0001132716-13-000005.txt : 20130214 0001132716-13-000005.hdr.sgml : 20130214 20130214105753 ACCESSION NUMBER: 0001132716-13-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 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: 13607732 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 ubsocq411a4.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 DECEMBER 31, 2011 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON DECEMBER 31, 2012. Report for the Calendar Year or Quarter Ended: DECEMBER 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: James Hnilo Title: General Counsel Phone: (312)525-5243 Signature, Place, and Date of Signing: /s/ James Hnilo, CHICAGO, IL FEBRUARY 13, 2013 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: 5 Form 13F Information Table Value Total: $371905 (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 EL PASO CO COM 28336L109 101121 3805851 SH DEFINED 3805851 0 0 GOODRICH C COM 382388106 84710 684800 SH CALL DEFINED 684800 0 0 GOODRICH C COM 382388106 123958 1002087 SH DEFINED 1002087 0 0 KINDER MOR COM 49456B101 8319 258600 SH CALL DEFINED 258600 0 0 MEDCO HEAL COM 58405U102 53797 962378 SH DEFINED 962378 0 0