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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
CVET
1001
DELISTED
Covetrus, Inc. Common Stock
CVET
– –
-205,000
Closed -$5.54M –
CHNG
1002
DELISTED
Change Healthcare Inc. Common Stock
CHNG
– –
-4,413,561
Closed -$102M –
COHR icon
1003
DELISTED
Coherent Inc
COHR
– –
-325,553
Closed -$86.1M –
DIDI
1004
DELISTED
DiDi Global Inc. American depositary shares, each four representing one Class A ordinary share
DIDI
– –
-70,000
Closed -$990K –
ARTAU
1005
DELISTED
Artisan Acquisition Corp. Units
ARTAU
– –
-150,000
Closed -$1.49M –
RKLBW icon
1006
DELISTED
Rocket Lab USA, Inc. Warrant
RKLBW
– –
-266,656
Closed -$765K –
SEAH
1007
DELISTED
Sports Entertainment Acquisition Corp.
SEAH
– –
-198,807
Closed -$2M –
CYXTW
1008
DELISTED
Cyxtera Technologies, Inc. Warrant
CYXTW
– –
-66,664
Closed -$136K –
KSU
1009
CALL
DELISTED
Kansas City Southern
KSU
– –
-151,800
Closed -$858K –
IACB.WS
1010
DELISTED
ION Acquisition Corp 2 Ltd. Warrants, each whole warrant exercisable for one Class A ordinary share
IACB.WS
– –
-31,250
Closed -$56K –
IACB.U
1011
DELISTED
ION Acquisition Corp 2 Ltd. Units, each consisting of one Class A ordinary share and one-eighth of o
IACB.U
– –
-318,815
Closed -$3.22M –
KCAC
1012
DELISTED
Kensington Capital Acquisition Corp. II
KCAC
– –
-173,825
Closed -$1.73M –
DMYI.WS
1013
DELISTED
dMY Technology Group, Inc. III Redeemable warrants, each whole warrant exercisable for one share of
DMYI.WS
– –
-124,996
Closed -$401K –
STPC.WS
1014
DELISTED
Star Peak Corp II Warrants, each whole warrant exercisable for one share of Class A common stock at
STPC.WS
– –
-63,222
Closed -$111K –
SRNG
1015
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-422,847
Closed -$4.21M –
RICE
1016
DELISTED
Rice Acquisition Corp.
RICE
– –
-143,270
Closed -$2.59M –
QELLW
1017
DELISTED
Qell Acquisition Corp. Warrant
QELLW
– –
-208,326
Closed -$336K –
CENHW
1018
DELISTED
Centricus Acquisition Corp. Warrant
CENHW
– –
-187,740
Closed -$262K –
CENH
1019
DELISTED
Centricus Acquisition Corp. Class A Ordinary Share
CENH
– –
-741,404
Closed -$7.34M –
GNPK.WS
1020
DELISTED
Genesis Park Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A o
GNPK.WS
– –
-249,991
Closed -$609K –
SPNV.WS
1021
DELISTED
Supernova Partners Acquisition Company, Inc. Warrants, each whole warrant exercisable for one share
SPNV.WS
– –
-366,653
Closed -$570K –
PFPT
1022
DELISTED
Proofpoint, Inc.
PFPT
– –
-1,719,764
Closed -$299M –
QTS
1023
DELISTED
QTS REALTY TRUST, INC.
QTS
– –
-4,589,086
Closed -$355M –
TWCTW
1024
DELISTED
TWC Tech Holdings II Corp. Warrant
TWCTW
– –
-333,321
Closed -$578K –
TWCT
1025
DELISTED
TWC Tech Holdings II Corp. Class A Common Stock
TWCT
– –
-327,127
Closed -$3.25M –
39 40
41
42 43

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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.