0001132716-12-000005.txt : 20120210 0001132716-12-000005.hdr.sgml : 20120210 20120210155416 ACCESSION NUMBER: 0001132716-12-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120210 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: 12592756 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 ubsocq211a.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 Check here if Amendment [X]; Amendment Number: 1 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: Charles Mathys Title: CHIEF COMPLIANCE OFFICER Phone: (312)525-6452 Signature, Place, and Date of Signing: /s/ Charles Mathys, CHICAGO, IL February 10, 2012 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: 1 Form 13F Information Table Entry Total: 880 Form 13F Information Table Value Total: 7552304 (X1000) INFORMATION FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED HAS BEEN FILED SEPARATELY WITH THE COMMISSION. List of Other Included Managers: 02 028-11499 UBS Eucalyptus Mngmt LLC NAME OF TITLE CUSIP VALUE SHRS SH PUT INVEST OT VOTING AUTHOR ISSUER OF (x OR / / MENT H SOLE S N CLASS $1000) PRN PR CALL DISCRE M H O AMT N TION GR A N AFLAC INC COM 001055102 22515 482327 SH DEFINED 01 482327 0 0 AGCO CORP COM 001084102 1249 25300 SH DEFINED 01 25300 0 0 AES CORP COM 00130H105 784 61500 SH DEFINED 01 61500 0 0 AT&T INC COM 00206R102 8405 267600 SH DEFINED 01 267600 0 0 ABITIBIBOW COMNE 003687209 7020 345832 SH DEFINED 01 345832 0 0 ACACIA RES ACACI 003881307 734 20000 SH DEFINED 01 20000 0 0 ACHILLION COM 00448Q201 4833 649615 SH DEFINED 01 649615 0 0 ACORDA THE COM 00484M106 7035 217719 SH DEFINED 01 217719 0 0 ACTIVISION COM 00507V109 5924 540000 SH CALL DEFINED 01 540000 0 0 ACTIVISION COM 00507V109 6225 532990 SH DEFINED 01 532990 0 0 AETNA INC COM 00817Y108 2875 65200 SH DEFINED 01 65200 0 0 AGNICO EAG COM 008474108 6966 110350 SH DEFINED 01 110350 0 0 AIR LEASE CLA 00912X302 20618 848841 SH 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SH PUT DEFINED 01 50000 0 0 STEEL DYNA COM 858119100 12832 789662 SH DEFINED 01 789662 0 0 STIFEL FIN COM 860630102 5202 145077 SH DEFINED 01 145077 0 0 STRATEGIC COM 86272T106 3901 550992 SH DEFINED 01 550992 0 0 STRYKER CO COM 863667101 14227 242414 SH DEFINED 01 242414 0 0 SUCCESSFAC COM 864596101 5734 195037 SH DEFINED 01 195037 0 0 SUNPOWER C DBCV4 867652AC3 532 500000 SH DEFINED 01 500000 0 0 SUNTRUST B COM 867914103 17260 669006 SH DEFINED 01 669006 0 0 SWIFT TRAN CLA 87074U101 5302 391301 SH DEFINED 01 391301 0 0 SYMANTEC C COM 871503108 5101 258667 SH DEFINED 01 258667 0 0 SYNOPSYS I COM 871607107 1082 42100 SH DEFINED 01 42100 0 0 SYNTA PHAR COM 87162T206 239 47525 SH DEFINED 01 47525 0 0 SYNTROLEUM COM 871630109 50 33907 SH DEFINED 01 33907 0 0 TECO ENERG COM 872375100 250 13220 SH DEFINED 01 13220 0 0 TAKE-TWO I COM 874054109 16 50000 SH PUT DEFINED 01 50000 0 0 TAM SA SPADR 87484D103 10155 465192 SH DEFINED 01 465192 0 0 TANGER FAC COM 875465106 7763 290000 SH DEFINED 01 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DEFINED 01 188600 0 0 UNISOURCE COM 909205106 4667 125024 SH DEFINED 01 125024 0 0 UNITED PAR CLB 911312106 4274 58600 SH DEFINED 01 58600 0 0 US AIRWAYS NOTE7 911905AC1 56816 26750000 SH DEFINED 01 26750000 0 0 UNITED STA COM 912318110 575 50000 SH PUT DEFINED 01 50000 0 0 UNITED STA COM 91232N108 10650 250000 SH CALL DEFINED 01 250000 0 0 UNITED STA UNITS 91232N108 2970 79763 SH DEFINED 01 79763 0 0 UNITED STA COM 912909108 1750 38000 SH DEFINED 01 38000 0 0 UNITED STA NOTE4 912909AE8 26235 16500000 SH DEFINED 01 16500000 0 0 UNITED TEC COM 913017109 7176 81076 SH DEFINED 01 81076 0 0 UNITED THE COM 91307C102 13179 239176 SH DEFINED 01 239176 0 0 UNITED THE NOTE0 91307CAD4 12482 8500000 SH DEFINED 01 8500000 0 0 UNITEDHEAL COM 91324P102 4952 96000 SH DEFINED 01 96000 0 0 UNIVERSAL COM 91347P105 1651 30000 SH CALL DEFINED 01 30000 0 0 UNIVERSAL CLB 913903100 1592 30900 SH DEFINED 01 30900 0 0 UNUM GROUP COM 91529Y106 16619 652248 SH DEFINED 01 652248 0 0 VALE S A ADR 91912E105 22755 712211 SH DEFINED 01 712211 0 0 VALERO ENE COM 91913Y100 8708 340571 SH DEFINED 01 340571 0 0 VALMONT IN COM 920253101 239 2480 SH DEFINED 01 2480 0 0 VALUECLICK COM 92046N102 8300 500000 SH DEFINED 01 500000 0 0 VECTREN CO COM 92240G101 1130 40551 SH DEFINED 01 40551 0 0 VECTOR GRO COM 92240M108 1161 65277 SH DEFINED 01 65277 0 0 VENTAS INC COM 92276F100 413 7827 SH DEFINED 01 7827 0 0 VERIFONE S COM 92342Y109 5565 125468 SH DEFINED 01 125468 0 0 VERIZON CO COM 92343V104 19978 536600 SH DEFINED 01 536600 0 0 VERTEX PHA COM 92532F100 4175 80300 SH DEFINED 01 80300 0 0 VIACOM INC CLB 92553P201 26488 519379 SH DEFINED 01 519379 0 0 VIMPELCOM SPONS 92719A106 1998 156550 SH DEFINED 01 156550 0 0 VIRGIN MED COM 92769L101 1107 37000 SH DEFINED 01 37000 0 0 VISA INC COM 92826C839 1472 20000 SH CALL DEFINED 01 20000 0 0 VISA INC COMCL 92826C839 22635 268627 SH DEFINED 01 268627 0 0 VITAMIN SH COM 92849E101 8750 191217 SH DEFINED 01 191217 0 0 VMWARE INC COM 928563402 4077 50000 SH CALL DEFINED 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WINTHROP R SHBEN 976391300 166 13919 SH DEFINED 01 13919 0 0 WINTRUST F COM 97650W108 5296 164588 SH DEFINED 01 164588 0 0 WISCONSIN COM 976657106 8227 262412 SH DEFINED 01 262412 0 0 WYNDHAM WO COM 98310W108 2611 77600 SH DEFINED 01 77600 0 0 XCEL ENERG COM 98389B100 4957 204000 SH DEFINED 01 204000 0 0 XUEDA ED G SPONS 98418W109 1557 194618 SH DEFINED 01 194618 0 0 YAHOO INC COM 984332106 9461 568200 SH CALL DEFINED 01 568200 0 0 YAHOO INC COM 984332106 13838 920071 SH DEFINED 01 920071 0 0 ZEBRA TECH CLA 989207105 1113 26400 SH DEFINED 01 26400 0 0 ZUMIEZ INC COM 989817101 2051 82138 SH DEFINED 01 82138 0 0 DEUTSCHE B COM D18190898 2954 50000 SH PUT DEFINED 01 50000 0 0 ALTERRA CA COM G0229R108 5733 257088 SH DEFINED 01 257088 0 0 ARCOS DORA SHSCL G0457F107 422 20000 SH DEFINED 01 20000 0 0 ASSURED GU COM G0585R106 8564 525100 SH DEFINED 01 525100 0 0 AXIS CAPIT SHS G0692U109 6452 208400 SH DEFINED 01 208400 0 0 ACCENTURE SHSCL G1151C101 3837 63500 SH DEFINED 01 63500 0 0 BUNGE LIMI 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188700 SH DEFINED 02 188700 0 0 HUMANA INC COM 444859102 3745 46500 SH DEFINED 02 46500 0 0 HUMAN GENO COM 444903108 2933 119500 SH DEFINED 02 119500 0 0 IDENIX PHA COM 45166R204 1946 389300 SH DEFINED 02 389300 0 0 ILLUMINA I COM 452327109 2608 34700 SH DEFINED 02 34700 0 0 INCYTE COR COM 45337C102 4083 215600 SH DEFINED 02 215600 0 0 INSMED INC COMPA 457669307 522 43500 SH DEFINED 02 43500 0 0 INTERMUNE COM 45884X103 1154 32200 SH DEFINED 02 32200 0 0 K V PHARMA CLA 482740206 1381 507800 SH DEFINED 02 507800 0 0 LIFE TECHN COM 53217V109 4103 78800 SH DEFINED 02 78800 0 0 MAP PHARMA COM 56509R108 3552 222400 SH DEFINED 02 222400 0 0 MEDIVATION COM 58501N101 1468 68500 SH DEFINED 02 68500 0 0 MEDTRONIC COM 585055106 3838 99600 SH DEFINED 02 99600 0 0 MYLAN INC COM 628530107 2442 99000 SH DEFINED 02 99000 0 0 NPS PHARMA COM 62936P103 1217 128800 SH DEFINED 02 128800 0 0 ONCOTHYREO COM 682324108 1878 204400 SH DEFINED 02 204400 0 0 ORASURE TE COM 68554V108 2197 257600 SH DEFINED 02 257600 0 0 OREXIGEN T COM 686164104 19 12000 SH DEFINED 02 12000 0 0 PHARMACYCL COM 716933106 5471 524000 SH DEFINED 02 524000 0 0 PHARMASSET COM 71715N106 4712 42000 SH DEFINED 02 42000 0 0 SANOFI RIGHT 80105N113 631 261800 SH DEFINED 02 261800 0 0 SEQUENOM I COMNE 817337405 2499 331000 SH DEFINED 02 331000 0 0 SHIRE PLC SPONS 82481R106 4616 49000 SH DEFINED 02 49000 0 0 SOLTA MED COM 83438K103 226 81800 SH DEFINED 02 81800 0 0 THERMO FIS COM 883556102 3638 56500 SH DEFINED 02 56500 0 0 3SBIO INC SPONS 88575Y105 3854 221100 SH DEFINED 02 221100 0 0 UROPLASTY COMNE 917277204 1162 155000 SH DEFINED 02 155000 0 0 VIVUS INC COM 928551100 2393 294000 SH DEFINED 02 294000 0 0 WATSON PHA COM 942683103 3952 57500 SH DEFINED 02 57500 0 0 WELLPOINT COM 94973V107 10012 127100 SH DEFINED 02 127100 0 0 ZIMMER HLD COM 98956P102 474 7500 SH DEFINED 02 7500 0 0 WARNER CHI SHSA G94368100 4445 184200 SH DEFINED 02 184200 0 0 SYNERON ME ORDSH M87245102 713 58800 SH DEFINED 02 58800 0 0 ARIAD PHAR COM 04033A100 1 22000 SH PUT DEFINED 02 22000 0 0 CUBIST PHA COM 229678107 85 11500 SH CALL DEFINED 02 11500 0 0 FOREST LAB COM 345838106 89 29500 SH CALL DEFINED 02 29500 0 0 HOSPIRA IN COM 441060100 5 12000 SH CALL DEFINED 02 12000 0 0 ISHARES TR COM 464287556 93 38500 SH PUT DEFINED 02 38500 0 0 MEDIVATION COM 58501N101 69 12000 SH CALL DEFINED 02 12000 0 0 ONYX PHARM COM 683399109 31 21500 SH CALL DEFINED 02 21500 0 0 OREXIGEN T COM 686164104 1 12000 SH CALL DEFINED 02 12000 0 0 OREXIGEN T COM 686164104 74 12000 SH PUT DEFINED 02 12000 0 0 PHARMACYCL COM 716933106 129 30000 SH CALL DEFINED 02 30000 0 0 PHARMASSET COM 71715N106 207 10500 SH CALL DEFINED 02 10500 0 0 PHARMASSET COM 71715N106 44 10500 SH PUT DEFINED 02 10500 0 0 QUESTCOR P COM 74835Y101 5 10500 SH CALL DEFINED 02 10500 0 0 SANOFI COM 80105N113 250 178500 SH CALL DEFINED 02 178500 0 0 SEQUENOM I COM 817337405 90 59500 SH CALL DEFINED 02 59500 0 0 VALEANT PH COM 91911K102 47 21500 SH CALL DEFINED 02 21500 0 0