-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HKKCnPDwjEwEf6bOs65dLVbZL+s1L77euQRWVaPLkvgLyVFnOUeIl8/gh4+kP8cc ak9CcRWuv1eZSNzGM6nLAA== 0001132716-07-000003.txt : 20070213 0001132716-07-000003.hdr.sgml : 20070213 20070213171714 ACCESSION NUMBER: 0001132716-07-000003 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 EFFECTIVENESS DATE: 20070213 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: 07611535 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 ubsocq306a1.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 SEPTEMBER 30, 2006, PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON DECEMBER 31, 2006. Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2006 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: JEFFREY B. PICKERING Title: COMPLIANCE OFFICER Phone: (312)525-5951 Signature, Place, and Date of Signing: /s/ JEFFREY B. PICKERING, CHICAGO, IL FEBRUARY 13, 2007 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: _6_ Form 13F Information Table Value Total: $43,476 List of Other Included Managers: None Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Voting Authority Name of Issuer Title of CUSIP Market Shares or Shr Investment Other Sole Shared None Class Value Prn. or Discretion Managers (x1000) amount Prn Opt. ALERIS INTL INC COM 14477103 3790 75000 SH DEFINED 75000 0 0 FREESCALE SEMICONDUCTOR INC CLB 35687M206 5702 150000 SH DEFINED 150000 0 0 HCA INC COM 404119109 21802 437000 SH DEFINED 437000 0 0 INTERMAGNETICS GEN CORP COM 458771102 1352 50000 SH DEFINED 50000 0 0 NCO GROUP INC COM 628858102 9138 348500 SH DEFINED 348500 0 0 NORFOLK SOUTHERN CORP COM 655844108 1692 38400 SH DEFINED 38400 0 0
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