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| UBS OConnor LLC
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| CRD # | 108754 |
| SEC # | 801-57469 |
| CIK # | 0001132716 |
| AUM | |
| Employees | 72 (81% Investors, 11% Brokers) |
| Fees | |
| Minimum | |
| Phone | 312-525-6000 |
| Address | One North Wacker Drive, Floor 31 Chicago, IL 60606 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| AMR Corp | 0.1 | ||
| Klarna Group PLC | 0.1 | ||
| Broadcom Inc | 0.0 | ||
| Churchill Capital Corp IV | 0.0 | ||
| Mattel Inc /DE/ | 0.0 | ||
| Nvidia Corp | 0.0 | ||
| Crocs Inc | 0.0 | ||
| American Electric Power Co Inc | 0.0 | ||
| Centerpoint Energy Inc | 0.0 | ||
| Alliant Energy Corp | 0.0 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | Ninteen77 China Long/Short Alpha Strategies Master Limited | 2023-08-11 | 50.0 M | |
| HF | Nineteen77 Environmental Focus Fund Cayman Master Limited | [2020-08-28] | 161.6 M | 189.7 M |
| Filed 2022-04-07 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $50,000 · Remaining Indefinite · Duration More than one year · Commission $421,986 · Net Assets Decline to Disclose | ||||
| HF | OC 535 Offshore Fund SPC - Segregated Portfolio 5 | [2018-08-29] | 199.6 M | 379.8 M |
| Filed 2020-05-29 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Nineteen77 Global Multi Strategy Alpha IV Limited | 2016-03-30 | 69.5 M | |
| HF | Nineteen77 Global Multi Strategy Alpha Levered Master Limited | [2016-03-30] | 5.3 M | 9.9 M |
| Filed 2017-09-20 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | O'Connor Asia Pacific Equities Long/Short Master Limited | 2013-11-26 | 11.4 M | |
| HF | CL Long/Short Select Master Limited | [2013-02-27] | 60.7 M | 383.1 M |
| Filed 2012-11-20 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Nineteen77 US Equities Long/Short Select Master Limited | [2013-02-27] | 24.5 M | 113.4 M |
| Filed 2017-07-12 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Commission $340,000 · Net Assets Decline to Disclose | ||||
| HF | O'Connor Sustainability Long/Short Equity Master Limited | [2012-11-08] | 50.0 M | 51.8 M |
| Filed 2012-08-09 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | O'Connor Market Opportunities SPC for the Account of Global Equity Markets Segregated Portfolio | [2012-08-21] | 26.7 M | 8.8 M |
| Filed 2014-10-24 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 41 | 14.8 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.1 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 42 | 14.9 |
| By Discretionary | ||
| Discretionary | 42 | 14.9 |
| Non-Discretionary | 0 | 0.0 |
| Total | 42 | 14.9 |
| By Non-United States Persons | ||
| Non-United States Persons | 10.2 | |
| United States Persons | 4.7 | |
| Total | 42 | 14.9 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Kevin Williams | Director | 128 | 28 | |
| Darren Stainrod | Director | 145 | 26 | |
| Philip Dickie | Director | 111 | 23 | |
| Cassandra Powell | Director | 99 | 23 | |
| Jennifer Thomson | Director | 69 | 19 | |
| William Walmsley | Director | 118 | 16 | |
| William Ferri | Director | 37 | 7 | |
| John Fraser | Director | 41 | 5 | |
| Phillip Dickie | Director | 17 | 5 | |
| Richard Saltzman | Director | 38 | 4 | |
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001132716] | |
| 3 | [0001132716] | |
| SC 13D | [0001132716] | |
| SC 13G | [0001132716] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $15.8B |
| Serves | Institutional |
| Fund Types | Hedge Fund |
| LEI | DKTEQ75O7X3COBPLT084 |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| O'Connor EQUUS | |
| OConnor A Distinct Business Unit of UBS Asset Management AM |
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