable Warrants, each whole warrant exercisable for one Class A common stock at an exercise price of $11.50
ACII.WS
$85K ﹤0.01%
99,996
– –
FCAX.WS
823
DELISTED
Fortress Capital Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per share
FCAX.WS
$84K ﹤0.01%
99,996
– –
MDH.WS
824
DELISTED
MDH Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
MDH.WS
$83K ﹤0.01%
149,994
– –
SLCRW
825
DELISTED
Silver Crest Acquisition Corporation Warrant
SLCRW
$81K ﹤0.01%
124,996
– –
31 32
33
34 35

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SAG
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ACI
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TCOV
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CGL
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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.