0001132716-13-000001.txt : 20130214 0001132716-13-000001.hdr.sgml : 20130214 20130214104442 ACCESSION NUMBER: 0001132716-13-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 13607586 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 ubsocq412.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: DECEMBER 31, 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 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: 1 Form 13F Information Table Entry Total: 704 Form 13F Information Table Value Total: $6976048 (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 5952 556216 SH DEFINED 556216 0 0 AT&T INC COM 00206R102 6746 200131 SH DEFINED 200131 0 0 ABBOTT LA COM 002824100 1 18000 SH CALL DEFINED 01 18000 0 0 ABBOTT LA COM 002824100 4258 65000 SH DEFINED 01 65000 0 0 ACCURAY I NOTE3 004397AB1 7796 7810000 PRN DEFINED 7810000 0 0 ACHILLION COM 00448Q201 409 51000 SH DEFINED 01 51000 0 0 ACHILLION COM 00448Q201 2607 325001 SH DEFINED 325001 0 0 ADOBE SYS COM 00724F101 19852 526867 SH DEFINED 526867 0 0 ADVANCED COM 007903107 1230 512300 SH DEFINED 512300 0 0 AETNA INC COM 00817Y108 10827 233843 SH DEFINED 233843 0 0 AFFYMAX I COM 00826A109 2337 123000 SH DEFINED 01 123000 0 0 AFFYMETRI COM 00826T108 1705 538000 SH DEFINED 01 538000 0 0 AFFYMETRI NOTE4 00826TAH1 6133 7500000 PRN DEFINED 7500000 0 0 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