0001132716-11-000032.txt : 20111229
0001132716-11-000032.hdr.sgml : 20111229
20111220145835
ACCESSION NUMBER: 0001132716-11-000032
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20100630
FILED AS OF DATE: 20111220
DATE AS OF CHANGE: 20111229
EFFECTIVENESS DATE: 20111220
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: 111271843
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
ubsocq210a2.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 QUARTER ENDED
JUNE 30, 2010 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH CONFIDENTIAL TREATMENT EXPIRED ON December 31, 2010.
Report for the Calendar Year or Quarter Ended: JUNE 30, 2010
Check here if Amendment [X]; Amendment Number: 2
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: CHARLES R. MATHYS
Title: CHIEF COMPLIANCE OFFICER
Phone: (312)525-6452
Signature, Place, and Date of Signing:
/s/ CHARLES R. MATHYS, CHICAGO, IL DECEMBER 20, 2011
Please disregard Amendement Two. The quarter end was mistakenly
reported in the legend. It should have read June 30, 2010 (as
listed above) and not March 31, 2010 as originally reported.
The quarter ended wase also orginally reported incorrectly.
It should read as above "Report for the Calendar Year of Quarter
Ended:June 30, 2010." Not March 31, 2010 as originally submitted.
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: 4
Form 13F Information Table Value Total: $17431
(thousands)
List of Other Included Managers: None
Mrkt Sh or SH or Inv Sole
Name Cl CUSIP Val Prn Pr Dis Vote
APACHE CORP COM 37411105 1438 17084 SH DEFINED 17084
GLG PARTNERS INC COM 37929X107 2988 682216 SH DEFINED 682216
INTERACTIVE DATA CORP COM 45840J107 4977 149115 SH DEFINED 149115
INVENTIV HEALTH INC COM 46122E105 8028 313611 SH DEFINED 313611