# UBS OCONNOR LLC

UBS OCONNOR LLC of CHICAGO, IL is an SEC-registered investment adviser.

## Registration

- CRD: 108754
- Type: SEC-registered investment adviser
- SEC file number: 801-57469
- Location: ONE NORTH WACKER DRIVE, FLOOR 31, CHICAGO, IL, 60606
- Phone: 312-525-6000
- Latest filing: 2024-03-30
- Regulatory AUM: $13.8B
- Discretionary AUM: $13.6B
- Non-discretionary AUM: $121.7M
- Clients: 74
- Accounts: 40

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| [Burke Barrett](https://search.stillhousedata.com/person/209586) | GENERAL COUNSEL | MARLBOROUGH, MA |
| [Welch E Thomas](https://search.stillhousedata.com/person/586833) | CHIEF INVESTMENT OFFICER | Louisville, TN |
| [PLUCHINO FRANK SAL](https://search.stillhousedata.com/person/739225) | CHIEF COMPLIANCE OFFICER | — |
| [PRITSKER DAVID KENNETH](https://search.stillhousedata.com/person/758349) | CHIEF FINANCIAL OFFICER | — |
| [MOORE JOHN CYRIL](https://search.stillhousedata.com/person/759231) | CHIEF FINANCIAL OFFICER | — |
| [SCOBY JOSEPH FRANCIS](https://search.stillhousedata.com/person/759249) | CHIEF EXECUTIVE OFFICER; GLOBAL HEAD OF ALTERNATIVE AND QUANTITATIVE INVESTMENTS | — |
| [FERRI WILLIAM JOSEPH](https://search.stillhousedata.com/person/759250) | CHIEF EXECUTIVE OFFICER; DEPUTY HEAD OF ALTERNATIVE AND QUANTITATIVE INVESTMENTS; GENERAL COUNSEL (+2 more) | — |
| [VANEK JAMES WAYNE](https://search.stillhousedata.com/person/759251) | CHIEF OPERATING OFFICER; CHIEF TECHNOLOGY OFFICER | — |
| [HNILO JAMES MICHAEL](https://search.stillhousedata.com/person/759252) | DIRECTOR OF COMPLIANCE; GENERAL COUNSEL; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| [VAGRA NICHOLAS JAMES](https://search.stillhousedata.com/person/759253) | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER HEAD OF OCONNOR | — |
| [HARTMANN JAMES ANTHONY](https://search.stillhousedata.com/person/759254) | CHIEF COMPLIANCE OFFICER | — |
| [MATHYS CHARLES RAYMOND](https://search.stillhousedata.com/person/762634) | CHIEF COMPLIANCE OFFICER | — |
| [DUDLEY MICHAEL JOHN THORTON](https://search.stillhousedata.com/person/783538) | CHIEF INVESTMENT OFFICER, GLOBAL FX AND RATES; CHIEF INVESTMENT OFFICER, GLOBAL FZ AND RATES | — |
| [VANCK JAMES WAYNE](https://search.stillhousedata.com/person/783539) | CHIEF OPERATING OFFICER | — |
| [SCHWEIZER DANNY STEPHAN](https://search.stillhousedata.com/person/801430) | DEPUTY CHIEF EXECUTIVE OFFICER | — |
| [FITZPATRICK DAWN NORA](https://search.stillhousedata.com/person/813115) | DIRECTOR AND GLOBAL HEAD OF O'CONNOR; GLOBAL HEAD OF O'CONNOR | — |
| [DIGANGI SALVATORE](https://search.stillhousedata.com/person/814103) | CHIEF COMPLIANCE OFFICER | — |
| [HOLLENBECK ANDREW D](https://search.stillhousedata.com/person/814104) | GENERAL COUNSEL | — |
| [Harford Suni](https://search.stillhousedata.com/person/844805) | HEAD OF INVESTMENTS, UBS ASSET MANAGEMENT; PRESIDENT UBS ASSET MANAGEMENT | — |
| [RUSSELL KEVIN GARY](https://search.stillhousedata.com/person/848782) | CHIEF INVESTMENT OFFICER | — |
| [ESPOSITO MICHAEL NICHOLAS](https://search.stillhousedata.com/person/855618) | CHIEF COMPLIANCE OFFICER | — |
| [Gill Barry John](https://search.stillhousedata.com/person/862515) | UBS ASSET MANAGEMENT - HEAD OF INVESTMENTS | — |
| [TALBOT RICHARD CASEY](https://search.stillhousedata.com/person/873402) | CO-CIO, GLOBAL MULTI-STRATEGY PORTFOLIO | — |
| [HILTABRAND DAVID BLAKE](https://search.stillhousedata.com/person/873403) | GLOBAL HEAD OF O'CONNOR | — |
| [Ahkong Bernard Shinmen](https://search.stillhousedata.com/person/873404) | CIO, GLOBAL MULTI-STRATEGY PORTFOLIO; CO-CIO, GLOBAL MULTI-STRATEGY PORTFOLIO | — |


## Private funds (13)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA MASTER LIMITED | Hedge Fund | — | 2,260 | $5.3B | $5.0M |
| NINETEEN77 GLOBAL MERGER ARBITRAGE MASTER LIMITED | Hedge Fund | — | 2,709 | $3.2B | $5.0M |
| CLOVER PRIVATE CREDIT OPPORTUNITIES ORIGINATION II LP | Hedge Fund | — | 1,163 | $535.4M | $5.0M |
| CLOVER PRIVATE CREDIT OPPORTUNITIES ORIGINATION (LEVERED) II LP | Hedge Fund | — | 201 | $533.0M | $5.0M |
| NINETEEN77 CAPITAL SOLUTIONS A LP | Hedge Fund | — | 203 | $201.4M | $5.0M |
| CLOVER PRIVATE CREDIT OPPORTUNITIES SECONDARY II LP | Hedge Fund | — | 1,163 | $173.7M | $5.0M |
| NINETEEN77 WORKING CAPITAL FINANCE OPPORTUNISTIC FUND MASTER LIMITED | Hedge Fund | — | 11 | $142.3M | $100K |
| NINETEEN77 RP I LLC | Hedge Fund | — | 2 | $121.9M | $1.0M |
| CLOVER PRIVATE CREDIT OPPORTUNITIES SECONDARY (LEVERED) II LP | Hedge Fund | — | 201 | $114.3M | $5.0M |
| CLOVER PCO III ORIGINATION AGGREGATOR LP | Hedge Fund | — | 264 | $83.6M | $5.0M |
| NINETEEN77 CAPITAL SOLUTIONS LP | Hedge Fund | — | 203 | $72.1M | $5.0M |
| CLOVER PCO III SECONDARY AGGREGATOR LP | Hedge Fund | — | 264 | — | $5.0M |
| NINTEEN77 CHINA LONG/SHORT ALPHA STRATEGIES MASTER LIMITED | Hedge Fund | — | 0 | — | $5.0M |


## Fund service providers (3)

- administrator: NORTHERN TRUST HEDGE FUND SERVICES LLC — 6 funds
- administrator: MUFG FUND SERVICES (CAYMAN) LIMITED — 5 funds
- administrator: MUFG ALTERNATIVE FUND SERVICES (CAYMAN) LIMITED — 2 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/108754/brochure
- Similar advisers: https://search.stillhousedata.com/firm/108754/similar
- Related entities: https://search.stillhousedata.com/firm/108754/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/108754

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.