Investment adviser · CRD 108754

UBS OCONNOR LLC

Investment adviser filing (IA)

CHICAGO, IL, United States · Form ADV filed Mar 30, 2024

Regulatory AUM: $13.8B
Client accounts: 40
Employees: 74
Advisory professionals: 58

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	39	$13,646,755,166	99.1%
Insurance companies	Fewer than 5	$121,724,799	0.9%

Filing source

Form ADV 1852135 · Mar 30, 2024 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

30 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA MASTER LIMITEDHedge Fund · Last reported Mar 30, 2024$5.32BGross asset value

Feeder funds

NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA (EU) LIMITED
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA II LIMITED
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA LIMITED
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA LLC
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA WM II LLC
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA WM LLC

Fund administrator MUFG ALTERNATIVE FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG CHICAGO, Illinois, United States

Custodian BARCLAYS BANK PLC NEW YORK, New York, United States Related to adviser: No

Custodian BARCLAYS CAPITAL INC. NEW YORK CITY, New York, United States Related to adviser: No

Custodian BARCLAYS CAPITAL SECURITIES LIMITED LONDON, United Kingdom Related to adviser: No

Custodian BOFA SECURITIES, INC. NEW YORK, New York, United States Related to adviser: No

Custodian CITIBANK (CHINA) CO., LTD. SHANGHAI BANCH SHANGHAI, China Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS LIMITED LONDON, United Kingdom Related to adviser: No

Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian MUFG FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No

Custodian SOCIETE GENERALE INTERNATIONAL LIMITED LONDON, United Kingdom Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Marketer AGENDAINVEST LUGANO, Switzerland Related to adviser: No

Marketer BANK JULIUS BAER & CO. LTD. ZURICH, Switzerland Related to adviser: No

Marketer OAK HILL FINANCIAL INC. TORONTO, Canada Related to adviser: No

Marketer STELIVEST SA 6830 CHIASSO, Switzerland Related to adviser: No

Marketer UBS AG ZURICH, Switzerland Related to adviser: Yes

Marketer UBS ASSET MANAGEMENT (AMERICAS) INC. NEW YORK, New York, United States Related to adviser: Yes

Marketer UBS ASSET MANAGEMENT (CANADA) CO TORONTO, Canada Related to adviser: Yes

Marketer UBS ASSET MANAGEMENT (JAPAN) LTD TOKYO, Japan Related to adviser: Yes

Marketer UBS FINANCIAL SERVICES INC. WEEHAWKEN, New Jersey, United States Related to adviser: Yes

Prime broker BARCLAYS BANK PLC NEW YORK, New York, United States

Prime broker BARCLAYS CAPITAL INC. NEW YORK CITY, New York, United States

Prime broker BARCLAYS CAPITAL SECURITIES LIMITED LONDON, United Kingdom

Prime broker BOFA SECURITIES, INC. NEW YORK, New York, United States

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker CITIGROUP GLOBAL MARKETS LIMITED LONDON, United Kingdom

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Prime broker SOCIETE GENERALE INTERNATIONAL LIMITED LONDON, United Kingdom

Prime broker THE BANK OF NEW YORK MELLON NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG
PCAOB 42

BARCLAYS BANK PLC
LEI G5GSEF7VJP5I7OUK5573

BARCLAYS CAPITAL INC.
LEI AC28XWWI3WIBK2824319

BARCLAYS CAPITAL SECURITIES LIMITED
LEI K9WDOH4D2PYBSLSOB484

BOFA SECURITIES, INC.
SEC 8-69787

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CITIGROUP GLOBAL MARKETS LIMITED
LEI XKZZ2JZF41MRHTR1V493

GOLDMAN SACHS INTERNATIONAL
LEI W22LROWP2IHZNBB6K528

J.P. MORGAN SECURITIES LLC
SEC 8-35008

MORGAN STANLEY & CO. LLC
SEC 8-15869

MUFG FUND SERVICES (CAYMAN) LIMITED
LEI 549300E78YO4UPWUBK86

SOCIETE GENERALE INTERNATIONAL LIMITED
LEI 0IKLU6X1B10WK7X42C15

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

UBS ASSET MANAGEMENT (AMERICAS) INC.
CRD 106838 · SEC 801-34910

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163

BOFA SECURITIES, INC.
CRD 283942 · SEC 8-69787

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-5240649620
Reported beneficial owners: 2,260
Minimum commitment: $5M
Form D file number: 021-104873
Form D file number: 021-104875
Form D file number: 021-148510
Form D file number: 021-257278
Form D file number: 021-62136

Form ADV 1852135 · Mar 30, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NINETEEN77 GLOBAL MERGER ARBITRAGE MASTER LIMITEDHedge Fund · Last reported Mar 30, 2024$3.23BGross asset value

Feeder funds

NINETEEN77 GLOBAL MERGER ARBITRAGE LIMITED
NINETEEN77 GLOBAL MERGER ARBITRAGE LLC

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG CHICAGO, Illinois, United States

Custodian BARCLAYS BANK, PLC NEW YORK, New York, United States Related to adviser: No

Custodian BARCLAYS CAPITAL SECURITIES LIMITED LONDON, United Kingdom Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS LIMITED LONDON, United Kingdom Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No