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