-----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, KraAzfDrJoLEZxT009eaTtoJP7p0Qbswh/n/c8xAGpz37WTrjotd+B3LAczS4F2n 0t485ASLWHGmKBB5oNiHew== 0001132716-09-000044.txt : 20091112 0001132716-09-000044.hdr.sgml : 20091111 20091112164438 ACCESSION NUMBER: 0001132716-09-000044 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 091177662 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 1 ocq309.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] 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 November 12, 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: 654 Form 13F Information Table Value Total: $5222033 (thousands) INFORMATION FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED HAS BEEN FILED SEPARATELY WITH THE COMMISSION. List of Other Included Managers: NONE Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Invest Oth Voting Sh ment er Market Shares or or Discre Mana Sha Authority Name of Issuer Title of Class CUSIP Value Prn amount Pr Opt tion gers Sole red None (x$1000) AGL RES INC COM 001204106 951 26976 SH DEFINED 26976 0 0 AES CORP COM 00130H105 544 36700 SH DEFINED 36700 0 0 AMB PROPERTY CORP COM 00163T109 7939 345912 SH DEFINED 345912 0 0 AMR CORP COM 001765106 284 35700 SH DEFINED 35700 0 0 ATMI INC COM 00207R101 15972 880000 SH DEFINED 880000 0 0 ATS MED INC NOTE6.000%10/1 002083AB9 5573 5950000 SH DEFINED 5950000 0 0 ATP OIL & GAS CORP COM 00208J108 179 10000 SH DEFINED 10000 0 0 AARONS INC COM 002535201 317 12000 SH DEFINED 12000 0 0 ABBOTT LABS COM 002824100 30725 621085 SH DEFINED 621085 0 0 ACORDA THERAPEUTICS INC COM 00484M106 8395 360630 SH DEFINED 360630 0 0 ACTIVISION BLIZZARD INC COM 00507V109 18183 1467533 SH DEFINED 1467533 0 0 ACTUANT CORP CLANEW 00508X203 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