-----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, FCpPGz8E7dsMRyQ4CezOrhfHNC1ZjiFH22T2rOUu1GYewEaSrMnll+8yKL3Phmxh Q+5FTEWZ9Gq/SWbDHhd1cQ== 0001132716-06-000025.txt : 20061113 0001132716-06-000025.hdr.sgml : 20061110 20061113110333 ACCESSION NUMBER: 0001132716-06-000025 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060331 FILED AS OF DATE: 20061113 DATE AS OF CHANGE: 20061113 EFFECTIVENESS DATE: 20061113 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: 061206379 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 ubsocq106a2.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, 2006, PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON SEPTEMBER 30, 2006. Report for the Calendar Year or Quarter Ended: MARCH 31, 2006 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: SENIOR COMPLIANCE OFFICER Phone: (312)525-6452 Signature, Place, and Date of Signing: /s/ CHARLES R. MATHYS, CHICAGO, IL NOVEMBER 13, 2006 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: _7_ Form 13F Information Table Value Total: $111,324 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. ALBERTSONS INC COM 13104104 21257 828100 SH DEFINED 828100 0 0 EDUCATION MGMT CORP COM 28139T101 29798 716300 SH DEFINED 716300 0 0 GTECH HLDGS CORP COM 400518106 23151 679900 SH DEFINED 679900 0 0 IDENTIX INC COM 451906101 3912 491520 SH DEFINED 491520 0 0 MAXTOR CORP COMNEW 577729205 2739 286500 SH DEFINED 286500 0 0 MICHAELS STORES INC COM 594087108 28260 752000 SH DEFINED 752000 0 0 TRANSMONTAIGNE INC COM 893934109 2207 225000 SH DEFINED 225000 0 0
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