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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
+9.26%
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
$10.4B
AUM Growth
-$2.35B
Cap. Flow
-$3.31B
Cap. Flow %
-31.85%
Top 10 Hldgs %
56.61%
Holding
1,181
New
274
Increased
445
Reduced
178
Closed
245

Top Buys

Rank Stock Value
1
CONE
CyrusOne Inc Common Stock
CONE
+$439M
2
COHR
Coherent Inc
COHR
+$232M
3
CERN
Cerner Corp
CERN
+$116M
4
VG
Vonage Holdings Corporation
VG
+$95.6M
5
MIME
Mimecast Limited
MIME
+$92.8M

Top Sells

Rank Stock Value
1
KSU
Kansas City Southern
KSU
+$954M
2
PPD
PPD, Inc. Common Stock
PPD
+$742M
3
VER
VEREIT, Inc.
VER
+$701M
4
HRC
HILL-ROM HOLDINGS, INC.
HRC
+$315M
5
ATH
Athene Holding Ltd. Class A Common Shares
ATH
+$247M

Sector Composition

Rank Sector Weight
1 Financials 21.5%
2 Technology 20.36%
3 Communication Services 16.89%
4 Healthcare 6.21%
5 Industrials 4.47%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVAN.WS
1101
DELISTED
Ivanhoe Capital Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
IVAN.WS
– –
-99,996
Closed -$145K
SEAH.WS
1102
DELISTED
Sports Entertainment Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one s
SEAH.WS
– –
-149,106
Closed -$356K
LICY.WS
1103
DELISTED
Li-Cycle Holdings Corp. Redeemable Warrants, each whole warrant exercisable for one Common Share at
LICY.WS
– –
-250,979
Closed -$604K
CFV
1104
DELISTED
CF Acquisition Corp. V Class A Common Stock
CFV
– –
-444,157
Closed -$4.4M
CFFVW
1105
DELISTED
CF Acquisition Corp. V Warrant
CFFVW
– –
-133,328
Closed -$131K
DCRN
1106
DELISTED
Decarbonization Plus Acquisition Corporation II Class A Common stock
DCRN
– –
-243,299
Closed -$2.41M
NGCAW
1107
DELISTED
NextGen Acquisition Corp. II Warrant
NGCAW
– –
-130,039
Closed -$215K
NGCA
1108
DELISTED
NextGen Acquisition Corp. II Class A Ordinary Shares
NGCA
– –
-499,609
Closed -$4.95M
ATMR.WS
1109
DELISTED
Altimar Acquisition Corp II Warrants
ATMR.WS
– –
-143,819
Closed -$152K
EUSGW
1110
DELISTED
European Sustainable Growth Acquisition Corp. Warrant
EUSGW
– –
-124,996
Closed -$156K
EUSG
1111
DELISTED
European Sustainable Growth Acquisition Corp. Class A Ordinary Shares
EUSG
– –
-249,991
Closed -$2.48M
MACQ
1112
DELISTED
MCAP Acquisition Corporation Class A Common Stock
MACQ
– –
-751,566
Closed -$7.42M
IIAC.WS
1113
DELISTED
Investindustrial Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Class
IIAC.WS
– –
-566,645
Closed -$737K
IIAC
1114
DELISTED
Investindustrial Acquisition Corp.
IIAC
– –
-1,449,549
Closed -$14.4M
BSN
1115
DELISTED
Broadstone Acquisition Corp.
BSN
– –
-109,595
Closed -$1.09M
BSN.WS
1116
DELISTED
Broadstone Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share
BSN.WS
– –
-249,991
Closed -$267K
YAC
1117
DELISTED
Yucaipa Acquisition Corporation Class A Ordinary Shares
YAC
– –
-445,971
Closed -$4.41M
YAC.WS
1118
DELISTED
Yucaipa Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A
YAC.WS
– –
-333,321
Closed -$362K
KSU
1119
DELISTED
Kansas City Southern
KSU
– –
-3,524,578
Closed -$954M
HRC
1120
DELISTED
HILL-ROM HOLDINGS, INC.
HRC
– –
-2,100,000
Closed -$315M
CBAH.WS
1121
DELISTED
CBRE Acquisition Holdings, Inc. Warrants, each whole warrant exercisable for one share of Class A co
CBAH.WS
– –
-124,996
Closed -$206K
DCRC
1122
DELISTED
Decarbonization Plus Acquisition Corporation III Class A Common Stock
DCRC
– –
-148,630
Closed -$1.49M
SVOKW
1123
DELISTED
Seven Oaks Acquisition Corp. Warrant
SVOKW
– –
-100,392
Closed -$80K
DGNS
1124
DELISTED
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
– –
-501,958
Closed -$4.99M
PPD
1125
DELISTED
PPD, Inc. Common Stock
PPD
– –
-15,865,110
Closed -$742M
43 44
45
46 47

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SAG
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ACI
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TCOV
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UBS O'Connor's Q4 2021 Portfolio in Review

As of Q4 2021, UBS O'Connor held 1,181 positions worth $10.4B, down 18% from $12.7B the previous quarter. Its ten largest holdings account for 57% of the portfolio.

UBS O'Connor withdrew a net $3.31B in Q4 2021, closing 245 positions and reducing 178 holdings. Its most notable exit was Kansas City Southern, an estimated $954M position sold in full.

By sector, the portfolio is most concentrated in Financials at 21% of assets, up from 21% a quarter earlier, followed by Technology and Communication Services.

Against the trend, UBS O'Connor opened a new position in CyrusOne Inc Common Stock worth $464M.

  • UBS O'Connor's largest Q4 2021 buy was CyrusOne Inc Common Stock: 5,175,766 shares worth $464M.
  • UBS O'Connor added most to EQT Corp in Q4 2021, an estimated $44M increase.
  • UBS O'Connor's biggest Q4 2021 reduction was Athene Holding Ltd. Class A Common Shares, cutting an estimated $247M.
  • UBS O'Connor fully exited Kansas City Southern in Q4 2021, selling an estimated $954M.
  • UBS O'Connor's ten largest holdings make up 57% of its $10.4B portfolio in Q4 2021.
  • UBS O'Connor opened 274 new positions and closed 245 in Q4 2021.
  • UBS O'Connor's portfolio value fell 18% quarter-over-quarter to $10.4B.

Based on UBS O'Connor's 13F filing for Q4 2021, filed 14 Feb 2022.