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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
WPCW. P. Carey Inc.COM23,950$1.75M<0.1%+23,950NewHistory
AVIRAtea Pharmaceuticals, Inc.COM50,000$1.75M<0.1%+50,000NewHistory
Agrico Acquisition CorpG41089106CLASS A ORD SHS175,685$1.76M<0.1%+175,685New–
KURIAlkuri Global Acquisition Corp.COM CL A184,187$1.84M<0.1%00.0%UnchangedHistory
BKIBlack Knight, Inc.COM25,600$1.84M<0.1%+25,600NewHistory
XOSXos, Inc.COMMON STOCK400,000$1.85M<0.1%+400,000NewHistory
Liberty Media Acquisition Corp53073L104COM SR A185,329$1.87M<0.1%+35,137+23.4%Added–
Logistics Innovtn Technlgs C54141L100CLASS A COM195,764$1.90M<0.1%+195,764New–
FRSHFreshworks Inc.Stock45,000$1.92M<0.1%+45,000NewHistory
Crown PropTech AcquisitionsG25741102SHS CL A198,807$1.94M<0.1%00.0%Unchanged–
Ushg Acquisition Corp91748P100COM CL A200,000$1.94M<0.1%00.0%Unchanged–
Eg Acquisition Corp26846A100COM CL A200,000$1.94M<0.1%+200,000New–
Alpha Capital Acquisition CoG0316P130CL A ORD SHS200,000$1.94M<0.1%00.0%Unchanged–
Tuatara Capital Acquisitn CoG9118J101CL A SHS200,000$1.95M<0.1%00.0%Unchanged–
Itiquira Acquisition CorpG49773107CL A SHS199,993$1.95M<0.1%00.0%Unchanged–
BEEPMobile Infrastructure CorpCLASS A ORD SHS200,783$1.97M<0.1%+200,783NewHistory
TYGOTigo Energy, Inc.COM200,783$1.97M<0.1%+200,783NewHistory
HZACHorizon Acquisition CorpCOM CL A198,406$1.98M<0.1%00.0%UnchangedHistory
Montes Archimedes Acquisitio612657106COM CL A198,807$1.99M<0.1%00.0%Unchanged–
SES AI CorpG4R87P114COM CL A200,783$1.99M<0.1%−50,196−20.0%Reduced–
Northern Genesis Acqu Corp I66516W107COM204,135$1.99M<0.1%+190.0%Added–
Riverview Acquisition Corp.769395203UNIT 07/29/2026200,783$1.99M<0.1%+200,783New–
10X Cap Venture Acqstn CorpG87076124UNIT 04/19/2028200,783$2.00M<0.1%+200,783New–
Springwater SPL Situations C85205U206UNIT 12/01/2027200,783$2.00M<0.1%+200,783New–
Golden Falcon Acquisition Co38102H109CL A205,700$2.01M<0.1%00.0%Unchanged–
Gigcapital 5 Inc37519U208UNIT 99/99/9999200,783$2.06M<0.1%+200,783New–
CRKComstock Resources IncCOM201,250$2.08M<0.1%−1,182,500−85.5%ReducedHistory
BHCBausch Health Companies Inc.Stock75,000$2.09M<0.1%−90,000−54.5%ReducedHistory
PFSIPennyMac Financial Services, Inc.COM34,300$2.10M<0.1%+4,300+14.3%AddedHistory
RBLXRoblox CorpStock28,000$2.12M<0.1%+15,000+115.4%AddedHistory
SSentinelOne, Inc.CL A40,000$2.14M<0.1%+5,000+14.3%AddedHistory
Khosla Ventures Acquisition482504107CL A223,310$2.20M<0.1%00.0%Unchanged–
EJFAEJF Acquisition Corp.CL A SHS225,001$2.22M<0.1%00.0%UnchangedHistory
DNADSocial Capital Suvretta Holdings Corp. IVCLASS A ORD SHS229,422$2.25M<0.1%+179,422+358.8%AddedHistory
RLXRLX Technology Inc.SPONSORED ADS500,000$2.26M<0.1%+500,000NewHistory
NMGNouveau Monde Graphite Inc.Stock414,412$2.32M<0.1%+39,412+10.5%AddedHistory
Athena Technology Acquisi Co04687A109COM CLASS A238,288$2.37M<0.1%−61,908−20.6%Reduced–
NGLNGL Energy Partners LPCOM UNIT REPST1,000,000$2.37M<0.1%−250,000−20.0%ReducedHistory
WPCAWarburg Pincus Capital Corp I-ASHS CL A241,680$2.37M<0.1%00.0%UnchangedHistory
HumanCo Acquisition Corp.44487N109COM CL A242,309$2.40M<0.1%+73,379+43.4%Added–
PLTRPalantir Technologies Inc.Stock100,000$2.40M<0.1%+25,000+33.3%AddedHistory
Decarbonization Plus Acqu II242794105COM CL A243,299$2.41M<0.1%+78,505+47.6%Added–
FRWPWP Forward Acquisition Corp. ICLASS A COM250,164$2.41M<0.1%00.0%UnchangedHistory
GX Acquisition Corp II36260F105CLASS A COM249,804$2.41M<0.1%00.0%Unchanged–
Pine Technology Acquisitn Co722850104CLASS A COM250,163$2.41M<0.1%00.0%Unchanged–
FORGForgeRock, Inc.CL A62,000$2.41M<0.1%+62,000NewHistory
7GC & Co Holdings Inc81786A107COM CL A249,003$2.42M<0.1%00.0%Unchanged–
TNLTravel & Leisure Co.COM44,400$2.42M<0.1%−65,500−59.6%ReducedHistory
Ares Acquisition CorporationG33032106COM CL A248,608$2.42M<0.1%00.0%Unchanged–
TRCATwin Ridge Capital Acquisition Corp.SHS CL A249,674$2.42M<0.1%00.0%UnchangedHistory
Fintech Evolution Acquis GroG3R19A104SHS CL A250,164$2.42M<0.1%00.0%Unchanged–
PONDAngel Pond Holdings CorpSHS CL A250,979$2.42M<0.1%+250,979NewHistory
Hamilton Lane Alliance Hldgs40749M103COM CL A249,991$2.42M<0.1%00.0%Unchanged–
DNZD & Z Media Acquisition Corp.COM CL A249,398$2.43M<0.1%00.0%UnchangedHistory
Orion Acquisition Corp68626A108COM CL A250,164$2.43M<0.1%00.0%Unchanged–
KRNLKernel Group Holdings, Inc.CL A SHS249,398$2.43M<0.1%00.0%UnchangedHistory
Frontier Acquisition Corp.G36826108CLASS A ORD SHS250,164$2.43M<0.1%00.0%Unchanged–
L Catterton Asia AcquisitionG5346G125CLASS A ORD SHS249,837$2.43M<0.1%00.0%Unchanged–
Epiphany Technology Acquisit29429X109COM CL A249,003$2.43M<0.1%00.0%Unchanged–
Jack Creek Investment Corp.G4989X115CL A SHS249,595$2.43M<0.1%00.0%Unchanged–
FICVFrontier Investment CorpCLASS250,979$2.43M<0.1%+250,979NewHistory
Deep Lake Capital Acqustn CoG27029100CL A SHS249,991$2.44M<0.1%00.0%Unchanged–
Eq Health Acquisition Corp26886A101COM CL A249,398$2.44M<0.1%00.0%Unchanged–
Empowerment & Inclusion Capi29248N100COM CL A249,200$2.44M<0.1%00.0%Unchanged–
Tishman Speyer Innovation Co88825H100COM CL A248,680$2.44M<0.1%00.0%Unchanged–
SCOBScION Tech Growth IICL A SHS249,991$2.44M<0.1%00.0%UnchangedHistory
MITAColiseum Acquisition Corp.CLASS A ORD SHS250,979$2.44M<0.1%+250,979NewHistory
Simon Property Grp Acq Holdi82880R103COM CL A250,000$2.44M<0.1%00.0%Unchanged–
PFTAPerception Capital Corp. IIICLASS A ORD SHS250,979$2.44M<0.1%+250,979NewHistory
Atlantic Ave Acquisition Cor04906P101COM CL A249,002$2.44M<0.1%00.0%Unchanged–
Fortistar Sustainable Sol Co34962M106COM CL A249,793$2.44M<0.1%00.0%Unchanged–
Global Synergy Acquisit CorpG3934J106CL A SHS249,003$2.44M<0.1%00.0%Unchanged–
RXR Acquisition Corp74981W107CLASS A COM250,979$2.44M<0.1%00.0%Unchanged–
Shelter Acquisition Corp I822821104CLASS A COM250,979$2.44M<0.1%+250,979New–
Corazon Capital V838 MonocerG24237102CLASS A ORD SHS250,979$2.44M<0.1%00.0%Unchanged–
Healthcare Services Acqu Cor42227K104COM CL A250,979$2.44M<0.1%+250,979New–
Colicity Inc194170106COM CL A250,000$2.44M<0.1%00.0%Unchanged–
BSKYBig Sky Growth Partners, Inc.CLASS A COM249,804$2.44M<0.1%00.0%UnchangedHistory
TEKKTekkorp Digital Acquisition Corp.CL A249,003$2.44M<0.1%00.0%UnchangedHistory
Orion Biotech Opportuntes CoG6780C109CLASS A ORD SHS250,000$2.44M<0.1%+250,000New–
Lux Health Tech Acquisition55068A100COM CL A249,991$2.45M<0.1%00.0%Unchanged–
GWIIGood Works II Acquisition Corp.COMMON STOCK250,979$2.45M<0.1%+250,979NewHistory
ELIQElectriq Power Holdings, Inc.COM CL A249,003$2.45M<0.1%00.0%UnchangedHistory
OSIOsiris Acquisition Corp.CL A250,000$2.46M<0.1%+250,000NewHistory
IG Acquisition Corp.449534106COM CL A250,979$2.46M<0.1%00.0%Unchanged–
TWOAtwoCOM CL A250,979$2.46M<0.1%00.0%UnchangedHistory
FTCIFTC Solar, Inc.COM315,751$2.46M<0.1%+86,415+37.7%AddedHistory
PROKProkidney Corp.CLASS A ORD SHS250,979$2.46M<0.1%+200,979+402.0%AddedHistory
Figure Acquisition Corp. I302438106COM CL A249,804$2.46M<0.1%00.0%Unchanged–
TCVATCV Acquisition Corp.CL A SHS251,682$2.47M<0.1%+210,823+516.0%AddedHistory
ZURAZura Bio LtdSHS CL A250,979$2.47M<0.1%+250,979NewHistory
Khosla Ventures Acqut Co III482506102COM CL A251,945$2.47M<0.1%+150,588+148.6%Added–
ALTUAltitude Acquisition Corp.COM CL A250,979$2.47M<0.1%00.0%UnchangedHistory
Global Gas Corp265334102COM CL A249,497$2.47M<0.1%00.0%Unchanged–
ALTIAlTi Global, Inc.CL A SHS250,266$2.47M<0.1%+462+0.2%AddedHistory
EUSGEuropean Sustainable Growth Acquisition Corp.CL A SHS249,991$2.48M<0.1%00.0%UnchangedHistory
DNABSocial Capital Suvretta Holdings Corp. IICLASS A ORD SHS250,979$2.48M<0.1%+200,979+402.0%AddedHistory
OTECOceanTech Acquisitions I Corp.CLASS A COM250,979$2.48M<0.1%+250,979NewHistory
Environmental Impact Acqu Co29408N106COM CL A251,162$2.48M<0.1%00.0%Unchanged–
Thimble Point Acquisition Co88408P107COM CL A249,991$2.48M<0.1%00.0%Unchanged–

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