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Livermore
ZHEN

UBS Oconnor LLC

SEC CIK
0001132716
Latest filing
Aug 14, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 14, 2023. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
909
−13 vs. Q2 2022
Portfolio value
$8.71B
−$826.7M (−8.7%) vs. Q2 2022
Filed
Nov 14, 2023
AmendedSECSECSECSECSEC
Holdings of UBS Oconnor LLC in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
Amprius Technologies, Inc.03214Q116*W EXP 09/14/202485,383$150.0K<0.1%+485,383New–
DCPHDeciphera Pharmaceuticals, Inc.COM10,000$185.0K<0.1%+10,000NewHistory
ORTXOrchard Therapeutics plcADS432,978$216.0K<0.1%−660,946−60.4%ReducedHistory
AXSMAxsome Therapeutics, Inc.COM5,000$223.0K<0.1%−23,026−82.2%ReducedHistory
AURAAura Biosciences, Inc.COM12,430$225.0K<0.1%−78,109−86.3%ReducedHistory
UBXUnity Biotechnology, Inc.COM606,500$240.0K<0.1%+606,500NewHistory
Conyers Park III Acqsitn Cor21289P110*W EXP 08/12/2021,012,165$257.0K<0.1%−103,516−9.3%Reduced–
PRAXPraxis Precision Medicines, Inc.COM115,776$263.0K<0.1%−100,000−46.3%ReducedHistory
ZNTLZentalis Pharmaceuticals, Inc.COM13,527$293.0K<0.1%−65,600−82.9%ReducedHistory
RIGLRigel Pharmaceuticals IncCOM NEW286,139$338.0K<0.1%−145,060−33.6%ReducedHistory
Evolv Technologies HLDNGS IN30049H110*W EXP 03/10/202715,785$340.0K<0.1%−71,700−9.1%Reduced–
LVTXLAVA Therapeutics NVSHS75,000$343.0K<0.1%+75,000NewHistory
FORGForgeRock, Inc.CL A28,199$410.0K<0.1%−26,801−48.7%ReducedHistory
Sunpower Corp867652406COM18,749$432.0K<0.1%+18,749New–
SYBXSynlogic, Inc.COM465,741$442.0K<0.1%−77,144−14.2%ReducedHistory
INZYInozyme Pharma, Inc.COM165,498$444.0K<0.1%−5,849−3.4%ReducedHistory
PDMPiedmont Realty Trust, Inc.COM CL A43,290$457.0K<0.1%+43,290NewHistory
SRCSpirit Realty Capital, Inc.COM NEW12,900$466.0K<0.1%−89,130−87.4%ReducedHistory
ATRCAtriCure, Inc.COM12,300$481.0K<0.1%+12,300NewHistory
NNNNNN REIT, Inc.REIT12,200$486.0K<0.1%−79,697−86.7%ReducedHistory
ESPREsperion Therapeutics, Inc.COM77,000$516.0K<0.1%+77,000NewHistory
ETNB89bio, Inc.COM92,034$533.0K<0.1%+92,034NewHistory
ZLABZai Lab LtdADR15,700$537.0K<0.1%+15,700NewHistory
XYLXylem Inc.COM6,155$538.0K<0.1%+6,155NewHistory
KBHKB HomeCOM21,077$546.0K<0.1%−541−2.5%ReducedHistory
DBTXDecibel Therapeutics, Inc.COM157,745$546.0K<0.1%+70,000+79.8%AddedHistory
ETEnergy Transfer LPCOM UT LTD PTN50,000$552.0K<0.1%−350,000−87.5%ReducedHistory
EXPEExpedia Group, Inc.Stock6,000$562.0K<0.1%00.0%UnchangedHistory
CTLTCatalent, Inc.COM7,800$564.0K<0.1%+7,800NewHistory
RVLPRVL Pharmaceuticals plcSHS276,428$580.0K<0.1%+276,428NewHistory
SVRASavara IncCOM380,830$590.0K<0.1%+187,480+97.0%AddedHistory
ADTADT Inc.COM79,596$596.0K<0.1%00.0%UnchangedHistory
MHOM/I Homes, Inc.COM17,233$624.0K<0.1%−442−2.5%ReducedHistory
IMUXImmunic, Inc.COM197,988$626.0K<0.1%−34,603−14.9%ReducedHistory
CSIICardiovascular Systems IncCOM45,403$629.0K<0.1%−5,000−9.9%ReducedHistory
YMABY-mAbs Therapeutics, Inc.COM44,000$634.0K<0.1%+44,000NewHistory
IEAInfrastructure & Energy Alternatives, Inc.COM46,872$635.0K<0.1%+46,872NewHistory
DTILPrecision Biosciences IncCOM492,517$640.0K<0.1%+52,517+11.9%AddedHistory
VKTXViking Therapeutics, Inc.COM247,000$672.0K<0.1%+247,000NewHistory
GMGeneral Motors CoCOM20,951$672.0K<0.1%+20,951NewHistory
FANGDiamondback Energy, Inc.Stock5,600$675.0K<0.1%−5,700−50.4%ReducedHistory
AVBAvalonbay Communities IncCOM3,675$677.0K<0.1%−19,337−84.0%ReducedHistory
SLBSLB LimitedStock18,894$678.0K<0.1%+18,894NewHistory
TPHTri Pointe Homes, Inc.COM44,867$678.0K<0.1%−68,304−60.4%ReducedHistory
SGENSeagen Inc.COM5,000$684.0K<0.1%+5,000NewHistory
CRCCalifornia Resources CorpCOM STOCK18,026$693.0K<0.1%+104+0.6%AddedHistory
FLNCFluence Energy, Inc.COM CL A50,000$730.0K<0.1%−50,000−50.0%ReducedHistory
AMTAmerican Tower CorpREIT3,427$736.0K<0.1%−88−2.5%ReducedHistory
DAWNDay One Biopharmaceuticals, Inc.Stock37,000$741.0K<0.1%+37,000NewHistory
GLUEMonte Rosa Therapeutics, Inc.COM91,615$748.0K<0.1%−10,032−9.9%ReducedHistory
LFGArchaea Energy Inc.COM CL A41,719$751.0K<0.1%−2,815−6.3%ReducedHistory
ANNXAnnexon, Inc.COM121,757$752.0K<0.1%−10,093−7.7%ReducedHistory
VSTMVerastem, Inc.COM889,144$756.0K<0.1%−537,839−37.7%ReducedHistory
SRRKScholar Rock Holding CorpCOM109,250$757.0K<0.1%−5,750−5.0%ReducedHistory
SYSo-Young International Inc.SPONSORED ADS1,076,000$775.0K<0.1%00.0%UnchangedHistory
NVRNVR IncCOM195$777.0K<0.1%−302−60.8%ReducedHistory
SLNSilence Therapeutics plcADS79,636$786.0K<0.1%+50,820+176.4%AddedHistory
CNTBConnect Biopharma Holdings LtdADS613,931$792.0K<0.1%−37,575−5.8%ReducedHistory
XOMExxonMobil Holdings CorpCOM9,500$829.0K<0.1%−59,786−86.3%ReducedHistory
TRGPTarga Resources Corp.COM14,151$854.0K<0.1%+14,151NewHistory
BCABBioAtla, Inc.COM112,000$862.0K<0.1%+112,000NewHistory
SPNESeaSpine Holdings CorpCOM161,019$915.0K<0.1%+8,936+5.9%AddedHistory
ACAHAtlantic Coastal Acquisition Corp.CLASS A COM93,581$919.0K<0.1%−9,368−9.1%ReducedHistory
OCULOcular Therapeutix, IncCOM223,066$926.0K<0.1%−289,820−56.5%ReducedHistory
HWELHealthwell Acquisition Corp. ICLASS A COM95,450$929.0K<0.1%−9,555−9.1%ReducedHistory
Swiftmerge Acquisition CorpG63836103CLASS A ORD SHS93,581$929.0K<0.1%−9,368−9.1%Reduced–
ROCLRoth CH Acquisition V Co.COM93,581$935.0K<0.1%−9,368−9.1%ReducedHistory
RACBResearch Alliance Corp. IICOM CL A95,450$937.0K<0.1%−9,555−9.1%ReducedHistory
ASAXAstrea Acquisition Corp.COM CL A95,450$939.0K<0.1%−9,555−9.1%ReducedHistory
NVNOenVVeno Medical CorpCOMMON STOCK149,720$940.0K<0.1%+31,607+26.8%AddedHistory
WWayfair Inc.CL A29,500$960.0K<0.1%+29,500NewHistory
ESTAEstablishment Labs Holdings Inc.COM17,926$979.0K<0.1%−11,500−39.1%ReducedHistory
OGEOGE Energy Corp.COM27,587$1.01M<0.1%+27,587NewHistory
RCUSArcus Biosciences, Inc.COM38,725$1.01M<0.1%−11,700−23.2%ReducedHistory
NRGNRG Energy, Inc.Stock26,623$1.02M<0.1%−18,700−41.3%ReducedHistory
ADPTAdaptive Biotechnologies CorpCOM143,490$1.02M<0.1%−70,000−32.8%ReducedHistory
VTYXVentyx Biosciences, Inc.COM29,400$1.03M<0.1%+29,400NewHistory
MORFMorphic Holding, Inc.COM36,534$1.03M<0.1%−3,000−7.6%ReducedHistory
HLVXHilleVax, Inc.COM60,943$1.04M<0.1%−30,000−33.0%ReducedHistory
TARSTarsus Pharmaceuticals, Inc.COM61,000$1.04M<0.1%+61,000NewHistory
JLLJones Lang Lasalle IncCOM7,024$1.06M<0.1%−181−2.5%ReducedHistory
LEN.BLennar CorpCL B18,247$1.09M<0.1%−468−2.5%ReducedHistory
EWTXEdgewise Therapeutics, Inc.COM110,750$1.09M<0.1%−14,250−11.4%ReducedHistory
KRKroger CoStock25,000$1.09M<0.1%+25,000NewHistory
ITOSiTeos Therapeutics, Inc.COM57,500$1.09M<0.1%+5,000+9.5%AddedHistory
ORICOric Pharmaceuticals, Inc.COM343,002$1.10M<0.1%−18,053−5.0%ReducedHistory
COVA Acquisition Corp.G2554Y104CL A SHS110,863$1.10M<0.1%−11,098−9.1%Reduced–
EPREpr PropertiesCOM SH BEN INT30,989$1.11M<0.1%−10,810−25.9%ReducedHistory
HLNHaleon plcADR183,814$1.12M<0.1%+183,814NewHistory
VRNAVerona Pharma plcSPONSORED ADS111,926$1.14M<0.1%+111,926NewHistory
HDHome Depot, Inc.Stock4,290$1.18M<0.1%+4,290NewHistory
Quantum Fintech Acquistin Co74767A105COMMON STOCK120,392$1.19M<0.1%−12,053−9.1%Reduced–
AAGRAfrican Agriculture Holdings Inc.COM CL A119,312$1.19M<0.1%−11,944−9.1%ReducedHistory
IDYAIDEAYA Biosciences, Inc.COM80,112$1.20M<0.1%+80,112NewHistory
ICLRIcon PLCCOM6,510$1.20M<0.1%+2,700+70.9%AddedHistory
TRISTristar Acquisition I Corp.CL A ORD SHS120,715$1.20M<0.1%−12,085−9.1%ReducedHistory
Crypto 1 Acquisition CorpG3168A102CLASS A ORD121,656$1.22M<0.1%−12,179−9.1%Reduced–
Class Acceleration Corp18274B106COM123,643$1.22M<0.1%00.0%Unchanged–
LADRLadder Capital CorpCL A137,322$1.23M<0.1%−3,521−2.5%ReducedHistory
AUTLAutolus Therapeutics plcSPON ADS584,406$1.25M<0.1%+1600.0%AddedHistory

Options (51)

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 2022
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$34.4M–
AALAmerican Airlines Group Inc.Stock$21.2M–
TWTRTwitter, Inc.COM$2.71M–
iShares Tr464288513IBOXX HI YD ETF$2.59M–
State Street Financial Select Sector SPDR ETF81369Y605ETF$2.21M–
RIGTransocean Ltd.REGISTERED SHS$2.07M–
RCLRoyal Caribbean Cruises LtdCOM$1.88M–
CCLCarnival Corp Ltd.UNIT 99/99/9999$1.72M–
DISHDISH Network CORPCL A$1.43M–
AAPLApple Inc.Stock$1.28M–
STWDStarwood Property Trust, Inc.COM$1.22M–
BBBY20230930-DK-Butterfly-1, Inc.COM$1.09M–
UALUnited Airlines Holdings, Inc.COM$976.0K–
NCLHNorwegian Cruise Line Holdings Ltd.SHS$904.0K–
EXPEExpedia Group, Inc.Stock$684.0K–
SIXSix Flags Entertainment CorpCOM$676.0K–
Safehold Inc.45031U101COM$623.0K–
LUMNLumen Technologies, Inc.Stock$621.0K–
SPRSpirit AeroSystems Holdings, Inc.COM CL A$615.0K–
MMacy's, Inc.COM$606.0K–
FFord Motor CoStock$580.0K–
SVCService Properties TrustCOM SH BEN INT$515.0K–
DALDelta Air Lines, Inc.COM NEW$382.0K–
GSKGSK plcADR$381.0K–
XRXXerox Holdings CorpCOM NEW$363.0K–
NAVINavient CorpCOM$361.0K–
TGITriumph Group IncCOM$352.0K–
WYNNWynn Resorts LtdCOM$342.0K–
TREELendingTree, Inc.COM$338.0K–
HASIHA Sustainable Infrastructure Capital, Inc.COM$314.0K–
AFRMAffirm Holdings, Inc.COM CL A$309.0K–
LAMRLamar Advertising CoREIT$280.0K–
THCTenet Healthcare CorpCOM NEW$252.0K–
SHAKShake Shack Inc.CL A$250.0K–
CPRICapri Holdings LtdSHS$247.0K–
OMFOneMain Holdings, Inc.COM$235.0K–
CPECallon Petroleum CoCOM$232.0K–
FLYYSpirit Aviation Holdings, Inc.COM$216.0K–
ADTADT Inc.COM$182.0K–
MARMarriott International IncStock$135.0K–
HLTHilton Worldwide Holdings Inc.COM$107.0K–
NGLNGL Energy Partners LPCOM UNIT REPST$98.0K–
WTIW&T Offshore IncCOM$95.0K–
VICIVici Properties Inc.COM$89.0K–
DKNGDraftKings Inc.Stock$86.0K–
HHyatt Hotels CorpCOM CL A$59.0K–
RDNRadian Group IncCOM$56.0K–
RVNCRevance Therapeutics, Inc.COM$48.0K–
BTUPeabody Energy CorpCOM$38.0K–
OXYOccidental Petroleum CorpStock$16.0K–
RRCRange Resources CorpCOM$10.0K–

Sold out since Q2 2022 (121)

Positions held at the end of Q2 2022 that are gone from this filing.

The largest 100 of 121 by value last quarter.

Positions of UBS Oconnor LLC sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
ACCAmerican Campus Communities IncCOM7,174,697$462.6M4.8%History
CTXSCitrix Systems IncCOM4,228,313$410.9M4.3%History
Sailpoint Technologies Holdings, Inc.78781P105COM5,062,053$317.3M3.3%–
CDKCDK Global, Inc.COM5,289,369$289.7M3.0%History
MNDTMandiant, Inc.Stock12,632,820$275.6M2.9%History
Coherent Inc192479103COM959,674$255.5M2.7%–
PSBPS Business Parks, Inc.COM1,236,136$231.3M2.4%History
Vonage Holdings Corp92886T201COM11,680,985$220.1M2.3%–
WBTWelbilt, Inc.COM9,109,158$216.9M2.3%History
CCMPCMC Materials, Inc.COM790,829$138.0M1.4%History
Cornerstone Building Brands, Inc.21925D109COM5,108,814$125.1M1.3%–
MTORMeritor, Inc.COM1,857,505$67.5M0.7%History
TPTXTurning Point Therapeutics, Inc.COM775,000$58.3M0.6%History
POLYPlantronics IncCOM1,062,886$42.2M0.4%History
MANTMantech International CorpCL A407,507$38.9M0.4%History
HRTXHeron Therapeutics, Inc.COM10,145,000$28.3M0.3%History
Pershing Square Tontine Hldg71531R109COM CL A1,263,939$25.2M0.3%–
Chegg, Inc163092AF6NOTE 9/0–$24.2M0.3%–
YAlleghany CorpCOM21,175$17.6M0.2%History
PRPBCC Neuberger Principal Holdings IISHS CL A1,544,477$15.4M0.2%History
GCPGCP Applied Technologies Inc.COM380,754$11.9M0.1%History
PPGPPG Industries IncStock99,060$11.3M0.1%History
LILi Auto Inc.SPONSORED ADS278,797$10.7M0.1%History
CECelanese CorpStock87,847$10.3M0.1%History
Cohn Robbins Holdings CorpG23726105COM CL A1,014,891$10.1M0.1%–
WALDWaldencast plcCLASS A ORD SHS1,011,151$9.96M0.1%History
SPGIS&P Global Inc.Stock24,000$8.09M0.1%History
Haemonetics Corp Mass405024AB6NOTE 3/0–$7.98M0.1%–
HCMHUTCHMED (China) LtdSPONSORED ADS575,174$7.27M0.1%History
Kensington Cap Acq Corp IVG52519157UNIT 99/99/9999707,806$6.80M0.1%–
BOACBluescape Opportunities Acquisition Corp.SHS640,218$6.34M0.1%History
DPCM Cap Inc23344P101COM CL A577,366$5.72M0.1%–
State Street Energy Select Sector SPDR ETF81369Y506ETF80,000$5.72M0.1%–
FDXFedEx CorpStock24,530$5.56M0.1%History
JJacobs Solutions Inc.COM42,602$5.42M0.1%History
QFINQfin Holdings, Inc.AMERICAN DEP305,186$5.28M0.1%History
E Merge Technology Acquisiti26873Y104COM CL A523,015$5.22M0.1%–
Go Acquisition Corp362019101COM523,015$5.22M0.1%–
Equity Distr Acquisition Cor29465E106COM CL A525,062$5.22M0.1%–
PMVCPMV Consumer Acquisition Corp.COM523,015$5.19M0.1%History
Silver Crest Acquisition CorG81355102CL A SHS524,020$5.17M0.1%–
AKLIAkili, Inc.CLASS A ORD SHS519,885$5.14M0.1%History
RVACRiverview Acquisition Corp.CLASS A COM510,069$5.08M0.1%History
iShares Tr464287556ISHARES BIOTECH40,000$4.71M<0.1%–
KRNLKernel Group Holdings, Inc.CL A SHS470,895$4.62M<0.1%History
JCIJohnson Controls International plcStock90,952$4.36M<0.1%History
LEALear CorpCOM NEW33,806$4.26M<0.1%History
Redball Acquisition CorpG7417R105COM CL A416,005$4.14M<0.1%–
AEA-Bridges Impact Corp.G01046104SHS CL A410,029$4.07M<0.1%–
ESRTEmpire State Realty Trust, Inc.CL A578,302$4.07M<0.1%History
Software Acquisitn Grp Inc I83407J103COM CL A406,078$4.06M<0.1%–
PROKProkidney Corp.CLASS A ORD SHS362,372$3.61M<0.1%History
UDRUDR, Inc.COM72,200$3.32M<0.1%History
CSXCSX CorpStock113,029$3.29M<0.1%History
JKSJinkoSolar Holding Co., Ltd.SPONSORED ADR45,000$3.11M<0.1%History
NVDANVIDIA CorpStock19,233$2.92M<0.1%History
ALVAutoliv IncCOM39,400$2.82M<0.1%History
ULCCFrontier Group Holdings, Inc.COM298,025$2.79M<0.1%History
iShares Tr464287515EXPANDED TECH10,000$2.70M<0.1%–
Mudrick Capital Acqu Corp II62477L107COM CL A262,798$2.65M<0.1%–
XBP Global Holdings, Inc.12520C109CLASS A COM257,374$2.60M<0.1%–
IG Acquisition Corp.449534106COM CL A262,541$2.60M<0.1%–
Global Synergy Acquisit CorpG3934J106CL A SHS260,473$2.59M<0.1%–
VSTVistra Corp.Stock111,539$2.55M<0.1%History
Ithax Acquisition CorpG49775102CL A SHS252,788$2.52M<0.1%–
IAAIAA, Inc.COM76,442$2.50M<0.1%History
Founder SpacG3661E106CLASS A ORD SHS241,829$2.43M<0.1%–
Ribbit Leap LtdG7552B105SHS CL A238,370$2.36M<0.1%–
NUVANuvasive IncCOM45,407$2.23M<0.1%History
QT Imaging Holdings, Inc.37519U109COMMON STOCK210,009$2.12M<0.1%–
INCYIncyte CorpCOM27,289$2.07M<0.1%History
JYACJiya Acquisition Corp.COM CL A205,900$2.03M<0.1%History
TROXTronox Holdings plcSHS120,376$2.02M<0.1%History
ONTOnterris, Inc.COM57,108$1.93M<0.1%History
SRRASierra Oncology, Inc.COM NEW33,735$1.85M<0.1%History
Chardan Nextech Acquisition Corp.159561109CLASS A COM180,483$1.83M<0.1%–
EDConsolidated Edison IncStock19,161$1.82M<0.1%History
VRTXVertex Pharmaceuticals IncStock5,690$1.60M<0.1%History
FSTFAST Acquisition Corp.COM CL A154,425$1.56M<0.1%History
BNLBroadstone Net Lease, Inc.COM76,056$1.56M<0.1%History
ARQTArcutis Biotherapeutics, Inc.COM66,635$1.42M<0.1%History
MTNVail Resorts IncCOM6,080$1.33M<0.1%History
Cleantech Acquisition Corp18453L107COM131,256$1.32M<0.1%–
LENLennar CorpCL A18,715$1.32M<0.1%History
SUNLSunlight Financial Holdings Inc.COMMON STOCK404,607$1.19M<0.1%History
LGIHLGI Homes, Inc.COM13,383$1.16M<0.1%History
SHF Holdings, Inc.66538L105CLASS A COM101,115$1.07M<0.1%–
ISEEIVERIC bio, Inc.COM109,750$1.06M<0.1%History
GTYGetty Realty CorpCOM39,281$1.04M<0.1%History
Pine Is Acquisition Corp722615101CL A105,013$1.04M<0.1%–
BPMCBlueprint Medicines CorpCOM20,390$1.03M<0.1%History
FFord Motor CoStock89,064$991.0K<0.1%History
SHLSShoals Technologies Group, Inc.CL A59,985$989.0K<0.1%History
BEPCBrookfield Renewable CorpCL A SUB VTG27,473$978.0K<0.1%History
LIILennox International IncCOM4,691$969.0K<0.1%History
SQMChemical & Mining Co of Chile IncSPON ADR SER B9,107$761.0K<0.1%History
RXDXPrometheus Biosciences, Inc.COM24,000$678.0K<0.1%History
ALBOAlbireo Pharma, Inc.COM30,401$604.0K<0.1%History
NTSTNETSTREIT Corp.COM30,625$578.0K<0.1%History
PHMPultegroup IncCOM12,932$512.0K<0.1%History