0001132716-14-000008.txt : 20140514 0001132716-14-000008.hdr.sgml : 20140514 20140514114746 ACCESSION NUMBER: 0001132716-14-000008 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20140514 DATE AS OF CHANGE: 20140514 EFFECTIVENESS DATE: 20140514 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: 14840079 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 primary_doc.xml 13F-HR/A LIVE false true false 0001132716 XXXXXXXX 09-30-2013 09-30-2013 true 2 NEW HOLDINGS true 03-31-2014 09-30-2013 Confidential Treatment Expired UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

13F HOLDINGS REPORT 028-06327 N Sal DiGangi 212-821-6206 Sal DiGangi New York NY 05-14-2014 0 4 111123 INFORMATION TABLE 2 ubsocq313a2infotable.xml LENDER P COM 52602E102 10979000 330000 SH DFND 330000 0 0 LIFE TEC COM 53217V109 93888000 1254694 SH DFND 1254694 0 0 RDA MICR SPONS 749394102 923000 60400 SH DFND 60400 0 0 SPREADTR ADR 849415203 5333000 175052 SH DFND 175052 0 0