0001132716-13-000014.txt : 20130424 0001132716-13-000014.hdr.sgml : 20130424 20130424134112 ACCESSION NUMBER: 0001132716-13-000014 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20130424 DATE AS OF CHANGE: 20130424 EFFECTIVENESS DATE: 20130424 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: 13778825 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 ubsocq212a3.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 JUNE 30, 2012 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MARCH 31, 2013. Report for the Calendar Year or Quarter Ended: JUNE 30, 2013 Check here if Amendment [X]; Amendment Number: 3 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: FRANK PLUCHINO Title: C.C.C. Phone: (212)821-6053 Signature, Place, and Date of Signing: /s/ FRANK PLUCHINO, New York, NY April 24, 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: $110757 (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 ARIBA INC COMNE 04033V203 17904 400000 SH DEFINED 400000 0 0 COOPER IND SHS G24140108 92853 1361876 SH DEFINED 1361876 0 0