0001132716-13-000053.txt : 20131114 0001132716-13-000053.hdr.sgml : 20131114 20131114095734 ACCESSION NUMBER: 0001132716-13-000053 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 131217235 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 1 primary_doc.xml 13F-HR LIVE false true false 0001132716 XXXXXXXX 09-30-2013 09-30-2013 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

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4779000 101608 SH DFND 101608 0 0 UIL HLDG COM 902748102 2788000 75000 SH DFND 75000 0 0 US BANCO COMNE 902973304 3658000 100000 SH DFND 100000 0 0 UNS ENER COM 903119105 8741000 187500 SH DFND 187500 0 0 U S AIRW COM 90341W108 34693000 1829825 SH DFND 1829825 0 0 UNDER AR COM 904311107 102000 400000 SH Put DFND 400000 0 0 UNITED C COM 90984P303 4773000 318170 SH DFND 318170 0 0 UNITED R COM 911363109 10582000 181546 SH DFND 181546 0 0 UNITED S COM 912909108 3423000 166222 SH DFND 166222 0 0 UNITED S NOTE4 912909AE8 1028000 1000000 PRN DFND 1000000 0 0 UNITED T NOTE1 91307CAF9 18701000 11000000 PRN DFND 11000000 0 0 VENTAS I COM 92276F100 38831000 631392 SH DFND 631392 0 0 VERISIGN SDCV3 92343EAD4 51674000 33000000 SH DFND 33000000 0 0 VERIZON COM 92343V104 6815000 146055 SH DFND 146055 0 0 VIACOM I CLB 92553P201 17299000 206976 SH DFND 206976 0 0 VIROPHAR NOTE2 928241AH1 12869000 6000000 PRN DFND 6000000 0 0 VODAFONE SPONS 92857W209 22665000 644248 SH DFND 644248 0 0 VORNADO SHBEN 929042109 5146000 61214 SH DFND 61214 0 0 WCI CMNT COMPA 92923C807 2416000 140000 SH DFND 140000 0 0 WAL-MART COM 931142103 116000 100000 SH Call DFND 100000 0 0 WAL-MART COM 931142103 41718000 564058 SH DFND 564058 0 0 WALGREEN COM 931422109 428000 200000 SH Put DFND 200000 0 0 WALTER I NOTE4 93317WAA0 5253000 5000000 PRN DFND 5000000 0 0 WASHINGT SHBEN 939653101 2246000 88889 SH DFND 88889 0 0 WEBMD HE NOTE2 94770VAF9 947000 1000000 PRN DFND 1000000 0 0 WELLS FA COM 949746101 7400000 179086 SH DFND 179086 0 0 WERNER E COM 950755108 7377000 316190 SH DFND 316190 0 0 WESCO IN DBCV6 95082PAH8 37100000 13500000 SH DFND 13500000 0 0 WESTAR E COM 95709T100 13379000 436500 SH DFND 436500 0 0 WESTERN COM 959319104 1936000 64431 SH DFND 64431 0 0 WESTPORT COMNE 960908309 1451000 60000 SH DFND 60000 0 0 WEYERHAE COM 962166104 188000 175000 SH Call DFND 175000 0 0 WHITEWAV COMCL 966244105 41226000 2064413 SH DFND 2064413 0 0 WILLIAMS COM 969904101 380000 200000 SH Put DFND 200000 0 0 WINTHROP SHBEN 976391300 474000 42500 SH DFND 42500 0 0 WRIGHT M COM 98235T107 50000 50000 SH Call DFND 50000 0 0 WRIGHT M NOTE2 98235TAC1 8580000 7000000 PRN DFND 7000000 0 0 XPO LOGI NOTE4 983793AA8 16044000 11000000 PRN DFND 11000000 0 0 YAMANA G COM 98462Y100 140000 13464 SH DFND 13464 0 0 ZIONS BA COM 989701107 4411000 160885 SH DFND 160885 0 0 ACCENTUR SHSCL G1151C101 1834000 24900 SH DFND 24900 0 0 HERBALIF COMUS G4412G101 5233000 75000 SH DFND 75000 0 0 MAIDEN H SHS G5753U112 4429000 374999 SH DFND 374999 0 0 SIGNET J SHS G81276100 2073000 28931 SH DFND 28931 0 0 WARNER C SHSA G94368100 9140000 400000 SH DFND 400000 0 0 NOBLE CO COM H5833N103 6000 25000 SH Call DFND 25000 0 0 NOBLE CO NAMEN H5833N103 45702000 1210000 SH DFND 1210000 0 0 TYCO INT SHS H89128104 14797000 423009 SH DFND 423009 0 0 INTERXIO SHS N47279109 9563000 429998 SH DFND 429998 0 0 NIELSEN COM N63218106 53794000 1475842 SH DFND 1475842 0 0 BALTIC T COM Y0553W103 367000 75000 SH DFND 75000 0 0