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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
PTC icon
951
PTC
PTC
$16B
– –
-70,000
Closed -$9.89M
PWR icon
952
Quanta Services
PWR
$100B
– –
-67,874
Closed -$6.15M
PYPL icon
953
PayPal
PYPL
$51.1B
– –
-28,000
Closed -$8.16M
RBOT
954
DELISTED
Vicarious Surgical
RBOT
– –
-2,417
Closed -$723K
RDW icon
955
Redwire
RDW
$2.83B
– –
-378,308
Closed -$3.9M
RKLB icon
956
Rocket Lab Corp
RKLB
$47.3B
– –
-738,114
Closed -$8.04M
ROST icon
957
Ross Stores
ROST
$81.6B
– –
-120,000
Closed -$14.9M
SHW icon
958
Sherwin-Williams
SHW
$88.2B
– –
-9,600
Closed -$2.62M
SLV icon
959
iShares Silver Trust
SLV
$29.8B
– –
-250,000
Closed -$6.05M
SPIR icon
960
Spire Global
SPIR
$518M
– –
-21,465
Closed -$1.71M
SRZN icon
961
Surrozen
SRZN
$251M
– –
-5,517
Closed -$822K
SRZNW icon
962
Surrozen Inc Warrant
SRZNW
$22.4K
– –
-83,330
Closed -$125K
TTE icon
963
TotalEnergies
TTE
$191B
– –
-67,251
Closed -$3.04M
UAA icon
964
Under Armour
UAA
$2.73B
– –
-130,000
Closed -$2.75M
ULTA icon
965
Ulta Beauty
ULTA
$23.2B
– –
-10,000
Closed -$3.46M
WOOF icon
966
Petco
WOOF
$791M
– –
-100,000
Closed -$2.24M
XLF icon
967
CALL
State Street Financial Select Sector SPDR ETF
XLF
$58.4B
– –
-650,000
Closed -$62K
XLU icon
968
CALL
State Street Utilities Select Sector SPDR ETF
XLU
$22.4B
– –
-2,000,000
Closed -$365K
XOSWW
969
Xos Inc Warrants
XOSWW
$13.8K
– –
-401,566
Closed -$747K
MSPRZ
970
DELISTED
MSP Recovery Inc Warrant
MSPRZ
– –
-249,991
Closed -$234K
MKFG
971
DELISTED
Markforged Holding Corporation
MKFG
– –
-30,562
Closed -$3.05M
CTV
972
DELISTED
Innovid Corp.
CTV
– –
-441,966
Closed -$4.37M
HYZNW
973
DELISTED
Hyzon Motors Inc. Warrants
HYZNW
– –
-249,991
Closed -$566K
THCPU
974
DELISTED
Thunder Bridge Capital Partners IV, Inc. Unit
THCPU
– –
-12,634
Closed -$125K
HYZN
975
DELISTED
Hyzon Motors Inc. Class A Common Stock
HYZN
– –
-2,478
Closed -$1.28M
37 38
39
40 41

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FNBT
FineMark National Bank & Trust Fort Myers, Florida $3.2B AUM 18.28% 1-Year Est. Return
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.