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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
HCCCW
826
DELISTED
Healthcare Capital Corp. Warrant
HCCCW
$81K ﹤0.01%
124,996
– –
SVOKW
827
DELISTED
Seven Oaks Acquisition Corp. Warrant
SVOKW
$80K ﹤0.01%
100,392
– –
GWIIW
828
DELISTED
Good Works II Acquisition Corp. Warrant
GWIIW
$78K ﹤0.01%
+125,488
New +$82.6K
PCPC.WS
829
DELISTED
Periphas Capital Partnering Corporation Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $28.75
PCPC.WS
$78K ﹤0.01%
49,998
– –
PHICW
830
DELISTED
Population Health Investment Co., Inc. Warrant
PHICW
$78K ﹤0.01%
99,996
– –
MDAIW icon
831
Spectral AI Warrants
MDAIW
$5.67M
$77K ﹤0.01%
133,333
– –
NAVI icon
832
PUT
Navient
NAVI
$892M
$77K ﹤0.01%
191,500
– –
FACA.WS
833
DELISTED
Figure Acquisition Corp. I Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
FACA.WS
$77K ﹤0.01%
75,000
– –
PEARW
834
DELISTED
Pear Therapeutics, Inc. Warrant
PEARW
$76K ﹤0.01%
83,330
– –
SCLEW
835
DELISTED
Broadscale Acquisition Corp. Warrant
SCLEW
$75K ﹤0.01%
100,000
– –
TGI
836
PUT
DELISTED
Triumph Group
TGI
$72K ﹤0.01%
103,400
– –
OTRAW
837
DELISTED
OTR Acquisition Corp. Warrant
OTRAW
$72K ﹤0.01%
124,996
– –
SAFE
838
PUT
Safehold
SAFE
$1.13B
$70K ﹤0.01%
14,751
– –
PGRWW
839
DELISTED
Progress Acquisition Corp. Warrant
PGRWW
$69K ﹤0.01%
124,996
– –
LTHM
840
PUT
DELISTED
Livent Corporation
LTHM
$68K ﹤0.01%
150,000
-150,000
-50% -$3.37M
OSTRW
841
DELISTED
Oyster Enterprises Acquisition Corp. Warrant
OSTRW
$68K ﹤0.01%
124,996
– –
DCRNW
842
DELISTED
Decarbonization Plus Acquisition Corporation II Warrant
DCRNW
$68K ﹤0.01%
54,998
– –
OCAXW
843
DELISTED
OCA Acquisition Corp. Warrant
OCAXW
$66K ﹤0.01%
124,996
– –
GLSPW
844
DELISTED
Global SPAC Partners Co. Warrants
GLSPW
$66K ﹤0.01%
149,182
– –
ZWRKW
845
DELISTED
Z-Work Acquisition Corp. Warrant
ZWRKW
$65K ﹤0.01%
99,996
– –
MACUW
846
DELISTED
Mallard Acquisition Corp. Warrant
MACUW
$64K ﹤0.01%
199,993
– –
FICVW
847
DELISTED
Frontier Investment Corp Warrants
FICVW
$63K ﹤0.01%
+83,658
New +$50.2K
MACAW
848
DELISTED
Moringa Acquisition Corp Warrant
MACAW
$61K ﹤0.01%
100,000
– –
X
849
CALL
DELISTED
US Steel
X
$59K ﹤0.01%
+288,400
New +$7.21M
CRZNW
850
DELISTED
Corazon Capital V838 Monoceros Corp Warrant
CRZNW
$59K ﹤0.01%
83,659
– –
32 33
34
35 36

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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.