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