0001132716-13-000006.txt : 20130219
0001132716-13-000006.hdr.sgml : 20130219
20130219141935
ACCESSION NUMBER: 0001132716-13-000006
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130219
DATE AS OF CHANGE: 20130219
EFFECTIVENESS DATE: 20130219
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: 13622797
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
ubsocq412a1.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, 2012 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH CONFIDENTIAL TREATMENT EXPIRED ON FEBRUARY 19, 2013.
Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2012
Check here if Amendment [X]; Amendment Number: 1
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 19, 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: 2
Form 13F Information Table Value Total: $3193637
(x1000)
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
CLEARWIRE CLA 18538Q105 927 320884 SH DEFINED 320884 0 0
CLEARWIRE CLA 18538Q105 8302 2872753 SH DEFINED 2872753 0 0