-----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, VF2siqpoObzDSNGzoom5wqjypDa6knHBLHcWi2lUdx9ipE6Y5WA9V6tzSa7Wpa+q VZcO9u7Dt+WxWff0EfnV0g== 0001132716-08-000013.txt : 20080514 0001132716-08-000013.hdr.sgml : 20080514 20080514162356 ACCESSION NUMBER: 0001132716-08-000013 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070331 FILED AS OF DATE: 20080514 DATE AS OF CHANGE: 20080514 EFFECTIVENESS DATE: 20080514 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: 08832126 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 ubsocq107a4.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 MARCH 31, 2007, PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MARCH 31, 2008. Report for the Calendar Year or Quarter Ended: MARCH 31, 2007 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: JEFFREY B. PICKERING Title: COMPLIANCE OFFICER Phone: (312)525-5951 Signature, Place, and Date of Signing: /s/ JEFFREY B. PICKERING, CHICAGO, IL MAY 14, 2008 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: _9_ Form 13F Information Table Value Total: $337204 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. FLORIDA ROCK INDS INC COM 341140101 33309 495000 SH DEFINED 495000 0 0 GIANT INDS INC COM 374508109 63644 841300 SH DEFINED 841300 0 0 HARRAHS ENTMT INC COM 413619107 74536 882600 SH DEFINED 882600 0 0 COMPASS BANCSHARES INC COM 20449H109 31345 455600 SH DEFINED 455600 0 0 TRIAD HOSPITALS INC COM 89579K109 31162 596400 SH DEFINED 596400 0 0 TXU CORP COM 873168108 47434 740000 SH DEFINED 740000 0 0 XM SATELLITE RADIO HLDGS IN CLA 983759101 9238 715000 SH DEFINED 715000 0 0 RADIAN GROUP INC COM 750236101 45545 829900 SH DEFINED 829900 0 0 SIERRA PAC RES NEW COM 826428104 991 57000 SH DEFINED 57000 0 0
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