Vault-13

UBER TECHNOLOGIES INC UBER 0 12.15.25

NOTE 12/1 · US DOMESTIC · CUSIP 90353TAJ9

68 institutional holders +3 vs Q1 2023
117,848,640117.8m shares reported held*
$3.2bnreported value*
13 new 17 added 18 reduced 10 sold out net bought ≈ $7.1m (-13.8m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $27.37.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 65Q4 22: 66Q1 23: 65Q2 23: 6868Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202265
Q4 202266
Q1 202365
Q2 202368

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 23 bought or addedQ4 22: 22 cut or sold outQ4 22Q1 23: 35 bought or addedQ1 23: 28 cut or sold outQ1 23Q2 23: 30 bought or addedQ2 23: 28 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20222322
Q1 20233528
Q2 20233028

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$10m$20m$30m$40mQ3 22 calls: $0Q3 22 puts: $32.7mQ3 22P/C —Q4 22 calls: $0Q4 22 puts: $10.5mQ4 22P/C —Q1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $0Q2 23 puts: $0Q2 23P/C —
Numbers
QuarterCallsPutsP/C
Q3 2022$0$32.7m—
Q4 2022$0$10.5m—
Q1 2023$0$0—
Q2 2023$0$0—

Biggest buyers

TWO SIGMA INVESTMENTS, LP New +28,050,000+28.1m
Wellesley Asset Management New +22,647,099+22.6m
Nuveen Asset Management, LLC New +15,000,000+15.0m
Magnetar Financial LLC Added +14,450,000+14.4m
WELLINGTON MANAGEMENT GROUP LLP Added +13,987,000+14.0m
SHENKMAN CAPITAL MANAGEMENT INC Added +7,057,000+7.1m
RWC Asset Management LLP New +7,000,000+7.0m
STATE STREET CORP Added +6,250,000+6.2m
ROYAL BANK OF CANADA Added +5,400,000+5.4m
BARCLAYS PLC Added +4,964,000+5.0m

Biggest sellers

VOYA INVESTMENT MANAGEMENT LLC Reduced -48,825,000-48.8m
CAMDEN ASSET MANAGEMENT L P /CA Reduced -28,952,000-29.0m
ADVENT CAPITAL MANAGEMENT /DE/ Reduced -19,796,000-19.8m
JANE STREET GROUP, LLC Sold out -14,419,000-14.4m
Invesco Ltd. Reduced -10,000,000-10.0m
MORGAN STANLEY Reduced -5,362,000-5.4m
Anson Funds Management LP Sold out -4,000,000-4.0m
LAZARD ASSET MANAGEMENT LLC Reduced -3,120,000-3.1m
NEW YORK STATE COMMON RETIREMENT FUND Reduced -2,929,000-2.9m
AVIVA PLC Reduced -2,800,000-2.8m

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 VOYA INVESTMENT MANAGEMENT LLC 0.23% of their portfolio ATLANTA, GA 238,035,000238.0m $218.3m $218.3m 0.23% Reduced -48.8m -48,825,000
2 BlackRock Inc. 0.00% of their portfolio New York, NY 95,213,00095.2m $86.8m $86.8m 0.00% Reduced -150.0k -150,000
3 Calamos Advisors LLC 0.35% of their portfolio NAPERVILLE, IL 74,541,00074.5m $68.4m $68.4m 0.35% Unchanged
4 LORD, ABBETT & CO. LLC 0.09% of their portfolio JERSEY CITY, NJ 57,624,00057.6m $52.7m $52.7m 0.09% Added +4.6m +4,585,000
5 LORD, ABBETT & CO. LLC 0.09% of their portfolio JERSEY CITY, NJ 57,624,00057.6m $52.7m $52.7m 0.09% Added +4.6m +4,585,000
6 FRANKLIN RESOURCES INC 0.02% of their portfolio San Mateo, CA 40,000,00040.0m $36.7m $36.7m 0.02% Unchanged
7 ADVENT CAPITAL MANAGEMENT /DE/ 0.71% of their portfolio NEW YORK, NY 38,921,00038.9m $35.7m $35.7m 0.71% Reduced -19.8m -19,796,000
8 Magnetar Financial LLC 0.70% of their portfolio EVANSTON, IL 34,730,00034.7m $31.8m $31.8m 0.70% Added +14.4m +14,450,000
9 WELLINGTON MANAGEMENT GROUP LLP 0.01% of their portfolio Boston, MA 34,499,00034.5m $31.5m $31.5m 0.01% Added +14.0m +13,987,000
10 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 29,811,00029.8m $27.3m $27.3m 0.00% Added +6.2m +6,250,000
11 BNP PARIBAS FINANCIAL MARKETS 0.05% of their portfolio PARIS, I0 29,265,00029.3m $26.7m $26.7m 0.05% Added +2.1m +2,083,000
12 MacKay Shields LLC 0.75% of their portfolio New York, NY 29,188,00029.2m $26.8m $26.8m 0.75% Unchanged
13 AVIVA PLC 0.11% of their portfolio LONDON, X0 29,000,00029.0m $26.4m $26.4m 0.11% Reduced -2.8m -2,800,000
14 TWO SIGMA INVESTMENTS, LP 0.07% of their portfolio NEW YORK, NY 28,050,00028.1m $25.6m $25.6m 0.07% New
15 Thrivent Financial for Lutherans 0.06% of their portfolio Minneapolis, MN 27,900,00027.9m $25.5m $25.5m 0.06% Reduced -1.0m -1,000,000
16 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1.18% of their portfolio Toronto, A6 23,045,00023.0m $2.1bn $2.1bn 1.18% Reduced -1.8m -1,760,000
17 Wellesley Asset Management 1.71% of their portfolio PORTSMOUTH, NH 22,647,09922.6m $21.0m $21.0m 1.71% New
18 CAMDEN ASSET MANAGEMENT L P /CA 0.63% of their portfolio Los Angeles, CA 20,000,00020.0m $18.2m $18.2m 0.63% Reduced -29.0m -28,952,000
19 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 18,022,00018.0m $16.5m $16.5m 0.00% Reduced -5.4m -5,362,000
20 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 17,350,00017.4m $15.8m $15.8m 0.00% Reduced -10.0m -10,000,000
21 SSI INVESTMENT MANAGEMENT LLC 1.10% of their portfolio Los Angeles, CA 17,129,00017.1m $15.6m $15.6m 1.10% Reduced -163.0k -163,000
22 Nuveen Asset Management, LLC 0.00% of their portfolio CHICAGO, IL 15,000,00015.0m $13.8m $13.8m 0.00% New
23 LAZARD ASSET MANAGEMENT LLC 0.02% of their portfolio NEW YORK, NY 14,007,00014.0m $12.8m $12.8m 0.02% Reduced -3.1m -3,120,000
24 PUTNAM INVESTMENTS LLC 0.02% of their portfolio BOSTON, MA 13,168,00013.2m $12.0m $12.0m 0.02% Reduced -275.0k -275,000
25 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 13,056,00013.1m $12.0m $12.0m 0.00% Added +1.2m +1,172,000
26 M&G INVESTMENT MANAGEMENT LTD 0.07% of their portfolio London, X0 12,631,00012.6m $11.5m $11.5m 0.07% Added +4.3m +4,254,000
27 SHENKMAN CAPITAL MANAGEMENT INC 0.91% of their portfolio NEW YORK, NY 12,480,00012.5m $11.6m $11.6m 0.91% Added +7.1m +7,057,000
28 FMR LLC 0.00% of their portfolio BOSTON, MA 10,085,00010.1m $9.2m $9.2m 0.00% Reduced -685.0k -685,000
29 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 9,582,0009.6m $8.7m $8.7m 0.00% Added +5.4m +5,400,000
30 Man Group plc 0.02% of their portfolio LONDON, X0 8,000,0008.0m $7.3m $7.3m 0.02% Unchanged
31 RWC Asset Management LLP 0.31% of their portfolio LONDON, X0 7,000,0007.0m $6.4m $6.4m 0.31% New
32 Nicholas Investment Partners, LP 0.42% of their portfolio RANCHO SANTA FE, CA 6,750,0006.8m $6.2m $6.2m 0.42% Unchanged
33 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 6,280,0006.3m $5.8m $5.8m 0.00% Added +5.0m +4,964,000
34 TORONTO DOMINION BANK 0.00% of their portfolio TORONTO, ONTARIO, A6 6,000,0006.0m $5.4m $5.4m 0.00% Added +4.0m +4,000,000
35 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio NEW YORK, NY 5,400,0005.4m $4.7m $4.7m 0.00% Unchanged
36 NEW YORK STATE COMMON RETIREMENT FUND 0.00% of their portfolio ALBANY, NY 4,259,0004.3m $3.9m $3.9m 0.00% Reduced -2.9m -2,929,000
37 WHITEBOX ADVISORS LLC 0.18% of their portfolio MINNEAPOLIS, MN 4,000,0004.0m $3.6m $3.6m 0.18% New
38 Liberty Mutual Group Asset Management Inc. 0.87% of their portfolio Boston, MA 3,750,0003.8m $3.4m $3.4m 0.87% Unchanged
39 DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 0.01% of their portfolio FRANKFURT AM MAIN, 2M 3,750,0003.8m $3.4m $3.4m 0.01% Unchanged
40 OAKTREE CAPITAL MANAGEMENT LP 0.04% of their portfolio LOS ANGELES, CA 2,968,0003.0m $2.7m $2.7m 0.04% New
41 Jefferies Financial Group Inc. 0.05% of their portfolio NEW YORK, NY 2,794,0002.8m $2.6m $2.6m 0.05% New
42 AGF MANAGEMENT LTD 0.01% of their portfolio TORONTO, A6 2,250,0002.2m $2.1m $2.1m 0.01% Unchanged
43 LOOMIS SAYLES & CO L P 0.13% of their portfolio BOSTON, MA 1,844,4311.8m $79.6m $79.6m 0.13% Reduced -57.0k -57,027
44 BOOTHBAY FUND MANAGEMENT, LLC 0.04% of their portfolio NEW YORK, NY 1,528,0001.5m $1.4m $1.4m 0.04% New
45 Eos Management, L.P. 0.64% of their portfolio NEW YORK, NY 1,500,0001.5m $1.4m $1.4m 0.64% Unchanged
46 BASSO CAPITAL MANAGEMENT, L.P. 1.06% of their portfolio STAMFORD, CT 1,050,0001.1m $957.6k $957.6k 1.06% Unchanged
47 Sonora Investment Management Group, LLC 0.08% of their portfolio TUCSON, AZ 1,035,0001.0m $942.7k $942.7k 0.08% Added +40.0k +40,000
48 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 900,000900.0k $825.3k $825.3k 0.00% Added +200.0k +200,000
49 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 858,000858.0k $786.8k $786.8k 0.00% Added +43.0k +43,000
50 Amundi 0.00% of their portfolio Paris, I0 580,000580.0k $530.6k $530.6k 0.00% Reduced -767.0k -767,000
51 FIRST HAWAIIAN BANK 0.01% of their portfolio HONOLULU, HI 321,000321.0k $292.8k $292.8k 0.01% Reduced -32.0k -32,000
52 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 280,000280.0k $255.4k $255.4k 0.00% Unchanged
53 SEI INVESTMENTS CO 0.00% of their portfolio OAKS, PA 250,000250.0k $228.0k $228.0k 0.00% Unchanged
54 AMERICAN CENTURY COMPANIES INC 0.00% of their portfolio KANSAS CITY, MO 206,000206.0k $188.9k $188.9k 0.00% Unchanged
55 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 191,000191.0k $174.2k $174.2k 0.00% Added +75.0k +75,000
56 EDMOND DE ROTHSCHILD HOLDING S.A. 0.00% of their portfolio CHAMBESY, V8 125,000125.0k $114.7k $114.7k 0.00% Unchanged
57 Russell Investments Group, Ltd. 0.00% of their portfolio Seattle, WA 80,00080.0k $73.4k $73.4k 0.00% New
58 Stonegate Investment Group, LLC 0.00% of their portfolio BIRMINGHAM, AL 45,00045.0k $41.0k $41.0k 0.00% Added +14.0k +14,000
59 Oaktree Fund Advisors, LLC 0.02% of their portfolio LOS ANGLES, CA 32,00032.0k $29.3k $29.3k 0.02% New
60 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 25,00025.0k $22.8k $22.8k 0.00% Unchanged
61 NINE MASTS CAPITAL Ltd 11.24% of their portfolio CENTRAL, K3 16,00016.0k $14.7m $14.7m 11.24% Unchanged
62 LAKE STREET ADVISORS GROUP, LLC 0.00% of their portfolio PORTSMOUTH, NH 16,00016.0k $15.0k $15.0k 0.00% Unchanged
63 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 10,00010.0k $9.1k $9.1k 0.00% Reduced -188.0k -188,000
64 SG Americas Securities, LLC 0.01% of their portfolio NEW YORK, NY 9,3209.3k $867.0k $867.0k 0.01% Unchanged
65 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 7,0007.0k $6.4k $6.4k 0.00% New
66 Alken Asset Management Ltd 0.03% of their portfolio LONDON, X0 1,2001.2k $1.1k $1.1k 0.03% New
67 Activest Wealth Management 0.01% of their portfolio AVENTURA, FL 209209 $10.0k $10.0k 0.01% New
68 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged