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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
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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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.