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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
AJAX.WS
1026
DELISTED
Capri Listco Redeemable Warrants, each warrant exercisable for one Class A ordinary share at an exer
AJAX.WS
– –
-112,496
Closed -$210K –
DFNS.WS
1027
DELISTED
LGL Systems Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of Clas
DFNS.WS
– –
-393,234
Closed -$716K –
SNPR.WS
1028
DELISTED
Tortoise Acquisition Corp. II Warrants, each whole warrant exercisable for one Class A ordinary shar
SNPR.WS
– –
-199,993
Closed -$435K –
MXIM
1029
DELISTED
Maxim Integrated Products
MXIM
– –
-8,064,116
Closed -$850M –
RMGB
1030
DELISTED
RMG Acquisition Corp. II Class A Ordinary Shares
RMGB
– –
-1,356,031
Closed -$13.5M –
RMGBW
1031
DELISTED
RMG Acquisition Corp. II Warrant
RMGBW
– –
-333,321
Closed -$565K –
NSH.WS
1032
DELISTED
NavSight Holdings, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Sto
NSH.WS
– –
-398,092
Closed -$671K –
NBA.WS
1033
DELISTED
New Beginnings Acquisition Corp. Redeemable Warrants, each warrant exercisable for one share of Comm
NBA.WS
– –
-157,948
Closed -$183K –
SCPE
1034
DELISTED
SC Health Corporation
SCPE
– –
-194,648
Closed -$1.96M –
PDAC.WS
1035
DELISTED
Peridot Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class A ordina
PDAC.WS
– –
-250,979
Closed -$671K –
PDAC
1036
DELISTED
Peridot Acquisition Corp.
PDAC
– –
-2,549,352
Closed -$31.1M –
RTP.WS
1037
DELISTED
Reinvent Technology Partners Redeemable Warrants, each whole warrant exercisable for one Class A ord
RTP.WS
– –
-437,484
Closed -$855K –
GRSVW
1038
DELISTED
Gores Holdings V, Inc. Warrant
GRSVW
– –
-399,787
Closed -$792K –
WRI
1039
DELISTED
Weingarten Realty Investors
WRI
– –
-1,565,649
Closed -$50.2M –
RTPZ.WS
1040
DELISTED
Reinvent Technology Partners Z Redeemable warrants, each whole warrant exercisable for one Class A o
RTPZ.WS
– –
-49,998
Closed -$91K –
TLND
1041
DELISTED
Talend S.A. American Depositary Shares
TLND
– –
-2,807,976
Closed -$184M –
ALXN
1042
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-4,428,122
Closed -$813M –
WORK
1043
DELISTED
Slack Technologies, Inc.
WORK
– –
-11,073,242
Closed -$491M –
FGNA.WS
1044
DELISTED
FG New America Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A c
FGNA.WS
– –
-274,990
Closed -$610K –
EMPW.WS
1045
DELISTED
Empower Ltd. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at a
EMPW.WS
– –
-249,991
Closed -$467K –
NHIC
1046
DELISTED
NewHold Investment Corp. Class A Common Stock
NHIC
– –
-1,505,873
Closed -$15.1M –
NHICW
1047
DELISTED
NewHold Investment Corp. Warrant
NHICW
– –
-752,937
Closed -$1.26M –
SBG.WS
1048
DELISTED
Sandbridge Acquisition Corporation Warrants, each whole warrant exercisable for one share of Class A
SBG.WS
– –
-249,991
Closed -$354K –
AONE.WS
1049
DELISTED
one Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of
AONE.WS
– –
-124,502
Closed -$286K –
SPRQ.WS
1050
DELISTED
Spartan Acquisition Corp. II Warrants, exercisable for one share of Class A Common Stock
SPRQ.WS
– –
-374,987
Closed -$667K –
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.