0001132716-11-000031.txt : 20111229
0001132716-11-000031.hdr.sgml : 20111229
20111220143912
ACCESSION NUMBER: 0001132716-11-000031
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20100331
FILED AS OF DATE: 20111220
DATE AS OF CHANGE: 20111229
EFFECTIVENESS DATE: 20111220
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: 111271782
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
ubsocq110a1.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, 2010 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH CONFIDENTIAL TREATMENT EXPIRED ON June 30, 2010.
Report for the Calendar Year or Quarter Ended: March 31, 2010
Check here if Amendment [X]; Amendment Number: 1
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: CHARLES R. MATHYS
Title: CHIEF COMPLIANCE OFFICER
Phone: (312)525-6452
Signature, Place, and Date of Signing:
/s/ CHARLES R. MATHYS, CHICAGO, IL December 20, 2011
Please disregard Amendement one. The quarter was mistakenly reported.
It should read as above "Report for the Calendar Year of Quarter Ended:
March 31, 2010." Not June 30, 2010 as originally submitted.
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: 3
Form 13F Information Table Value Total: $200647
(thousands)
List of Other Included Managers: None
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Name of Issuer Title of CUSIP Market Shares or Shr Investment Other Sole Voting Shared
Class Value Prn. or Discretion Managers
(x1000) amount Prn Opt.
BJ SVCS CO COM 55482103 106083 4957168 SH DEFINED 4957168
BRINKS HOME SEC HLDGS INC COM 109699108 54791 1287681 SH DEFINED 1287681
VARIAN INC COM 922206107 39773 768107 SH DEFINED 768107