0001132716-11-000032.txt : 20111229 0001132716-11-000032.hdr.sgml : 20111229 20111220145835 ACCESSION NUMBER: 0001132716-11-000032 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 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: 111271843 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 ubsocq210a2.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 QUARTER ENDED JUNE 30, 2010 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON December 31, 2010. Report for the Calendar Year or Quarter Ended: JUNE 30, 2010 Check here if Amendment [X]; Amendment Number: 2 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 Two. The quarter end was mistakenly reported in the legend. It should have read June 30, 2010 (as listed above) and not March 31, 2010 as originally reported. The quarter ended wase also orginally reported incorrectly. It should read as above "Report for the Calendar Year of Quarter Ended:June 30, 2010." Not March 31, 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: 4 Form 13F Information Table Value Total: $17431 (thousands) List of Other Included Managers: None Mrkt Sh or SH or Inv Sole Name Cl CUSIP Val Prn Pr Dis Vote APACHE CORP COM 37411105 1438 17084 SH DEFINED 17084 GLG PARTNERS INC COM 37929X107 2988 682216 SH DEFINED 682216 INTERACTIVE DATA CORP COM 45840J107 4977 149115 SH DEFINED 149115 INVENTIV HEALTH INC COM 46122E105 8028 313611 SH DEFINED 313611