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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
GWHWWESS Tech, Inc.*W EXP 09/15/202283,323$353.0K<0.1%00.0%UnchangedHistory
Concord Acquisition Corp206071110*W EXP 12/28/202199,795$356.0K<0.1%−50,196−20.1%Reduced–
Sports Entertainment Acqu Co84918M114*W EXP 10/30/202149,106$356.0K<0.1%−100,391−40.2%Reduced–
Yucaipa Acquisition CorpG9879L113*W EXP 99/99/999333,321$362.0K<0.1%00.0%Unchanged–
Atlantic Ave Acquisition Cor04906P119*W EXP 10/06/202549,979$371.0K<0.1%00.0%Unchanged–
Power & Digital Infra Acq Co739190114*W EXP 02/12/202149,994$373.0K<0.1%00.0%Unchanged–
Austerlitz Acquisition CorpG0633U127*W EXP 02/19/202362,745$375.0K<0.1%00.0%Unchanged–
Firstmark Horizon Acquisitio33765Y119*W EXP 09/26/202299,989$376.0K<0.1%00.0%Unchanged–
RPT Realty74971D101SH BEN INT29,600$378.0K<0.1%+4,400+17.5%Added–
Bluescape Opportunities AcquG1195N113*W EXP 10/28/202381,002$385.0K<0.1%00.0%Unchanged–
Gores Metropoulos II Inc382873115*W EXP 01/31/202230,109$393.0K<0.1%00.0%Unchanged–
SCVX CorpG79448117*W EXP 01/24/202515,804$396.0K<0.1%00.0%Unchanged–
Spartacus Acquisition Corp84677L117*W EXP 10/31/202249,991$404.0K<0.1%00.0%Unchanged–
Bridgetown Holdings LtdG1355U113COM CL A41,481$407.0K<0.1%+41,481New–
Equity Distr Acquisition Cor29465E114*W EXP 09/09/202481,870$431.0K<0.1%+81,885+20.5%Added–
Natural Order Acquisition Corp.63889L115*W EXP 09/15/202824,970$437.0K<0.1%00.0%Unchanged–
ReNew Energy Global plcG7500M120*W EXP 08/30/202250,979$459.0K<0.1%+250,979New–
Capstar SPL Purp Acquisition14070Y119*W EXP 99/99/999534,553$465.0K<0.1%00.0%Unchanged–
Citic Capital Acquisition CoG21513117*W EXP 01/17/202602,262$473.0K<0.1%00.0%Unchanged–
Montes Archimedes Acquisitio612657114*W EXP 99/99/999324,989$478.0K<0.1%00.0%Unchanged–
SCP & Co Healthcare Acqustn784065112*W EXP 01/27/202866,222$478.0K<0.1%00.0%Unchanged–
Noble Rock Acquisition CorpG6546R101CL A SHS50,196$487.0K<0.1%+50,196New–
Goal Acquisitions Corp38021H107COM50,196$488.0K<0.1%+50,196New–
ESMTEngageSmart, Inc.COMMON STOCK15,000$511.0K<0.1%+15,000NewHistory
Vy Global GrowthG9444H118*W EXP 01/30/203399,985$538.0K<0.1%00.0%Unchanged–
Horizon Acquisition CorpG46049113*W EXP 08/19/202333,321$562.0K<0.1%00.0%Unchanged–
Banner Acquisition Corp.06654K200UNIT 09/07/202656,922$566.0K<0.1%+56,922New–
DFP Healthcare Acquisitns Co23343Q118*W EXP 03/31/202372,284$577.0K<0.1%00.0%Unchanged–
ADTADT Inc.COM71,985$582.0K<0.1%00.0%UnchangedHistory
CONX Corp.212873111*W EXP 10/30/202499,982$587.0K<0.1%00.0%Unchanged–
Li-Cycle Holdings Corp.50202P113*W EXP 08/10/202250,979$604.0K<0.1%+250,979New–
Global System Dynamics, Inc.37653T207UNIT 04/01/202462,946$641.0K<0.1%+62,946New–
CHP Merger Corp.12558Y114*W EXP 11/22/2021,258,066$673.0K<0.1%00.0%Unchanged–
B Riley Principal 150 Merger05601V103COM CL A74,303$724.0K<0.1%+74,303New–
Investindustrial Acquisition Corp.G4771L113*W EXP 10/30/202566,645$737.0K<0.1%00.0%Unchanged–
PDMPiedmont Realty Trust, Inc.COM CL A42,600$743.0K<0.1%−11,100−20.7%ReducedHistory
Evo Acquisition Corp30052G108COM CL A85,333$827.0K<0.1%+85,333New–
LendingTree, Inc.52603BAD9NOTE 0.500% 7/1–$855.0K<0.1%–New–
CCICrown Castle Inc.REIT5,100$884.0K<0.1%+5,100NewHistory
CYXTCyxtera Technologies, Inc.COMMON STOCK99,254$918.0K<0.1%+99,254NewHistory
CalAmp Corp.128126AD1CONVERTIBLE BOND–$922.0K<0.1%–––
Ionis Pharmaceuticals Inc462222AB6NOTE 0.125%12/1–$941.0K<0.1%–––
ONONOn Holding AGStock31,547$951.0K<0.1%+31,547NewHistory
ZLSZalatoris II Acquisition CorpCLASS A ORD100,392$970.0K<0.1%+100,392NewHistory
NFENew Fortress Energy Inc.COM CL A35,000$971.0K<0.1%+35,000NewHistory
VLATValor Latitude Acquisition Corp.CLASS A ORD SHS100,392$980.0K<0.1%+100,392NewHistory
Alliance Entertainment Holding Corp00653H102COM CL A100,392$984.0K<0.1%+100,392New–
Splunk Inc848637AF1NOTE 1.125% 6/1–$986.0K<0.1%–––
Healthwell Acquisition Corp42227R208UNIT 08/05/2028100,392$988.0K<0.1%+100,392New–
MDH Acquisition Corp55283P106COM CL A100,392$989.0K<0.1%+100,392New–
SRCSpirit Realty Capital, Inc.COM NEW21,500$990.0K<0.1%+21,500NewHistory
MAQCMaquia Capital Acquisition CorpCLASS A COM100,392$1.00M<0.1%00.0%UnchangedHistory
SHF Holdings, Inc.66538L105CLASS A COM100,392$1.00M<0.1%+100,392New–
Wayfair Inc.94419LAM3NOTE 0.625%10/0–$1.00M<0.1%–New–
Fortive Corp34959JAK4NOTE 0.875% 2/1–$1.01M<0.1%–––
New Relic, Inc.64829BAB6NOTE 0.500% 5/0–$1.02M<0.1%–––
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$1.03M<0.1%–––
WMGWarner Music Group Corp.COM CL A25,000$1.07M<0.1%+25,000NewHistory
Fireeye Inc31816QAF8NOTE 0.875% 6/0–$1.07M<0.1%–––
Broadstone Acquisition CorpG1739V100SHS CL A109,595$1.09M<0.1%00.0%Unchanged–
CLVTClarivate PLCORD SHS50,000$1.09M<0.1%−75,000−60.0%ReducedHistory
Skydeck Acquisition Corp.G82220123CLASS A ORD SHS114,149$1.10M<0.1%+114,149New–
Evolv Technologies HLDNGS IN30049H110*W EXP 03/10/202752,937$1.13M<0.1%+752,937New–
COVA Acquisition Corp.G2554Y104CL A SHS116,604$1.13M<0.1%+116,604New–
Class Acceleration Corp18274B106COM118,211$1.15M<0.1%+118,211New–
Dexcom Inc252131AK3NOTE 0.250%11/1–$1.19M<0.1%–––
Cohn Robbins Holdings CorpG23726113*W EXP 08/28/2021,333,283$1.21M<0.1%00.0%Unchanged–
DOCSDoximity, Inc.CL A15,000$1.21M<0.1%+5,000+50.0%AddedHistory
Cleantech Acquisition Corp18453L107COM125,489$1.25M<0.1%+125,489New–
Twelve Seas Investment Co. II90118T106COM CL A128,501$1.25M<0.1%+128,501New–
PMTPennyMac Mortgage Investment TrustCOM70,700$1.39M<0.1%+7,000+11.0%AddedHistory
VMRKVivmark ResidentialSH BEN INT17,600$1.42M<0.1%+17,600NewHistory
AREAlexandria Real Estate Equities, Inc.COM7,520$1.44M<0.1%−37,580−83.3%ReducedHistory
IRAAIris Acquisition CorpCLASS A COM150,098$1.46M<0.1%00.0%UnchangedHistory
Mission Advancement Corp60501L101CL A150,098$1.46M<0.1%00.0%Unchanged–
Freedom Acquisition I CorpG3663X110SHS CL A150,000$1.46M<0.1%00.0%Unchanged–
New Vista Acquisition CorpG6529L105CL A SHS150,382$1.47M<0.1%+382+0.3%Added–
Bright Lights Acquisition Co10920K101COM CL A150,587$1.47M<0.1%00.0%Unchanged–
NSTDNorthern Star Investment Corp. IVCOM CL A150,098$1.47M<0.1%00.0%UnchangedHistory
Belong Acquisition Corp.08069M102CLASS A COM151,651$1.47M<0.1%+151,651New–
G Squared Ascend II IncG42041106COM CL A150,587$1.47M<0.1%+150,587New–
Pioneer Merger Corp.G7S24C103CL A SHS149,110$1.48M<0.1%00.0%Unchanged–
NSTCNorthern Star Investment Corp. IIICOM CL A152,207$1.48M<0.1%+2,109+1.4%AddedHistory
Solid Power, Inc.24279D105CLASS A COM148,630$1.49M<0.1%−100,391−40.3%Reduced–
ZFOXZeroFox Holdings, Inc.SHS CL A149,797$1.50M<0.1%00.0%UnchangedHistory
WinVest Acquisition Corp.97655B208UNIT 08/09/2026145,568$1.50M<0.1%+145,568New–
Alpine Acquisition Corporati02083L208UNIT 05/01/2026150,587$1.52M<0.1%+150,587New–
Ribbit Leap LtdG7552B105SHS CL A150,543$1.52M<0.1%+549+0.4%Added–
Verde Clean Fuels, Inc.15130M201UNIT 02/04/2026154,503$1.55M<0.1%+154,503New–
PATHUiPath, Inc.Stock30,000$1.58M<0.1%+30,000NewHistory
GSKYGreenSky, Inc.CL A145,225$1.62M<0.1%−3,975,375−96.5%ReducedHistory
GS Acquisition Hldgs Corp II36258Q113*W EXP 06/30/202770,244$1.64M<0.1%00.0%Unchanged–
Corsair Partnering CorpG2540H108SHS CL A168,597$1.66M<0.1%+168,597New–
LAMRLamar Advertising CoREIT14,700$1.67M<0.1%+14,700NewHistory
LAWCS Disco, Inc.COM35,000$1.68M<0.1%+35,000NewHistory
B Riley Prin 250 Merger Corp05602L104CLASS A COM173,719$1.69M<0.1%+173,719New–
HHLAHH&L Acquisition Co.SHS CL A176,288$1.71M<0.1%+176,288NewHistory
PHICPopulation Health Investment Co., Inc.SHS CL A176,472$1.73M<0.1%00.0%UnchangedHistory
Chardan Nextech Acquisition Corp.159561109CLASS A COM175,685$1.75M<0.1%+175,685New–
TOSTToast, Inc.Stock35,000$1.75M<0.1%+35,000NewHistory

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