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Livermore
Livermore
ZHEN

UBS Oconnor LLC

SEC CIK
0001132716
Latest filing
Aug 14, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Jun 9, 2022. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
859
+37 vs. Q2 2021
Portfolio value
$11.5B
+$346.9M (+3.1%) vs. Q2 2021
Filed
Jun 9, 2022
AmendedSECSECSECSEC
Holdings of UBS Oconnor LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
NUANNuance Communications, Inc.COM29,625,928$1.63B14.1%+19,400,500+189.7%AddedHistory
INFOIHS Markit Ltd.SHS13,502,444$1.57B13.7%+7,656,386+131.0%AddedHistory
PPDPPD, Inc.COM15,865,110$742.3M6.4%+1,594,062+11.2%AddedHistory
VERVEREIT, Inc.COM15,496,408$700.9M6.1%+3,979,258+34.6%AddedHistory
Athene Holding Ltd.G0684D107CL A8,587,960$591.5M5.1%+4,552,722+112.8%Added–
KSUKansas City SouthernCOM NEW1,762,289$476.9M4.1%+504,276+40.1%AddedHistory
XLNXXilinx IncCOM1,630,605$246.2M2.1%+241,253+17.4%AddedHistory
MGLNMagellan Health IncCOM NEW2,459,316$232.5M2.0%+2,083,074+553.7%AddedHistory
WTWWillis Towers Watson PLCSHS836,998$194.6M1.7%+836,998NewHistory
CITCit Group IncCOM NEW3,433,354$178.4M1.5%+729,684+27.0%AddedHistory
HRCHill-Rom Holdings, Inc.COM1,050,000$157.5M1.4%+1,050,000NewHistory
CXPColumbia Property Trust, Inc.COM NEW6,840,958$130.1M1.1%+6,840,958NewHistory
PBCTPeople's United Financial, Inc.COM7,443,238$130.0M1.1%+2,508,401+50.8%AddedHistory
MDLAMedallia, Inc.COM3,344,139$113.3M1.0%+3,344,139NewHistory
CADECadence BancorporationCL A4,722,475$103.7M0.9%+4,122,475+687.1%AddedHistory
CSODCornerstone OnDemand IncCOM1,672,396$95.8M0.8%+1,672,396NewHistory
CLDRCloudera, Inc.COM5,205,933$83.1M0.7%+3,471,019+200.1%AddedHistory
MGPMGM Growth Properties LLCCL A COM2,133,309$81.7M0.7%+1,884,959+759.0%AddedHistory
FIVNFive9, Inc.COM506,326$80.9M0.7%+506,326NewHistory
HRTXHeron Therapeutics, Inc.COM6,633,916$70.9M0.6%+2,208,916+49.9%AddedHistory
XOGExtraction Oil & Gas, Inc.COM1,148,936$64.9M0.6%+869,657+311.4%AddedHistory
BHP Group Ltd05545E209SPONSORED ADR1,241,086$62.9M0.5%−136,268−9.9%Reduced–
Far Peak Acquisition CorpG3312L103SHS CL A5,066,031$50.4M0.4%+4,816,040+1,926.5%Added–
Livent Corp.53814LAB4NOTE 4.125% 7/1–$41.9M0.4%–––
FBCFlagstar Bancorp IncCOM PAR .001673,031$34.2M0.3%+323,031+92.3%AddedHistory
GMGeneral Motors CoCOM634,837$33.5M0.3%+331,599+109.4%AddedHistory
Conyers Park III Acqsitn Cor21289P201UNIT 07/30/20263,262,726$32.9M0.3%+3,262,726New–
CRMSalesforce, Inc.Stock120,000$32.5M0.3%+55,000+84.6%AddedHistory
TELTE Connectivity plcREG SHS234,974$32.2M0.3%+14,104+6.4%AddedHistory
American Airls Group Inc02376RAF9NOTE 6.500% 7/0–$32.1M0.3%–––
METAMeta Platforms, Inc.Stock90,000$30.5M0.3%00.0%UnchangedHistory
CMICummins IncStock130,483$29.3M0.3%+130,483NewHistory
VSTVistra Corp.Stock1,696,099$29.0M0.3%+1,496,099+748.0%AddedHistory
United States STL Corp New912909AT5NOTE 5.000%11/0–$28.4M0.2%–––
RYAAYRyanair Holdings PLCSPONSORED ADR254,308$28.0M0.2%+6,453+2.6%AddedHistory
EQTEQT CorpStock1,324,487$27.1M0.2%+1,324,487NewHistory
TTWOTake Two Interactive Software IncCOM175,000$27.0M0.2%+100,000+133.3%AddedHistory
GOOGLAlphabet Inc.Stock10,000$26.7M0.2%−1,000−9.1%ReducedHistory
VVisa Inc.Stock120,000$26.7M0.2%+20,000+20.0%AddedHistory
LICYLi-Cycle Holdings Corp.COMMON SHARES2,164,352$25.3M0.2%+2,164,352NewHistory
Amryt Pharma PLC03217L106SPONSORED ADS1,990,000$24.1M0.2%00.0%Unchanged–
Acorda Therapeutics, Inc.00484MAC0NOTE 6.000%12/0–$23.9M0.2%–––
WisdomTree Invts Inc97717PAB0NOTE 4.250% 6/1–$23.4M0.2%–New–
Cleveland-Cliffs Inc.185899AA9DBCV 1.500% 1/19,000,000$23.1M0.2%00.0%Unchanged–
Paratek Pharmaceuticals, Inc.699374AB0CONVERTIBLE BOND–$22.2M0.2%–––
JPMJPMorgan Chase & CoStock135,000$22.1M0.2%−5,000−3.6%ReducedHistory
UBERUber Technologies, IncStock490,000$22.0M0.2%+170,000+53.1%AddedHistory
JJacobs Solutions Inc.COM161,946$21.5M0.2%−18,159−10.1%ReducedHistory
SUISun Communities IncCOM115,269$21.3M0.2%+36,030+45.5%AddedHistory
PSBPS Business Parks, Inc.COM134,240$21.0M0.2%+71,940+115.5%AddedHistory
Clovis Oncology, Inc.189464AC4CONVERTIBLE BOND–$21.0M0.2%–––
STFCState Auto Financial CORPCOM410,044$20.9M0.2%+410,044NewHistory
CSXCSX CorpStock695,533$20.7M0.2%−13,802−1.9%ReducedHistory
SBACSba Communications CorpCL A62,295$20.6M0.2%+11,820+23.4%AddedHistory
Trillium Therapeutics Inc.89620X506COM NEW1,150,000$20.2M0.2%+1,150,000New–
Afternext Healthtech AcquisiG01109118UNIT 99/99/99992,007,831$20.0M0.2%+2,007,831New–
RDNWRideNow Group, Inc.COM CL B507,572$19.8M0.2%+507,572NewHistory
Home Plate Acquisition Corp43734R202UNIT 09/30/20261,980,000$19.5M0.2%+1,980,000New–
ROICRetail Opportunity Investments CorpCOM1,069,000$18.6M0.2%+669,900+167.9%AddedHistory
ELSEquity Lifestyle Properties IncCOM238,350$18.6M0.2%+44,750+23.1%AddedHistory
Retrophin Inc761299AB2NOTE 2.500% 9/1–$18.6M0.2%–––
AXTAAxalta Coating Systems Ltd.COM603,266$17.6M0.2%−95,000−13.6%ReducedHistory
FISFidelity National Information Services, Inc.Stock144,278$17.6M0.2%+116,278+415.3%AddedHistory
Cohn Robbins Holdings CorpG23726105COM CL A1,748,947$17.2M0.1%+50,195+3.0%Added–
Vy Global GrowthG9444H100COM CL A1,725,826$16.9M0.1%+225,881+15.1%Added–
STMPStamps.com IncCOM NEW51,280$16.9M0.1%+51,280NewHistory
SCP & Co Healthcare Acqustn784065104COM CL A1,732,445$16.9M0.1%00.0%Unchanged–
FCXFreeport-McMoran IncStock513,784$16.7M0.1%+112,570+28.1%AddedHistory
CPCanadian Pacific Kansas City LtdCOM249,829$16.3M0.1%+249,829NewHistory
TSLATesla, Inc.Stock20,000$15.5M0.1%+10,000+100.0%AddedHistory
WLKWestlake CorpCOM165,531$15.1M0.1%+90,531+120.7%AddedHistory
MATMattel IncCOM804,220$14.9M0.1%+90,849+12.7%AddedHistory
SQMChemical & Mining Co of Chile IncSPON ADR SER B276,911$14.9M0.1%+173,641+168.1%AddedHistory
Austerlitz Acquisition CorpG0633U101COM CL A1,508,809$14.7M0.1%00.0%Unchanged–
North Atlantic Acquisitn CorG66139109CL A SHS1,484,946$14.5M0.1%00.0%Unchanged–
DLTRDollar Tree, Inc.COM150,900$14.4M0.1%+20,900+16.1%AddedHistory
Investindustrial Acquisition Corp.G4771L105SHS CL A1,449,549$14.4M0.1%00.0%Unchanged–
Alpha Healthcare Acqu Corp I02073F104CLASS A COM1,485,000$14.4M0.1%+1,485,000New–
MTZMastec IncCOM163,235$14.1M0.1%+66,768+69.2%AddedHistory
BLDRBuilders FirstSource, Inc.Stock270,000$14.0M0.1%+40,000+17.4%AddedHistory
CPTCamden Property TrustREIT94,659$14.0M0.1%+13,650+16.8%AddedHistory
NGVTIngevity CorpCOM192,826$13.8M0.1%+7,807+4.2%AddedHistory
Nuvasive Inc670704AL9NOTE 1.000% 6/0–$13.8M0.1%–––
Occidental Pete Corp WT Exp 080327674599162Stock1,152,972$13.6M0.1%00.0%Unchanged–
BDXBecton Dickinson & CoStock55,000$13.5M0.1%−7,500−12.0%ReducedHistory
FRFirst Industrial Realty Trust IncCOM255,500$13.3M0.1%+198,300+346.7%AddedHistory
PLUGPlug Power IncStock520,000$13.3M0.1%+450,000+642.9%AddedHistory
EGPEastgroup Properties IncCOM79,600$13.3M0.1%+22,350+39.0%AddedHistory
PPGPPG Industries IncStock89,105$12.7M0.1%+89,105NewHistory
DREDuke Realty CorpCOM NEW265,700$12.7M0.1%+79,600+42.8%AddedHistory
DISWalt Disney CoStock75,000$12.7M0.1%−5,000−6.3%ReducedHistory
FAFFirst American Financial CorpStock189,100$12.7M0.1%+130,650+223.5%AddedHistory
Applied Optoelectronics, Inc.03823UAB8NOTE 5.000% 3/1–$12.4M0.1%–––
SPGIS&P Global Inc.Stock29,000$12.3M0.1%+29,000NewHistory
MEOHMethanex CorpCOM265,539$12.2M0.1%−99,070−27.2%ReducedHistory
CVIIChurchill Capital Corp VIICOM CL A1,251,762$12.2M0.1%+501,958+66.9%AddedHistory
HRHealthcare Realty Trust IncCOM407,500$12.1M0.1%+407,500NewHistory
FSRXFinserv Acquisition Corp. IICOM CL A1,225,001$11.9M0.1%00.0%UnchangedHistory
ESSEssex Property Trust, Inc.COM37,040$11.8M0.1%+25,440+219.3%AddedHistory
CNCCentene CorpStock190,000$11.8M0.1%−10,000−5.0%ReducedHistory

Options (54)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of UBS Oconnor LLC in Q3 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$6.84M–
AALAmerican Airlines Group Inc.Stock$2.97M–
TSLATesla, Inc.Stock$2.23M–
State Street Energy Select Sector SPDR ETF81369Y506ETF–$1.15M
RIGTransocean Ltd.REGISTERED SHS$885.0K–
iShares Tr464288513IBOXX HI YD ETF$690.0K–
Invesco QQQ Trust Series I46090E103ETF$683.0K–
PCGPG&E CorpStock–$404.0K
WTIW&T Offshore IncCOM$377.0K–
CPECallon Petroleum CoCOM$327.0K–
RCLRoyal Caribbean Cruises LtdCOM$323.0K–
FCXFreeport-McMoran IncStock$300.0K–
ENDPEndo International plcSHS$296.0K–
HOGHarley-Davidson, Inc.COM$272.0K–
LUMNLumen Technologies, Inc.Stock$258.0K–
DISHDISH Network CORPCL A$257.0K–
NCLHNorwegian Cruise Line Holdings Ltd.SHS$228.0K–
WYNNWynn Resorts LtdCOM$224.0K–
SPRSpirit AeroSystems Holdings, Inc.COM CL A$200.0K–
ATVIActivision Blizzard, Inc.COM–$199.0K
OXYOccidental Petroleum CorpStock$185.0K–
ADTADT Inc.COM$173.0K–
XRXXerox Holdings CorpCOM NEW$164.0K–
SVCService Properties TrustCOM SH BEN INT$160.0K–
SIXSix Flags Entertainment CorpCOM$153.0K–
STWDStarwood Property Trust, Inc.COM$133.0K–
CPRICapri Holdings LtdSHS$128.0K–
DALDelta Air Lines, Inc.COM NEW$128.0K–
iShares Tr4642874407-10 YR TRSY BD$124.0K–
VSTVistra Corp.Stock–$100.0K
MMacy's, Inc.COM$94.0K–
NGLNGL Energy Partners LPCOM UNIT REPST$93.0K–
XUnited States Steel CorpCOM$34.0K$59.0K
NAVINavient CorpCOM$77.0K–
TGITriumph Group IncCOM$72.0K–
Safehold Inc.45031U101COM$70.0K–
LTHMLivent Corp.COM$68.0K–
MAXRMaxar Technologies Inc.COM$56.0K–
RRCRange Resources CorpCOM$55.0K–
WTWisdomTree, Inc.COM$55.0K–
CCLCarnival Corp Ltd.UNIT 99/99/9999$54.0K–
USOUnited States Oil Fund, LPUNITS$36.0K–
iShares Tr464287184CHINA LG-CAP ETF–$35.0K
TRNTrinity Industries IncCOM$28.0K–
ETEnergy Transfer LPCOM UT LTD PTN–$22.0K
State Street Industrial Select Sector SPDR ETF81369Y704ETF–$19.0K
MGPMGM Growth Properties LLCCL A COM$15.0K–
RYAMRayonier Advanced Materials Inc.COM$13.0K–
CLFCleveland-Cliffs Inc.COM$11.0K–
MATMattel IncCOM$11.0K–
RDNRadian Group IncCOM$10.0K–
OMFOneMain Holdings, Inc.COM$9.00K–
CNXCNX Resources CorpCOM$5.00K–
BLMNBloomin' Brands, Inc.COM$4.00K–

Sold out since Q2 2021 (171)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 171 by value last quarter.

Positions of UBS Oconnor LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
MXIMMaxim Integrated Products IncCOM8,064,116$849.6M7.6%History
ALXNAlexion Pharmaceuticals, Inc.COM4,428,122$813.5M7.3%History
WORKSlack Technologies, Inc.COM CL A11,073,242$490.5M4.4%History
GRAW R Grace & CoCOM5,845,554$404.0M3.6%History
QTSQTS Realty Trust, Inc.COM CL A4,589,086$354.7M3.2%History
PFPTProofpoint IncCOM1,719,764$298.8M2.7%History
PRAHPRA Health Sciences, Inc.COM1,781,846$294.4M2.6%History
TLNDTalend S.A.ADS2,807,976$184.2M1.6%History
Proofpoint Inc743424AF0NOTE 0.250% 8/1–$116.9M1.0%–
CHNGChange Healthcare Inc.COM4,413,561$101.7M0.9%History
NAVNavistar International CorpCOM2,030,345$90.3M0.8%History
Coherent Inc192479103COM325,553$86.1M0.8%–
CBBCincinnati Bell IncCOM NEW4,083,178$63.0M0.6%History
WRIWeingarten Realty InvestorsSH BEN INT1,565,649$50.2M0.4%History
PDACPeridot Acquisition Corp.SHS CL A2,549,352$31.1M0.3%History
NRGNRG Energy, Inc.Stock696,964$28.1M0.3%History
Falcon Capital Acquisitn Cor30606L108COM CL A2,981,629$27.7M0.2%–
AFCGAdvanced Flower Capital Inc.COM1,001,722$20.7M0.2%History
Apellis Pharmaceuticals, Inc.03753UAB2NOTE 3.500% 9/1–$19.6M0.2%–
ELEstee Lauder Companies IncCL A60,000$19.1M0.2%History
ALCAlcon IncStock270,000$19.0M0.2%History
INTCIntel CorpStock326,162$18.3M0.2%History
Cantel Med Corp138098AB4NOTE 3.250% 5/1–$15.3M0.1%–
Newhold Investment Corp651448102COM CL A1,505,873$15.1M0.1%–
ROSTRoss Stores, Inc.COM120,000$14.9M0.1%History
RMG Acquisition Corp IIG76083107CL A SHS1,356,031$13.5M0.1%–
U.S. Global Jets ETF26922A842ETF520,000$12.6M0.1%–
EXPEExpedia Group, Inc.Stock70,000$11.5M0.1%History
NVRNVR IncCOM2,250$11.2M0.1%History
Tortoise Acquisition Corp IIG89554102COM CL A1,027,898$10.3M0.1%–
FSLRFirst Solar, Inc.Stock110,000$9.96M0.1%History
PTCPTC Inc.Stock70,000$9.89M0.1%History
DISH Network CORP25470MAD1NOTE 2.375% 3/1–$9.75M0.1%–
Reinvent Technology PartnersG7483N129CL A903,524$9.02M0.1%–
Dmy Technology Group Inc III233278100COM CLASS A843,306$9.02M0.1%–
VanEck ETF Trust92189F106GOLD MINERS ETF250,000$8.49M0.1%–
PLDPrologis, Inc.REIT70,800$8.46M0.1%History
PYPLPayPal Holdings, Inc.Stock28,000$8.16M0.1%History
Vector Acquisition CorpG9442R126COM CL A738,114$8.04M0.1%–
Protalix BioTherapeutics, Inc.74365AAD3NOTE 7.500%11/1–$7.84M0.1%–
SPNVSpinnova PlcCOM CL A752,937$7.48M0.1%History
Centricus Acquisition CorpG2072Q104CL A SHS741,404$7.34M0.1%–
NEENextera Energy IncStock100,000$7.33M0.1%History
Jaws Juggernaut Acquisitn CoG50735128UNIT 06/17/2026702,741$7.07M0.1%–
GLPIGaming & Leisure Properties, Inc.COM151,200$7.00M0.1%History
Nextgen Acquisition CorpG65305107CL A702,741$6.99M0.1%–
Reinvent Technology PartnersG74847107SHS CL A701,753$6.97M0.1%–
BGBunge Global SACOM80,000$6.25M0.1%History
PWRQuanta Services, Inc.COM67,874$6.15M0.1%History
SLViShares Silver TrustETF250,000$6.05M0.1%History
BNLBroadstone Net Lease, Inc.COM256,000$5.99M0.1%History
ACNAccenture plcStock20,000$5.90M0.1%History
EBEventbrite, Inc.COM CL A310,000$5.89M0.1%History
AZEKAZEK Co Inc.CL A134,810$5.72M0.1%History
FMCFMC CorpCOM NEW51,267$5.55M<0.1%History
CVETCovetrus, Inc.COM205,000$5.54M<0.1%History
LILi Auto Inc.SPONSORED ADS150,000$5.24M<0.1%History
Jaws Hurricane Acquisitn Cor47201B202UNIT 06/08/2026501,958$5.05M<0.1%–
Aurora Acquisition CorpG0698L103CLASS A ORD SHS509,024$5.04M<0.1%–
Colombier Acquisition Corp19533H207UNIT 99/99/9999501,958$4.98M<0.1%–
NHINational Health Investors IncCOM74,200$4.97M<0.1%History
iShares Tr464287630RUS 2000 VAL ETF29,440$4.88M<0.1%–
NTRNutrien Ltd.COM80,000$4.85M<0.1%History
LGL Sys Acquisition Corp50201G106COM CL A471,834$4.71M<0.1%–
NTSTNETSTREIT Corp.COM193,400$4.46M<0.1%History
Ion Acquisition Corp 2 LtdG49393104SHS CL A441,966$4.37M<0.1%–
Soaring Eagle Acquisition CoG8354H126CL A SHS422,847$4.21M<0.1%–
Star Peak Corp II855179107COM CL A409,006$4.05M<0.1%–
Power & Digital Infra Acq Co739190106COM CL A399,195$3.92M<0.1%–
RDWRedwire CorpSHS CL A378,308$3.90M<0.1%History
Corner Growth Acquisitn CorpG2426E112UNIT 05/27/2026351,370$3.54M<0.1%–
DOCHealthpeak Properties, Inc.COM104,070$3.46M<0.1%History
ULTAUlta Beauty, Inc.Stock10,000$3.46M<0.1%History
TWC Tech Hldgs II Corp90117G105COM327,127$3.25M<0.1%–
Nuburu, Inc.87403Q102COM CL A324,607$3.24M<0.1%–
Ion Acquisition Corp 2 LtdG49393120UNIT 99/99/9999318,815$3.22M<0.1%–
LBRTLiberty Energy Inc.COM CL A225,000$3.19M<0.1%History
Alpha Healthcare Acquistn Co020751103CL A300,000$3.06M<0.1%–
OneG7000X105COM CL A305,619$3.05M<0.1%–
TTETotalEnergies SESPONSORED ADS67,251$3.04M<0.1%History
Fintech Acquisition Corp VI31811H205UNIT 06/24/2026301,175$3.04M<0.1%–
Catalyst Partnrs Acquisitn CG19550113UNIT 99/99/9999300,000$3.01M<0.1%–
UAAUnder Armour, Inc.Stock130,000$2.75M<0.1%History
SHWSherwin Williams CoCOM9,600$2.62M<0.1%History
Rice Acquisition Corp762594109COM CL A143,270$2.59M<0.1%–
Orion Biotech Opportuntes CoG6780C125UNIT 04/15/2025250,000$2.52M<0.1%–
Oceantech Acquisitions I Cor675507206UNIT 05/12/2026250,979$2.52M<0.1%–
Global Consumer Acquisitn Co37892B207UNIT 05/21/2026250,979$2.51M<0.1%–
Shelter Acquisition Corp I822821203UNIT 02/25/2026250,000$2.50M<0.1%–
Osiris Acquisition Corp.68829A202UNIT 99/99/9999250,000$2.48M<0.1%–
COLDAmericold Realty TrustCOM64,540$2.44M<0.1%History
WOOFPetco Health & Wellness Company, Inc.CL A COM100,000$2.24M<0.1%History
Sports Entertainment Acqu Co84918M106COM CL A198,807$2.00M<0.1%–
Flyexclusive Inc.26846A209UNIT 99/99/9999200,000$2.00M<0.1%–
SCPESC Health CorpCOM CL A194,648$1.96M<0.1%History
Logistics Innovtn Technlgs C54141L209UNIT 06/10/2026195,764$1.95M<0.1%–
VIEWView, Inc.COM CL A220,989$1.87M<0.1%History
Kensington Capital Acquisiti49006L104COM CL A173,825$1.73M<0.1%–
Navsight Hldgs Inc639358100CL A171,719$1.71M<0.1%–
LTCLTC Properties IncREIT42,200$1.62M<0.1%History