0001132716-13-000005.txt : 20130214
0001132716-13-000005.hdr.sgml : 20130214
20130214105753
ACCESSION NUMBER: 0001132716-13-000005
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20130214
DATE AS OF CHANGE: 20130214
EFFECTIVENESS DATE: 20130214
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: 13607732
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
ubsocq411a4.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, 2011 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR
WHICH CONFIDENTIAL TREATMENT EXPIRED ON DECEMBER 31, 2012.
Report for the Calendar Year or Quarter Ended: DECEMBER 31, 2011
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: James Hnilo
Title: General Counsel
Phone: (312)525-5243
Signature, Place, and Date of Signing:
/s/ James Hnilo, CHICAGO, IL FEBRUARY 13, 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: 5
Form 13F Information Table Value Total: $371905
(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
EL PASO CO COM 28336L109 101121 3805851 SH DEFINED 3805851 0 0
GOODRICH C COM 382388106 84710 684800 SH CALL DEFINED 684800 0 0
GOODRICH C COM 382388106 123958 1002087 SH DEFINED 1002087 0 0
KINDER MOR COM 49456B101 8319 258600 SH CALL DEFINED 258600 0 0
MEDCO HEAL COM 58405U102 53797 962378 SH DEFINED 962378 0 0