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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
APMIUAxonPrime Infrastructure Acquisition CorpUNIT 05/31/2028250,979$2.48M<0.1%+250,979NewHistory
Galata Acquisition CorpG3R23A108SHS CL A250,979$2.48M<0.1%+250,979New–
Marquee Raine Acquisition CoG58442107CL A SHS248,903$2.49M<0.1%00.0%Unchanged–
CXApp Inc.49714K109COM CL A250,979$2.50M<0.1%+250,979New–
Merida Merger Corp I58953M106COM249,828$2.50M<0.1%00.0%Unchanged–
AKLIAkili, Inc.CLASS A ORD SHS250,979$2.50M<0.1%+200,979+402.0%AddedHistory
TPBAUTPB Acquisition Corp IUNIT 08/09/2026250,979$2.50M<0.1%+250,979NewHistory
ASAXAstrea Acquisition Corp.COM CL A250,979$2.50M<0.1%+250,979NewHistory
Metals Acquisition CorpG60405100SHS CL A250,979$2.51M<0.1%+250,979New–
NVTSNavitas Semiconductor CorpCOM CL A252,641$2.52M<0.1%−50,196−16.6%ReducedHistory
Tuscan Hldgs Corp II90070A103COM250,979$2.54M<0.1%+250,979New–
Elliott Opportunity II Corp.G30092129UNIT 99/99/9999250,979$2.54M<0.1%+250,979New–
Trump Media & Technology Group Corp.25400Q204UNIT 06/30/2028250,979$2.54M<0.1%+250,979New–
Oxus Acquisition CorpG6859L113UNIT 99/99/9999250,979$2.56M<0.1%+250,979New–
Oxbridge Acquisition CorpG6855L125UNIT 07/30/2026250,979$2.57M<0.1%+250,979New–
CDRCedar Realty Trust, Inc.COM NEW118,600$2.57M<0.1%+18,400+18.4%AddedHistory
CRCCalifornia Resources CorpCOM STOCK63,076$2.59M<0.1%+313+0.5%AddedHistory
EQRXEQRx, Inc.CLASS A COM266,038$2.64M<0.1%+266,038NewHistory
Hennessy Capital Invs Corp V42589T107COM CL A267,543$2.64M<0.1%+267,543New–
BILLBILL Holdings, Inc.Stock10,000$2.67M<0.1%+10,000NewHistory
Ftac Parnassus Acquisitn Cor30319B108CLASS A COM274,320$2.67M<0.1%00.0%Unchanged–
XBP Global Holdings, Inc.12520C109CLASS A COM275,272$2.74M<0.1%00.0%Unchanged–
SUNLSunlight Financial Holdings Inc.COMMON STOCK522,345$2.77M<0.1%+522,345NewHistory
PSAGProperty Solutions Acquisition Corp. IICOM CL A286,967$2.78M<0.1%00.0%UnchangedHistory
CTACKing LLC Merger Sub, LLCSHS CL A279,991$2.80M<0.1%−169,461−37.7%ReducedHistory
NCLHNorwegian Cruise Line Holdings Ltd.SHS105,000$2.81M<0.1%+105,000NewHistory
SESea LtdSPONSORD ADS9,000$2.87M<0.1%+9,000NewHistory
MRNAModerna, Inc.Stock7,500$2.89M<0.1%+1,500+25.0%AddedHistory
Stardust Power Inc.G3934P102CL A SHS300,187$2.91M<0.1%00.0%Unchanged–
CF Acquisition Corp VI12521J103COM CL A299,995$2.91M<0.1%+49,799+19.9%Added–
Lead Edge Growth Oprtunts LTG54085108COM300,000$2.92M<0.1%00.0%Unchanged–
Alpha Partners Tech Mergr CoG63290111CLASS A ORD SHS301,175$2.92M<0.1%+301,175New–
Z-Work Acquisition Corp98880C102COM CL A299,989$2.92M<0.1%00.0%Unchanged–
Atlas Crest Investment Corp049287105COM CL A299,593$2.92M<0.1%00.0%Unchanged–
Catalyst Partnrs Acquisitn CG19550105CLASS A ORD SHS300,000$2.92M<0.1%+300,000New–
OCAOmnichannel Acquisition Corp.COM CL A296,928$2.94M<0.1%+46,937+18.8%AddedHistory
EXRExtra Space Storage Inc.COM17,600$2.96M<0.1%−1,500−7.9%ReducedHistory
GIGCAPITAL4 Inc37518G101COM299,989$2.96M<0.1%00.0%Unchanged–
Advanced Merger Partners Inc00777J109COM CL A305,379$2.96M<0.1%+55,215+22.1%Added–
PICCPivotal Investment Corp IIICOM CL A304,499$2.97M<0.1%+154,603+103.1%AddedHistory
Altimeter Growth Corp 2G0371B109COM CL A300,187$2.97M<0.1%00.0%Unchanged–
First Reserve Sustainable GW336169107CLASS A COM300,196$2.97M<0.1%00.0%Unchanged–
JBLUJetBlue Airways CorpCOM195,200$2.98M<0.1%+60,000+44.4%AddedHistory
Digiasia Corp.G85094103CLASS A ORD SHS301,175$2.99M<0.1%+301,175New–
Build Acquisition Corp12008J105COM CLASS A321,621$3.12M<0.1%+74,156+30.0%Added–
RITMRithm Capital Corp.REIT284,000$3.12M<0.1%+115,700+68.7%AddedHistory
PCTPureCycle Technologies, Inc.COM235,866$3.13M<0.1%+235,866NewHistory
LFGArchaea Energy Inc.COM CL A166,020$3.14M<0.1%+166,020NewHistory
Austerlitz Acquisition CorpG0633D109SHS CL A319,847$3.18M<0.1%00.0%Unchanged–
DMTKDermTech, Inc.COM100,000$3.21M<0.1%+100,000NewHistory
Pine Is Acquisition Corp722615101CL A330,304$3.22M<0.1%00.0%Unchanged–
Artisan Acquisition CorpG0509L102CLASS A ORD SHS325,342$3.23M<0.1%+325,342New–
Tastemaker Acquisition Corp876545104COM CL A332,296$3.28M<0.1%+332,296New–
ZMZoom Communications, Inc.Stock12,700$3.32M<0.1%+7,200+130.9%AddedHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR30,000$3.35M<0.1%00.0%UnchangedHistory
Digital Transformatn Opt Cor25401K107CLASS A COM350,229$3.40M<0.1%00.0%Unchanged–
SCOAScION Tech Growth ICL A SHS349,395$3.40M<0.1%00.0%UnchangedHistory
Graf Acquisition Corp IV384272100COM350,979$3.40M<0.1%+350,979New–
Haymaker Acquisition Corp II42087R108CLASS A COM350,555$3.41M<0.1%+100,391+40.1%Added–
HCIIHudson Executive Investment Corp. IICOM CL A350,383$3.42M<0.1%00.0%UnchangedHistory
SEPASEP Acquisition Corp.CLASS A COM351,370$3.42M<0.1%+351,370NewHistory
Broadscale Acquisition Corp11134Y101COM CL A354,121$3.44M<0.1%+54,512+18.2%Added–
Corner Growth Acquisition Corp. 2G2426E104CLASS A ORD SHS351,370$3.46M<0.1%+351,370New–
TRNOTerreno Realty CorpCOM55,100$3.48M<0.1%+3,400+6.6%AddedHistory
Armada Acquisition Corp. I04208V202UNIT 08/13/2026351,370$3.50M<0.1%+351,370New–
URIUnited Rentals, Inc.COM10,000$3.51M<0.1%−15,000−60.0%ReducedHistory
SBRASabra Health Care REIT, Inc.REIT239,100$3.52M<0.1%+188,800+375.3%AddedHistory
Direct Selling Acquisitin Co25460L202UNIT 99/99/9999351,370$3.54M<0.1%+351,370New–
SVF Investment Corp. 2G8601M100CL A SHS361,247$3.55M<0.1%+311,214+622.0%Added–
VEIVine Energy Inc.CL A215,393$3.55M<0.1%−4,965−2.3%ReducedHistory
BZKanzhun LtdSPONSORED ADS100,000$3.60M<0.1%+62,350+165.6%AddedHistory
LUVSouthwest Airlines CoCOM70,000$3.60M<0.1%+35,000+100.0%AddedHistory
Clovis Oncology, Inc.189464AE0NOTE 4.500% 8/0–$3.60M<0.1%–––
Azure PWR Global LtdV0393H103SHS164,210$3.61M<0.1%−114−0.1%Reduced–
LXPLXP Industrial TrustCOM283,900$3.62M<0.1%+9,400+3.4%AddedHistory
Global Consumer Acquisitn Co37892B108COM366,429$3.62M<0.1%+366,429New–
PENNPENN Entertainment, Inc.COM50,000$3.62M<0.1%−50,000−50.0%ReducedHistory
BOACBluescape Opportunities Acquisition Corp.SHS370,368$3.63M<0.1%00.0%UnchangedHistory
MRVIMaravai Lifesciences Holdings, Inc.COM CL A75,065$3.68M<0.1%+75,065NewHistory
TCW Special Purpose Acqu Cor87301L106COM CL A385,202$3.77M<0.1%+135,528+54.3%Added–
Avanti Acquisition CorpG0682V109SHS CL A389,870$3.82M<0.1%00.0%Unchanged–
STAGSTAG Industrial, Inc.COM98,100$3.85M<0.1%+3,000+3.2%AddedHistory
KAIRKairos Acquisition Corp.CL A SHS399,591$3.86M<0.1%00.0%UnchangedHistory
Veea Inc.G7134L126CLASS A ORD SHS400,261$3.87M<0.1%00.0%Unchanged–
AEACAuthentic Equity Acquisition Corp.CL A SHS399,591$3.88M<0.1%00.0%UnchangedHistory
Rocket Internet GRWT Oprt CoG7613T103SHS CL A396,802$3.88M<0.1%+96,802+32.3%Added–
DHB Capital Corp23291W109CL A COM399,935$3.88M<0.1%00.0%Unchanged–
Airship AI Holdings, Inc.G1R25Q105CLASS A ORD SHS399,804$3.88M<0.1%00.0%Unchanged–
Mason Industrial Technolgy I57520Y106COM CL A398,799$3.88M<0.1%00.0%Unchanged–
AEMAgnico Eagle Mines LtdStock75,000$3.89M<0.1%+75,000NewHistory
Revolution Healthcar Aq Corp76155Y108CLASS A COM400,392$3.90M<0.1%00.0%Unchanged–
ATAQAltimar Acquisition Corp. IIISHS CL A400,261$3.90M<0.1%00.0%UnchangedHistory
Forest Road Acquisition Cor34619V103CL A400,261$3.90M<0.1%00.0%Unchanged–
Forum Merger IV Corp349875104CLASS A COM400,196$3.91M<0.1%00.0%Unchanged–
WALDWaldencast plcCLASS A ORD SHS400,261$3.91M<0.1%00.0%UnchangedHistory
Nightdragon Acquisition Corp65413D105CLASS A COM400,261$3.91M<0.1%00.0%Unchanged–
ZVIAZevia PBCCL A339,956$3.91M<0.1%+339,956NewHistory
Gaming & Hospitality Acqu Co364681106COM CL A399,591$3.92M<0.1%00.0%Unchanged–
Northern Genesis Acquisition66516U101COMMON STOCK394,317$3.92M<0.1%−7,049−1.8%Reduced–
HZONHorizon Acquisition Corp IISHS CL A401,566$3.94M<0.1%00.0%UnchangedHistory

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