0001132716-14-000011.txt : 20140815 0001132716-14-000011.hdr.sgml : 20140815 20140815120123 ACCESSION NUMBER: 0001132716-14-000011 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20140815 DATE AS OF CHANGE: 20140815 EFFECTIVENESS DATE: 20140815 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: 141045702 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 false false 0001132716 XXXXXXXX 09-30-2013 09-30-2013 true 3 NEW HOLDINGS true 06-30-2014 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 City NY 08-15-2014 0 4 14770 INFORMATION TABLE 2 ubsocq313a3infotable.xml CAPITALS COM 14055X102 2148000 180866 SH DFND 180866 0 0 COOPER T COM 216831107 1541000 50003 SH DFND 50003 0 0 HEALTH M CLA 421933102 7133000 557300 SH DFND 557300 0 0 LEAP WIR COMNE 521863308 3948000 250000 SH DFND 250000 0 0