0001132716-12-000016.txt : 20121114 0001132716-12-000016.hdr.sgml : 20121114 20121114120043 ACCESSION NUMBER: 0001132716-12-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 121202298 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 1 ubsocq312.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 Check here if Amendment [ ]; Amendment Number: 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: James Hnilo Title: General Counsel Phone: (312)525-5243 Signature, Place, and Date of Signing: /s/ James Hnilo, CHICAGO, IL November 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: 1 Form 13F Information Table Entry Total: 737 Form 13F Information Table Value Total: 8217378 (x1000) INFORMATION FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED HAS BEEN FILED SEPARATELY WITH THE COMMISSION. List of Other Included Managers: 01 028-11499 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 AES CORP COM 00130H105 1163 106000 SH CALL DEFINED 106000 0 0 AES CORP COM 00130H105 3687 336085 SH DEFINED 336085 0 0 AK STL HL COM 001547108 1200 250100 SH CALL DEFINED 250100 0 0 ABBOTT LA COM 002824100 13200 192534 SH DEFINED 192534 0 0 ACCURAY I NOTE3 004397AB1 8212 7810000 PRN DEFINED 7810000 0 0 ACHILLION COM 00448Q201 1252 120253 SH DEFINED 120253 0 0 AEGERION COM 00767E102 486 32786 SH DEFINED 32786 0 0 AETNA INC COM 00817Y108 22548 569406 SH DEFINED 569406 0 0 AFFILIATE COM 008252108 8342 67825 SH DEFINED 67825 0 0 AFFYMETRI NOTE4 00826TAH1 8723 9000000 PRN DEFINED 9000000 0 0 AIR PRODS COM 009158106 3800 45945 SH DEFINED 45945 0 0 AIRGAS IN COM 009363102 15354 186563 SH DEFINED 186563 0 0 AIRTRAN H NOTE5 00949PAD0 11964 9500000 PRN DEFINED 9500000 0 0 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DEFINED 461300 0 0 WEATHERFO REGSH H27013103 9024 711658 SH DEFINED 711658 0 0 FOSTER WH COM H27178104 2396 100000 SH CALL DEFINED 100000 0 0 GARMIN LT COM H2906T109 2087 50000 SH CALL DEFINED 50000 0 0 GARMIN LT SHS H2906T109 8765 210000 SH DEFINED 210000 0 0 NOBLE COR COM H5833N103 5367 150000 SH CALL DEFINED 150000 0 0 NOBLE COR NAMEN H5833N103 40903 1143192 SH DEFINED 1143192 0 0 TRANSOCEA COM H8817H100 2114 47100 SH CALL DEFINED 47100 0 0 TRANSOCEA REGSH H8817H100 13024 290129 SH DEFINED 290129 0 0 TYCO INTE SHS H89128104 42682 758657 SH DEFINED 758657 0 0 PACIFIC D REGSH L7257P106 8735 876152 SH DEFINED 876152 0 0 INTERXION SHS N47279109 3408 150000 SH DEFINED 150000 0 0 LYONDELLB SHS-A N53745100 5898 114177 SH DEFINED 114177 0 0 NIELSEN H COM N63218106 31222 1041412 SH DEFINED 1041412 0 0 NXP SEMIC COM N6596X109 5552 222000 SH DEFINED 222000 0 0 YANDEX N SHSCL N97284108 3244 134557 SH DEFINED 134557 0 0 COPA HOLD CLA P31076105 3030 37281 SH DEFINED 37281 0 0 TRONOX LT SHSCL Q9235V101 13364 590000 SH DEFINED 590000 0 0 AVAGO TEC SHS Y0486S104 7743 222078 SH DEFINED 222078 0 0 DIANA SHI COM Y2066G104 19 150000 SH CALL DEFINED 150000 0 0 DRYSHIPS COM Y2109Q101 15 200000 SH CALL DEFINED 200000 0 0 ABBOTT LA COM 002824100 3976 58000 SH DEFINED 01 58000 0 0 ABBOTT LA COM 002824100 22 18000 SH CALL DEFINED 01 18000 0 0 ACHILLION COM 00448Q201 531 51000 SH DEFINED 01 51000 0 0 AFFYMAX I COM 00826A109 2759 131000 SH DEFINED 01 131000 0 0 AFFYMETRI COM 00826T108 2598 600000 SH DEFINED 01 600000 0 0 ANTARES P COM 036642106 2764 634000 SH DEFINED 01 634000 0 0 ARIAD PHA COM 04033A100 1017 42000 SH DEFINED 01 42000 0 0 ARRAY BIO COM 04269X105 2790 476100 SH DEFINED 01 476100 0 0 BIOMARIN COM 09061G101 2863 71100 SH DEFINED 01 71100 0 0 BIOGEN ID COM 09062X103 5820 39000 SH DEFINED 01 39000 0 0 BRISTOL M COM 110122108 3645 108000 SH DEFINED 01 108000 0 0 BRISTOL M COM 110122108 11 23000 SH CALL DEFINED 01 23000 0 0 CIGNA COR COM 125509109 2123 45000 SH DEFINED 01 45000 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DEFINED 01 114700 0 0 XOMA CORP COM 98419J107 778 210900 SH DEFINED 01 210900 0 0 WARNER CH SHSA G94368100 3267 242000 SH DEFINED 01 242000 0 0 SYNERON M ORDSH M87245102 361 37000 SH DEFINED 01 37000 0 0