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UOC

UBS O'Connor Portfolio holdings

AUM $3.76B
1-Year Est. Return 62.41%
This Fund
S&P 500
This Quarter Est. Return
+2.09%
1 Year Est. Return
+62.41%
3 Year Est. Return
+179.84%
5 Year Est. Return
+371.69%
10 Year Est. Return
+1,534.25%
AUM
$12.7B
AUM Growth
+$1.53B
Cap. Flow
+$1.43B
Cap. Flow %
11.22%
Top 10 Hldgs %
59.59%
Holding
1,083
New
213
Increased
181
Reduced
63
Closed
169
Avg Time Held Equity + Options
1.7 quarters
Top 10 Avg Time Held Equity + Options
0.7 quarters
Top 20 Avg Time Held Equity + Options
0.6 quarters
Avg Time Held Equity only
1.7 quarters
Top 10 Avg Time Held Equity only
0.7 quarters
Top 20 Avg Time Held Equity only
0.6 quarters

Top Buys

Rank Stock Value
1
NUAN
Nuance Communications, Inc.
NUAN
+$1.07B
2
INFO icon
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 21.37%
2 Technology 20.95%
3 Communication Services 14.41%
4 Healthcare 12.25%
5 Real Estate 10.71%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow Held Since
PTC icon
951
PTC
PTC
$21.1B
– –
-70,000
Closed -$9.89M –
PWR icon
952
Quanta Services
PWR
$106B
– –
-67,874
Closed -$6.15M –
PYPL icon
953
PayPal
PYPL
$47.5B
– –
-28,000
Closed -$8.16M –
RBOT icon
954
DELISTED
Vicarious Surgical
RBOT
– –
-2,417
Closed -$723K –
RDW icon
955
Redwire
RDW
$2.39B
– –
-378,308
Closed -$3.9M –
RKLB icon
956
Rocket Lab Corp
RKLB
$43.6B
– –
-738,114
Closed -$8.04M –
ROST icon
957
Ross Stores
ROST
$71B
– –
-120,000
Closed -$14.9M –
SHW icon
958
Sherwin-Williams
SHW
$77.5B
– –
-9,600
Closed -$2.62M –
SLV icon
959
iShares Silver Trust
SLV
$29.5B
– –
-250,000
Closed -$6.05M –
SPIR icon
960
Spire Global
SPIR
$402M
– –
-21,465
Closed -$1.71M –
SRZN icon
961
Surrozen
SRZN
$349M
– –
-5,517
Closed -$822K –
SRZNW icon
962
DELISTED
Surrozen Inc Warrant
SRZNW
– –
-83,330
Closed -$125K –
TTE icon
963
TotalEnergies
TTE
$190B
– –
-67,251
Closed -$3.04M –
UAA icon
964
Under Armour
UAA
$2.12B
– –
-130,000
Closed -$2.75M –
ULTA icon
965
Ulta Beauty
ULTA
$24.4B
– –
-10,000
Closed -$3.46M –
WOOF icon
966
Petco
WOOF
$639M
– –
-100,000
Closed -$2.24M –
XLF icon
967
CALL
State Street Financial Select Sector SPDR ETF
XLF
$51.2B
– –
-650,000
Closed -$62K –
XLU icon
968
CALL
State Street Utilities Select Sector SPDR ETF
XLU
$23.1B
– –
-2,000,000
Closed -$365K –
XOSWW
969
DELISTED
Xos Inc Warrants
XOSWW
– –
-401,566
Closed -$747K –
MSPRZ
970
DELISTED
MSP Recovery Inc Warrant
MSPRZ
– –
-249,991
Closed -$234K –
MKFG icon
971
DELISTED
Markforged Holding Corporation
MKFG
– –
-30,562
Closed -$3.05M –
CTV icon
972
DELISTED
Innovid Corp.
CTV
– –
-441,966
Closed -$4.37M –
HYZNW icon
973
DELISTED
Hyzon Motors Inc. Warrants
HYZNW
– –
-249,991
Closed -$566K –
THCPU icon
974
DELISTED
Thunder Bridge Capital Partners IV, Inc. Unit
THCPU
– –
-12,634
Closed -$125K –
HYZN icon
975
DELISTED
Hyzon Motors Inc. Class A Common Stock
HYZN
– –
-2,478
Closed -$1.28M –
37 38
39
40 41

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ACI
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CGL
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JCM
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MPM
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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 $1.43B 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.