0001132716-12-000007.txt : 20120514
0001132716-12-000007.hdr.sgml : 20120514
20120514134332
ACCESSION NUMBER: 0001132716-12-000007
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20120514
DATE AS OF CHANGE: 20120514
EFFECTIVENESS DATE: 20120514
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: 12837784
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
ubsocq111a4.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, 2011 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH CONFIDENTIAL TREATMENT EXPIRED ON MARCH 31, 2012.
Report for the Calendar Year or Quarter Ended: MARCH 31, 2011
Check here if Amendment [X]; Amendment Number: 4
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 May 14, 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: 0
Form 13F Information Table Entry Total: 4
Form 13F Information Table Value Total: $27362
(x1000)
List of Other Included Managers: None
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
BARCLAYS B IPATH 06740C519 5505 100000 SH DEFIN 01 100000 0 0
QWEST COMM COM 749121109 3155 461972 SH DEFIN 01 461972 0 0
TAM SA SPADR 87484D103 7622 386127 SH DEFIN 01 386127 0 0
TENET HEAL COM 88033G100 11080 1487222 SH DEFIN 01 1487222 0 0