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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
GIGGW
1126
DELISTED
GigCapital4, Inc. Warrant
GIGGW
– –
-99,996
Closed -$102K
CXP
1127
DELISTED
COLUMBIA PROPERTY TRUST, INC.
CXP
– –
-6,840,958
Closed -$130M
TPGS
1128
DELISTED
TPG Pace Solutions Corp.
TPGS
– –
-800,000
Closed -$8.04M
DDMXW
1129
DELISTED
DD3 Acquisition Corp. II Warrant
DDMXW
– –
-99,996
Closed -$118K
LIII.WS
1130
DELISTED
Leo Holdings III Corp Redeemable Warrants, each whole warrant exercisable for one Class A ordinary s
LIII.WS
– –
-119,998
Closed -$95K
VOSOW
1131
DELISTED
Virtuoso Acquisition Corp. Warrant
VOSOW
– –
-137,494
Closed -$157K
TRIL
1132
DELISTED
Trillium Therapeutics Inc.
TRIL
– –
-2,300,000
Closed -$40.4M
SWBK.WS
1133
DELISTED
Switchback II Corporation Warrants, exercisable for one share of Class A Ordinary Share
SWBK.WS
– –
-150,192
Closed -$213K
SWBK
1134
DELISTED
Switchback II Corporation
SWBK
– –
-499,982
Closed -$4.98M
VEI
1135
DELISTED
Vine Energy Inc.
VEI
– –
-215,393
Closed -$3.55M
XOG
1136
DELISTED
Extraction Oil & Gas, Inc. Common Stock
XOG
– –
-1,148,936
Closed -$64.9M
MDLA
1137
DELISTED
Medallia, Inc.
MDLA
– –
-3,344,139
Closed -$113M
TMTS
1138
DELISTED
Spartacus Acquisition Corporation Class A Common Stock
TMTS
– –
-514,515
Closed -$5.21M
TMTSW
1139
DELISTED
Spartacus Acquisition Corporation Warrant
TMTSW
– –
-249,991
Closed -$404K
KURIW
1140
DELISTED
Alkuri Global Acquisition Corp Warrant
KURIW
– –
-124,996
Closed -$177K
GSAH.WS
1141
DELISTED
GS Acquisition Holdings Corp II Redeemable Warrants, each whole warrant exercisable for one share of
GSAH.WS
– –
-770,244
Closed -$1.64M
LEGOW
1142
DELISTED
Legato Merger Corp. Warrant
LEGOW
– –
-98,810
Closed -$248K
HZAC
1143
DELISTED
Horizon Acquisition Corporation
HZAC
– –
-198,406
Closed -$1.98M
HZAC.WS
1144
DELISTED
Horizon Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary sh
HZAC.WS
– –
-333,321
Closed -$562K
CSOD
1145
DELISTED
Cornerstone OnDemand, Inc.
CSOD
– –
-1,672,396
Closed -$95.8M
CLDR
1146
DELISTED
Cloudera, Inc.
CLDR
– –
-5,205,933
Closed -$83.1M
STWOW
1147
DELISTED
ACON S2 Acquisition Corp Warrant
STWOW
– –
-283,323
Closed -$353K
KCAC.WS
1148
DELISTED
Kensington Capital Acquisition Corp. II Redeemable warrants, each whole warrant exercisable for one
KCAC.WS
– –
-125,001
Closed -$144K
CTAC.WS
1149
DELISTED
Cerberus Telecom Acquisition Corp. Warrants included as part of the Units, each whole warrant exerci
CTAC.WS
– –
-217,514
Closed -$223K
MAACW
1150
DELISTED
Montes Archimedes Acquisition Corp. Warrant
MAACW
– –
-324,989
Closed -$478K
43 44 45
46
47

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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.