-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KNaXSGtgjLSS43n5AsZU7l+Y9TkKwpo7Ari4AnJQwmPpipBcDmOuB9Yrt95qlZs2 6o6SgeiBbRvR1dqyQWD1fg== 0001132716-09-000025.txt : 20090514 0001132716-09-000025.hdr.sgml : 20090514 20090514164745 ACCESSION NUMBER: 0001132716-09-000025 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090514 EFFECTIVENESS DATE: 20090514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS OCONNOR LLC CENTRAL INDEX KEY: 0001132716 IRS NUMBER: 061569842 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 09827412 BUSINESS ADDRESS: STREET 1: ONE NORTH WACKER DRIVE 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3125256000 MAIL ADDRESS: STREET 1: ONE NORTH WACKER DRIVE 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR/A 1 ubsocq108a5.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON MARCH 31, 2008, PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MARCH 31, 2009. Report for the Calendar Year or Quarter Ended: MARCH 31, 2008 Check here if Amendment [X]; Amendment Number: 5 This Amendment (Check only one.): [ ] is a restatement. [X] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: UBS O'Connor LLC Address: One North Wacker Drive, 32nd Floor Chicago, IL 60606 13F File Number: 28-06327 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: JEFFREY B. PICKERING Title: COMPLIANCE OFFICER Phone: (312)525-5951 Signature, Place, and Date of Signing: /s/ JEFFREY B. PICKERING, CHICAGO, IL May 14, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 7 Form 13F Information Table Value Total: $163498 List of Other Included Managers: None Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Voting Authority Name of Issuer Title of CUSIP Market Shares or Shr Investment Other Sole Shared None Class Value Prn. or Discretion Managers (x1000) amount Prn Opt. BEAR STEARNS COS INC COM 073902108 393 37500 SH DEFINED 37500 0 0 JP MORGAN CHASE & CO COM 46625H100 26272 611692 SH DEFINED 611692 0 0 NYMEX HOLDINGS INC COM 62948N104 31621 348900 SH DEFINED 348900 0 0 NAVTEQ CORP COM 63936L100 29675 436401 SH DEFINED 436401 0 0 PUGET ENERGY INC NEW COM 745310102 29376 1135533 SH DEFINED 1135533 0 0 TAKE-TWO INTERACTIVE SOFTWA COM 874054109 3550 139106 SH DEFINED 139106 0 0 YAHOO INC COM 984332106 42611 1472900 SH DEFINED 1472900 0 0
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