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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
BHIL
976
DELISTED
Benson Hill, Inc.
BHIL
– –
-11,686
Closed -$4.05M
VIEW
977
DELISTED
View, Inc. Class A Common Stock
VIEW
– –
-3,683
Closed -$1.87M
OTECU
978
DELISTED
OceanTech Acquisitions I Corp. Units
OTECU
– –
-250,979
Closed -$2.52M
EGGF.U
979
DELISTED
EG Acquisition Corp. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
EGGF.U
– –
-200,000
Closed -$2M
GFOR.U
980
DELISTED
Graf Acquisition Corp. IV Units, each consisting of one share of common stock, and one-fifth of one redeemable warrant
GFOR.U
– –
-100,000
Closed -$995K
IRNT
981
DELISTED
IronNet, Inc.
IRNT
– –
-471,834
Closed -$4.71M
BGRY
982
DELISTED
Berkshire Grey, Inc. Class A Common Stock
BGRY
– –
-97,821
Closed -$975K
BGRYW
983
DELISTED
Berkshire Grey, Inc. Warrant
BGRYW
– –
-249,990
Closed -$509K
CLBR.U
984
DELISTED
Colombier Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
CLBR.U
– –
-501,958
Closed -$4.98M
DOMA
985
DELISTED
Doma Holdings, Inc.
DOMA
– –
-2,956
Closed -$737K
JUGGU
986
DELISTED
Jaws Juggernaut Acquisition Corporation Unit
JUGGU
– –
-702,741
Closed -$7.07M
HCNEU
987
DELISTED
Jaws Hurricane Acquisition Corp. Unit
HCNEU
– –
-501,958
Closed -$5.05M
LITTU
988
DELISTED
Logistics Innovation Technologies Corp. Units
LITTU
– –
-195,764
Closed -$1.95M
ATIP.WS
989
DELISTED
ATI Physical Therapy, Inc. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
ATIP.WS
– –
-150,545
Closed -$348K
BRIVU
990
DELISTED
B. Riley Principal 250 Merger Corp. Units
BRIVU
– –
-100,392
Closed -$1M
VLATU
991
DELISTED
Valor Latitude Acquisition Corp. Unit
VLATU
– –
-100,392
Closed -$998K
SKYAU
992
DELISTED
Skydeck Acquisition Corp. Units
SKYAU
– –
-38,856
Closed -$389K
ORIAU
993
DELISTED
Orion Biotech Opportunities Corp. Units
ORIAU
– –
-250,000
Closed -$2.52M
VLTA
994
DELISTED
Volta Inc.
VLTA
– –
-1,027,898
Closed -$10.3M
CPARU
995
DELISTED
Catalyst Partners Acquisition Corp. Unit
CPARU
– –
-300,000
Closed -$3.01M
CORZ
996
DELISTED
Core Scientific, Inc. Common Stock
CORZ
– –
-399,195
Closed -$3.92M
FTVIU
997
DELISTED
FinTech Acquisition Corp. VI Units
FTVIU
– –
-301,175
Closed -$3.04M
GACQU
998
DELISTED
Global Consumer Acquisition Corp. Unit
GACQU
– –
-250,979
Closed -$2.51M
SHQAU
999
DELISTED
Shelter Acquisition Corporation I Units
SHQAU
– –
-250,000
Closed -$2.5M
BTRS
1000
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-80,000
Closed -$1.01M
38 39
40
41 42

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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.