0001132716-14-000006.txt : 20140514
0001132716-14-000006.hdr.sgml : 20140514
20140514113926
ACCESSION NUMBER: 0001132716-14-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06327
FILM NUMBER: 14840046
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
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13F-HR
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0001132716
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03-31-2014
03-31-2014
UBS OCONNOR LLC
ONE NORTH WACKER DRIVE 32ND FLOOR
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-06327
N
Sal DiGangi
CCO
212-821-6206
Sal DiGangi
New York
NY
05-14-2014
0
427
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INFORMATION TABLE
2
ubsocq114infotable.xml
AGCO COR
COM
001084102
6658000
120700
SH
DFND
120700
0
0
AK STL C
NOTE5
001546AP5
40683000
26703000
PRN
DFND
26703000
0
0
ACADIA P
COM
004225108
730000
30000
SH
DFND
30000
0
0
ACADIA R
COMSH
004239109
37380000
1417000
SH
DFND
1417000
0
0
ACTUANT
CLANE
00508X203
14572000
426709
SH
DFND
426709
0
0
AIRGAS I
COM
009363102
12908000
121193
SH
DFND
121193
0
0
ALEXANDR
COM
015271109
11198000
154323
SH
DFND
154323
0
0
ALLIANT
COM
018802108
11535000
203050
SH
DFND
203050
0
0
ALLSTATE
COM
020002101
32497000
574363
SH
DFND
574363
0
0
AMEREN C
COM
023608102
639000
15500
SH
DFND
15500
0
0
AMERICAN
COM
02376R102
87218000
2383000
SH
DFND
2383000
0
0
AMERICAN
COM
024013104
24951000
739500
SH
DFND
739500
0
0
AMERICAN
COM
02504D108
3094000
220395
SH
DFND
220395
0
0
AMERICAN
COM
025537101
22222000
438650
SH
DFND
438650
0
0
AMERICAN
CLA
02665T306
36344000
2175000
SH
DFND
2175000
0
0
AMERICAN
COMNE
026874784
2342000
46840
SH
DFND
46840
0
0
AMERICAN
COM
02917T104
8990000
641250
SH
DFND
641250
0
0
AMERICAN
COM
03027X100
14556000
177800
SH
DFND
177800
0
0
AMERICAN
COM
030420103
19422000
427801
SH
DFND
427801
0
0
AMPIO PH
COM
03209T109
476000
75000
SH
DFND
75000
0
0
ANTARES
COM
036642106
770000
220000
SH
DFND
220000
0
0
APOLLO E
CLA
037604105
12801000
373853
SH
DFND
373853
0
0
APOLLO C
NOTE5
03762UAA3
1022000
1000000
PRN
DFND
1000000
0
0
APPLE IN
COM
037833100
7012000
13064
SH
DFND
13064
0
0
ARATANA
COM
03874P101
288000
15537
SH
DFND
15537
0
0
ASHFORD
COM
044102101
7290000
482150
SH
DFND
482150
0
0
ASHLAND
COM
044209104
36211000
364000
SH
DFND
364000
0
0
ATMOS EN
COM
049560105
5140000
109063
SH
DFND
109063
0
0
ATRICURE
COM
04963C209
940000
50000
SH
DFND
50000
0
0
AUTONAVI
SPONS
05330F106
5511000
275000
SH
DFND
275000
0
0
AVALONBA
COM
053484101
53185000
405000
SH
DFND
405000
0
0
AXIALL C
COM
05463D100
3514000
78233
SH
DFND
78233
0
0
BB&T COR
COM
054937107
4030000
100317
SH
DFND
100317
0
0
BANCO BR
SPADR
059460303
1879000
137480
SH
DFND
137480
0
0
BANK OF
COM
060505104
16753000
973988
SH
DFND
973988
0
0
BANKUNIT
COM
06652K103
18609000
535212
SH
DFND
535212
0
0
BEAM INC
COM
073730103
48314000
579995
SH
DFND
579995
0
0
BEAZER H
UNIT9
07556Q709
13065000
415000
SH
DFND
415000
0
0
BEST BUY
COM
086516101
320000
12102
SH
DFND
12102
0
0
BHP BILL
SPONS
088606108
42135000
621730
SH
DFND
621730
0
0
BIOMARIN
COM
09061G101
1194000
17500
SH
DFND
17500
0
0
BIOMED R
COM
09063H107
35653000
1740000
SH
DFND
1740000
0
0
BLACKSTO
COMCL
09257W100
12044000
418914
SH
DFND
418914
0
0
BLOCK H
COM
093671105
17190000
569408
SH
DFND
569408
0
0
BOSTON P
COM
101121101
36405000
317867
SH
DFND
317867
0
0
BOTTOMLI
NOTE1
101388AA4
8291000
6324000
PRN
DFND
6324000
0
0
BRIXMOR
COM
11120U105
34021000
1595000
SH
DFND
1595000
0
0
BROADSOF
NOTE1
11133BAB8
1054000
1000000
PRN
DFND
1000000
0
0
BROWN &
COM
115236101
10784000
350578
SH
DFND
350578
0
0
CBS CORP
CLB
124857202
4980000
80583
SH
DFND
80583
0
0
CMS ENER
COM
125896100
18335000
626200
SH
DFND
626200
0
0
CSX CORP
COM
126408103
16531000
570615
SH
DFND
570615
0
0
CAL DIVE
NOTE5
12802TAB7
7420000
7775000
PRN
DFND
7775000
0
0
CAMDEN P
SHBEN
133131102
31959000
474590
SH
DFND
474590
0
0
CAMECO C
COM
13321L108
1145000
50000
SH
DFND
50000
0
0
CANADIAN
COM
136635109
4486000
140000
SH
DFND
140000
0
0
CAPITALS
COM
14055X102
2639000
180866
SH
DFND
180866
0
0
CAPSTONE
COM
14067D102
314000
147503
SH
DFND
147503
0
0
CARLYLE
COMUT
14309L102
2108000
60000
SH
DFND
60000
0
0
CARMIKE
COM
143436400
2493000
83494
SH
DFND
83494
0
0
CATERPIL
COM
149123101
874000
8797
SH
DFND
8797
0
0
CEDAR RE
COMNE
150602209
7088000
1160001
SH
DFND
1160001
0
0
CHATHAM
COM
16208T102
5864000
290000
SH
DFND
290000
0
0
CHESAPEA
NOTE2
165167BW6
27351000
26311000
PRN
DFND
26311000
0
0
CHESAPEA
NOTE2
165167CA3
35864000
35500000
PRN
DFND
35500000
0
0
CHINA MO
SPONS
16952T100
1104000
50000
SH
DFND
50000
0
0
CHOICE H
COM
169905106
1467000
31900
SH
DFND
31900
0
0
CINEDIGM
COM
172406100
448000
175000
SH
DFND
175000
0
0
CITRIX S
COM
177376100
11486000
200000
SH
DFND
200000
0
0
CLAYMORE
GUGGE
18383Q739
10140000
229360
SH
DFND
229360
0
0
CLAYMORE
GUGGS
18383Q796
318000
14536
SH
DFND
14536
0
0
CLIFFS N
COM
18683K101
20127000
983707
SH
DFND
983707
0
0
COBALT I
COM
19075F106
733000
40000
SH
DFND
40000
0
0
COBALT I
NOTE2
19075FAA4
6122000
6500000
PRN
DFND
6500000
0
0
COCA COL
COM
191216100
17000
230000
SH
Call
DFND
230000
0
0
COCA COL
COM
191216100
8505000
220000
SH
DFND
220000
0
0
COLGATE
COM
194162103
31919000
492053
SH
DFND
492053
0
0
COMCAST
COM
20030N101
44000
50000
SH
Call
DFND
50000
0
0
COMCAST
CLA
20030N101
6254000
125028
SH
DFND
125028
0
0
COMMUNIT
RIGHT
203668116
303000
5006300
SH
DFND
5006300
0
0
COMPUWAR
COM
205638109
2625000
250000
SH
DFND
250000
0
0
CONSOLID
COM
209115104
14000
50000
SH
Put
DFND
50000
0
0
CONTINEN
COM
211171103
1507000
80000
SH
DFND
80000
0
0
COOPER T
COM
216831107
15556000
640150
SH
DFND
640150
0
0
COUSINS
COM
222795106
30768000
2682500
SH
DFND
2682500
0
0
COWEN GR
CLA
223622101
5502000
1247600
SH
DFND
1247600
0
0
CROWN CA
COM
228227104
23148000
313737
SH
DFND
313737
0
0
DCT INDU
COM
233153105
30850000
3915000
SH
DFND
3915000
0
0
DDR CORP
COM
23317H102
18036000
1094426
SH
DFND
1094426
0
0
DFC GLOB
COM
23324T107
20000
200000
SH
Put
DFND
200000
0
0
DFC GLOB
NOTE3
23324TAB3
16854000
19850000
PRN
DFND
19850000
0
0
DANAHER
COM
235851102
23305000
310732
SH
DFND
310732
0
0
DARLING
COM
237266101
27107000
1354020
SH
DFND
1354020
0
0
DATAWATC
COMNE
237917208
704000
25959
SH
DFND
25959
0
0
DECKERS
COM
243537107
370000
100000
SH
Call
DFND
100000
0
0
DECKERS
COM
243537107
5796000
72697
SH
DFND
72697
0
0
DERMA SC
COMPA
249827502
380000
30000
SH
DFND
30000
0
0
DEVELOPE
NOTE1
251591AX1
26855000
23180000
PRN
DFND
23180000
0
0
DIAMOND
COM
252603105
2096000
60000
SH
DFND
60000
0
0
DIAMONDR
COM
252784301
1490000
126768
SH
DFND
126768
0
0
DICKS SP
COM
253393102
12000
12700
SH
Call
DFND
12700
0
0
DICKS SP
COM
253393102
5551000
101657
SH
DFND
101657
0
0
DISNEY W
COMDI
254687106
5766000
72010
SH
DFND
72010
0
0
DISH NET
COM
25470M109
345000
50000
SH
Call
DFND
50000
0
0
DISH NET
CLA
25470M109
5189000
83411
SH
DFND
83411
0
0
DOLLAR G
COM
256677105
31950000
575885
SH
DFND
575885
0
0
DOMINION
COM
25746U109
17716000
249550
SH
DFND
249550
0
0
DOUGLAS
COM
25960P109
12428000
457927
SH
DFND
457927
0
0
DREAMWOR
CLA
26153C103
5590000
210542
SH
DFND
210542
0
0
DUKE REA
COMNE
264411505
18230000
1079958
SH
DFND
1079958
0
0
DUKE ENE
COMNE
26441C204
24396000
342550
SH
DFND
342550
0
0
DUPONT F
COM
26613Q106
4955000
205869
SH
DFND
205869
0
0
DYAX COR
COM
26746E103
1078000
120000
SH
DFND
120000
0
0
E M C CO
COM
268648102
4655000
169811
SH
DFND
169811
0
0
EP ENERG
CLA
268785102
1957000
100000
SH
DFND
100000
0
0
EXCO RES
COM
269279402
242000
43300
SH
DFND
43300
0
0
EAST WES
COM
27579R104
8446000
231390
SH
DFND
231390
0
0
EASTMAN
COM
277432100
14340000
166333
SH
DFND
166333
0
0
EBAY INC
COM
278642103
34708000
628320
SH
DFND
628320
0
0
ECHOSTAR
CLA
278768106
5031000
105782
SH
DFND
105782
0
0
EDISON I
COM
281020107
10529000
186000
SH
DFND
186000
0
0
EDUCATIO
COM
28140H104
21467000
2175000
SH
DFND
2175000
0
0
ELECTRON
COM
285512109
13971000
481579
SH
DFND
481579
0
0
EMERSON
COM
291011104
21554000
322666
SH
DFND
322666
0
0
EMERALD
COM
29101U209
2000
20000
SH
Call
DFND
20000
0
0
EMERALD
COMNE
29101U209
2522000
375230
SH
DFND
375230
0
0
ENCORE C
COM
292554102
3176000
69500
SH
DFND
69500
0
0
ENERGIZE
COM
29266R108
448000
4444
SH
DFND
4444
0
0
ENDOLOGI
NOTE2
29266SAA4
953000
1000000
PRN
DFND
1000000
0
0
EQUINIX
COMNE
29444U502
5283000
28582
SH
DFND
28582
0
0
EQUINIX
NOTE3
29444UAG1
330000
200000
PRN
DFND
200000
0
0
EQUINIX
NOTE4
29444UAH9
16331000
7210000
PRN
DFND
7210000
0
0
EQUITY L
COM
29472R108
46140000
1135061
SH
DFND
1135061
0
0
ESSEX PP
COM
297178105
19522000
114800
SH
DFND
114800
0
0
EVERCORE
CLASS
29977A105
5836000
105637
SH
DFND
105637
0
0
EXELIXIS
NOTE4
30161QAC8
10764000
12000000
PRN
DFND
12000000
0
0
EXTENDED
UNIT9
30224P200
8254000
362500
SH
DFND
362500
0
0
EXTRA SP
COM
30225T102
27432000
565500
SH
DFND
565500
0
0
FNB CORP
COM
302520101
4464000
333166
SH
DFND
333166
0
0
FACEBOOK
CLA
30303M102
8364000
138852
SH
DFND
138852
0
0
FEDERAL
SHBEN
313747206
18289000
159426
SH
DFND
159426
0
0
FIDELITY
COM
31620M106
20011000
374383
SH
DFND
374383
0
0
FIRST CA
COM
31942D107
945000
18719
SH
DFND
18719
0
0
FIRST FI
COM
32023E105
9751000
155723
SH
DFND
155723
0
0
FIRST RE
COM
33616C100
8479000
157039
SH
DFND
157039
0
0
FLAMEL T
SPONS
338488109
536000
40000
SH
DFND
40000
0
0
FLOWERS
COM
343498101
1407000
65609
SH
DFND
65609
0
0
FOOT LOC
COM
344849104
6342000
135000
SH
DFND
135000
0
0
FREEPORT
COM
35671D857
661000
20000
SH
DFND
20000
0
0
FUELCELL
COM
35952H106
124000
50000
SH
DFND
50000
0
0
GAMESTOP
CLA
36467W109
23098000
562000
SH
DFND
562000
0
0
GENCORP
SDCV4
368682AN0
20327000
10000000
SH
DFND
10000000
0
0
GENERAL
COM
369300108
2733000
106733
SH
DFND
106733
0
0
GENERAL
COM
369604103
360000
13903
SH
DFND
13903
0
0
GENERAL
COM
370023103
7975000
362500
SH
DFND
362500
0
0
GENERAL
COM
37045V100
3288000
1377710
SH
Call
DFND
1377710
0
0
GENERAL
COM
37045V100
22099000
642042
SH
DFND
642042
0
0
GLOBAL E
COM
37951D102
1184000
75000
SH
DFND
75000
0
0
GRAMERCY
COM
38489R100
2432000
471249
SH
DFND
471249
0
0
GREENBRI
NOTE3
393657AH4
682000
480000
PRN
DFND
480000
0
0
GREIF IN
CLA
397624107
8106000
154438
SH
DFND
154438
0
0
GRUPO TE
SPONA
40049J206
3283000
98608
SH
DFND
98608
0
0
HCP INC
COM
40414L109
5479000
141248
SH
DFND
141248
0
0
HAIN CEL
COM
405217100
216000
2364
SH
DFND
2364
0
0
HALCON R
COMNE
40537Q209
1407000
325000
SH
DFND
325000
0
0
HAWAIIAN
COM
419870100
2995000
117809
SH
DFND
117809
0
0
HEALTH C
PFDPE
42217K601
419000
7500
SH
DFND
7500
0
0
HERSHEY
COM
427866108
101000
100000
SH
Put
DFND
100000
0
0
HERTZ GL
COM
42805T105
46345000
1739694
SH
DFND
1739694
0
0
HIGHWOOD
COM
431284108
17111000
445475
SH
DFND
445475
0
0
HILLSHIR
COM
432589109
21238000
570000
SH
DFND
570000
0
0
HOME DEP
COM
437076102
13414000
169516
SH
DFND
169516
0
0
HOMEAWAY
COM
43739Q100
2141000
56840
SH
DFND
56840
0
0
HOSPIRA
COM
441060100
60165000
1391091
SH
DFND
1391091
0
0
HUB GROU
CLA
443320106
5240000
131043
SH
DFND
131043
0
0
HUDSON P
COM
444097109
24372000
1056423
SH
DFND
1056423
0
0
HUMANA I
COM
444859102
126422000
1121557
SH
DFND
1121557
0
0
HUNTINGT
COM
446150104
8376000
840139
SH
DFND
840139
0
0
HUNTSMAN
COM
447011107
8985000
367934
SH
DFND
367934
0
0
IBERIABA
COM
450828108
4113000
58635
SH
DFND
58635
0
0
IHS INC
CLA
451734107
30542000
251373
SH
DFND
251373
0
0
INSTALLE
COM
45780R101
1814000
130000
SH
DFND
130000
0
0
INTEGRA
NOTE1
457985AK5
1068000
1000000
PRN
DFND
1000000
0
0
INTEL CO
COM
458140100
54697000
2119199
SH
DFND
2119199
0
0
INTEL CO
SDCV2
458140AD2
1185000
1000000
SH
DFND
1000000
0
0
INTERCON
COM
45866F104
6367000
32183
SH
DFND
32183
0
0
INTL PAP
COM
460146103
5353000
116674
SH
DFND
116674
0
0
ISHARES
MSCIT
464286731
205000
14234
SH
DFND
14234
0
0
ISHARES
CORES
464287200
847000
4500
SH
DFND
4500
0
0
ISHARES
RUSSE
464287655
931000
8000
SH
DFND
8000
0
0
ISHARES
IBOXX
464288513
1557000
16500
SH
DFND
16500
0
0
ISIS PHA
COM
464330109
6000
50000
SH
Put
DFND
50000
0
0
JPMORGAN
COM
46625H100
28585000
470851
SH
DFND
470851
0
0
JARDEN C
COM
471109108
4045000
67600
SH
DFND
67600
0
0
JOHNSON
COM
478366107
12807000
270653
SH
DFND
270653
0
0
JOY GLOB
COM
481165108
21116000
364075
SH
DFND
364075
0
0
KILROY R
COM
49427F108
42705000
729000
SH
DFND
729000
0
0
KIMBERLY
COM
494368103
18038000
163612
SH
DFND
163612
0
0
KINDER M
COM
49456B101
7884000
242648
SH
DFND
242648
0
0
KRAFT FO
COM
50076Q106
36746000
655000
SH
DFND
655000
0
0
LCNB COR
COM
50181P100
692000
40000
SH
DFND
40000
0
0
LPL FINL
COM
50212V100
11198000
213142
SH
DFND
213142
0
0
LTC PPTY
COM
502175102
15896000
422428
SH
DFND
422428
0
0
LADDER C
CLA
505743104
3397000
179900
SH
DFND
179900
0
0
LANDSTAR
COM
515098101
12960000
218845
SH
DFND
218845
0
0
LAUDER E
COM
518439104
152000
150000
SH
Call
DFND
150000
0
0
LAUDER E
CLA
518439104
49987000
747420
SH
DFND
747420
0
0
LENNAR C
CLA
526057104
27288000
688750
SH
DFND
688750
0
0
LIBERTY
LBTVE
53071M880
9936000
76240
SH
DFND
76240
0
0
LIBERTY
COM
531229102
1000
15000
SH
Call
DFND
15000
0
0
LIBERTY
CLA
531229102
3454000
26418
SH
DFND
26418
0
0
LINKEDIN
COMCL
53578A108
9772000
52841
SH
DFND
52841
0
0
LULULEMO
COM
550021109
582000
100000
SH
Call
DFND
100000
0
0
LULULEMO
COM
550021109
1816000
34537
SH
DFND
34537
0
0
MFA FINL
COM
55272X102
5386000
695001
SH
DFND
695001
0
0
MGM RESO
NOTE4
55303QAE0
14582000
10000000
PRN
DFND
10000000
0
0
MAGIC SO
ORD
559166103
242000
30000
SH
DFND
30000
0
0
MARCHEX
CLB
56624R108
1685000
160312
SH
DFND
160312
0
0
MARKET V
GOLDM
57060U100
1180000
50000
SH
DFND
50000
0
0
MARKET V
RUSSI
57060U506
626000
26090
SH
DFND
26090
0
0
MARKET V
JRGOL
57061R544
229000
6333
SH
DFND
6333
0
0
MARRIOTT
COM
571903202
15000
100000
SH
Put
DFND
100000
0
0
MASTERCA
CLA
57636Q104
13718000
183637
SH
DFND
183637
0
0
MATTRESS
COM
57722W106
17639000
368795
SH
DFND
368795
0
0
MCGRAW H
COM
580645109
46181000
605261
SH
DFND
605261
0
0
MENTOR G
SDCV4
587200AK2
9993000
8000000
SH
DFND
8000000
0
0
MERCER I
COM
588056101
1172000
156333
SH
DFND
156333
0
0
MERITAGE
COM
59001A102
10897000
260205
SH
DFND
260205
0
0
MERRIMAC
NOTE4
590328AA8
7605000
7500000
PRN
DFND
7500000
0
0
MICROSOF
COM
594918104
104074000
2539000
SH
DFND
2539000
0
0
MICROCHI
SDCV2
595017AB0
51005000
27500000
SH
DFND
27500000
0
0
MICRON T
COM
595112103
44350000
1874470
SH
DFND
1874470
0
0
MICRON T
NOTE2
595112AW3
40289000
16000000
PRN
DFND
16000000
0
0
MID-AMER
COM
59522J103
47789000
700000
SH
DFND
700000
0
0
MIMEDX G
COM
602496101
613000
100000
SH
DFND
100000
0
0
MOHAWK I
COM
608190104
20736000
152492
SH
DFND
152492
0
0
MONEYGRA
COMNE
60935Y208
2648000
150000
SH
DFND
150000
0
0
MONSANTO
COM
61166W101
12000
30000
SH
Put
DFND
30000
0
0
MONSANTO
COM
61166W101
19584000
172135
SH
DFND
172135
0
0
NPS PHAR
COM
62936P103
449000
15000
SH
DFND
15000
0
0
NRG ENER
COMNE
629377508
13308000
418500
SH
DFND
418500
0
0
NANOSPHE
COM
63009F105
322000
150000
SH
DFND
150000
0
0
NATIONAL
CLA
633707104
3139000
156400
SH
DFND
156400
0
0
NATIONAL
COM
637071101
54789000
703593
SH
DFND
703593
0
0
NAVISTAR
COM
63934E108
365000
100000
SH
Put
DFND
100000
0
0
NAVISTAR
COM
63934E108
3177000
93800
SH
DFND
93800
0
0
NAVISTAR
NOTE3
63934EAL2
1019000
1000000
PRN
DFND
1000000
0
0
NEUROCRI
COM
64125C109
1556000
96671
SH
DFND
96671
0
0
NEW HOME
COM
645370107
285000
20000
SH
DFND
20000
0
0
NEWELL R
COM
651229106
10890000
364221
SH
DFND
364221
0
0
NEWS COR
CLA
65249B109
29198000
1695593
SH
DFND
1695593
0
0
NEXTERA
COM
65339F101
14532000
151979
SH
DFND
151979
0
0
NIKE INC
COM
654106103
380000
100000
SH
Put
DFND
100000
0
0
NIKE INC
CLB
654106103
13980000
189283
SH
DFND
189283
0
0
NISOURCE
COM
65473P105
6500000
182930
SH
DFND
182930
0
0
NORTHEAS
COM
664397106
26462000
581576
SH
DFND
581576
0
0
NORTHERN
COMUN
665826103
231000
9000
SH
DFND
9000
0
0
NUANCE C
NOTE2
67020YAF7
1007000
1000000
PRN
DFND
1000000
0
0
NUCOR CO
COM
670346105
27258000
539327
SH
DFND
539327
0
0
OGE ENER
COM
670837103
13960000
379750
SH
DFND
379750
0
0
OCCIDENT
COM
674599105
8092000
84921
SH
DFND
84921
0
0
OCWEN FI
COM
675746309
50000
140000
SH
Put
DFND
140000
0
0
OIL STS
COM
678026105
5916000
60000
SH
DFND
60000
0
0
OLYMPIC
COM
68162K106
2243000
78166
SH
DFND
78166
0
0
OMEGA HE
COM
681936100
7396000
220636
SH
DFND
220636
0
0
OMEROS C
COM
682143102
905000
75000
SH
DFND
75000
0
0
ONEOK IN
COM
682680103
7347000
124000
SH
DFND
124000
0
0
OWENS IL
COMNE
690768403
5310000
156948
SH
DFND
156948
0
0
PDL BIOP
COM
69329Y104
1209000
145480
SH
DFND
145480
0
0
PHH CORP
NOTE6
693320AQ6
23705000
11000000
PRN
DFND
11000000
0
0
PPL CORP
COM
69351T106
27755000
837516
SH
DFND
837516
0
0
PS BUSIN
COM
69360J107
24660000
294907
SH
DFND
294907
0
0
PVH CORP
COM
693656100
288000
50000
SH
Call
DFND
50000
0
0
PVH CORP
COM
693656100
879000
7042
SH
DFND
7042
0
0
PACWEST
COM
695263103
10675000
248189
SH
DFND
248189
0
0
PARAGON
CLANE
69913R408
364000
53200
SH
DFND
53200
0
0
PARKER H
COM
701094104
1660000
13870
SH
DFND
13870
0
0
PARKWAY
COM
70159Q104
27915000
1529602
SH
DFND
1529602
0
0
PENNEY J
COM
708160106
862000
100000
SH
DFND
100000
0
0
PEPSICO
COM
713448108
9037000
108224
SH
DFND
108224
0
0
PHILIP M
COM
718172109
15218000
185883
SH
DFND
185883
0
0
PINNACLE
COM
723456109
24885000
1050000
SH
DFND
1050000
0
0
PINNACLE
COM
72348P104
9042000
302810
SH
DFND
302810
0
0
PORTLAND
COMNE
736508847
10298000
318417
SH
DFND
318417
0
0
POST HLD
COM
737446104
5336000
96812
SH
DFND
96812
0
0
POST PPT
COM
737464107
32038000
652500
SH
DFND
652500
0
0
PROCTER
COM
742718109
10881000
135000
SH
DFND
135000
0
0
PROGENIC
COM
743187106
204000
50000
SH
DFND
50000
0
0
PROLOGIS
COM
74340W103
9711000
237832
SH
DFND
237832
0
0
QIHOO 36
ADS
74734M109
4083000
41004
SH
DFND
41004
0
0
QTS RLTY
COMCL
74736A103
10914000
435000
SH
DFND
435000
0
0
QUANTA S
COM
74762E102
4987000
135145
SH
DFND
135145
0
0
QUANTUM
NOTE4
747906AJ4
5154000
5000000
PRN
DFND
5000000
0
0
QUIKSILV
COM
74838C106
2535000
337500
SH
DFND
337500
0
0
QUINTILE
COM
74876Y101
457000
9000
SH
DFND
9000
0
0
RLJ LODG
COM
74965L101
9693000
362500
SH
DFND
362500
0
0
RALLY SO
COM
751198102
1471000
109974
SH
DFND
109974
0
0
RALPH LA
COM
751212101
175000
50000
SH
Call
DFND
50000
0
0
RALPH LA
CLA
751212101
23850000
148200
SH
DFND
148200
0
0
REDWOOD
COM
758075402
38819000
1914171
SH
DFND
1914171
0
0
REGULUS
COM
75915K101
180000
20000
SH
DFND
20000
0
0
REGIONS
COM
7591EP100
7670000
690402
SH
DFND
690402
0
0
REPUBLIC
COM
760759100
21020000
615331
SH
DFND
615331
0
0
RETAIL O
COM
76131N101
25996000
1740000
SH
DFND
1740000
0
0
REXFORD
COM
76169C100
7395000
521500
SH
DFND
521500
0
0
REYNOLDS
COM
761713106
10830000
202741
SH
DFND
202741
0
0
RINGCENT
CLA
76680R206
2896000
160000
SH
DFND
160000
0
0
RING ENE
COM
76680V108
382000
25000
SH
DFND
25000
0
0
RIO TINT
COM
767204100
32000
100000
SH
Put
DFND
100000
0
0
RITE AID
COM
767754104
1568000
250000
SH
DFND
250000
0
0
RUBICON
COM
78112T107
339000
30000
SH
DFND
30000
0
0
RYLAND G
NOTE1
783764AQ6
7161000
5000000
PRN
DFND
5000000
0
0
RYMAN HO
COM
78377T107
34063000
801113
SH
DFND
801113
0
0
SBA COMM
COM
78388J106
24000
50000
SH
Call
DFND
50000
0
0
SBA COMM
COM
78388J106
26821000
294862
SH
DFND
294862
0
0
SBA COMM
NOTE4
78388JAM8
3922000
1310000
PRN
DFND
1310000
0
0
SL GREEN
COM
78440X101
13476000
133927
SH
DFND
133927
0
0
SPDR S&P
COM
78462F103
118000
100000
SH
Call
DFND
100000
0
0
SPDR S&P
TRUNI
78462F103
1470000
7860
SH
DFND
7860
0
0
SPDR SER
COM
78464A730
134000
250000
SH
Put
DFND
250000
0
0
SVB FINL
COM
78486Q101
13288000
103180
SH
DFND
103180
0
0
SAFEGUAR
COMNE
786449207
2878000
129752
SH
DFND
129752
0
0
SANDISK
COM
80004C101
6914000
85163
SH
DFND
85163
0
0
SANDISK
NOTE1
80004CAD3
28754000
17500000
PRN
DFND
17500000
0
0
SANGAMO
COM
800677106
4158000
230000
SH
DFND
230000
0
0
SANOFI
RIGHT
80105N113
373000
1203178
SH
DFND
1203178
0
0
SCHWAB C
COM
808513105
62576000
2289656
SH
DFND
2289656
0
0
SCRIPPS
CLACO
811065101
4293000
56552
SH
DFND
56552
0
0
SEACOR H
NOTE2
811904AM3
10384000
8700000
PRN
DFND
8700000
0
0
SELECT S
COM
81369Y100
69000
200000
SH
Put
DFND
200000
0
0
SELECT S
COM
81369Y605
42000
300000
SH
Put
DFND
300000
0
0
SELECT S
COM
81369Y704
86000
200000
SH
Put
DFND
200000
0
0
SELECT S
COM
81369Y886
2000
75000
SH
Put
DFND
75000
0
0
SEMPRA E
COM
816851109
24529000
253507
SH
DFND
253507
0
0
SEQUENOM
COM
817337405
5000
50000
SH
Call
DFND
50000
0
0
SEQUENOM
NOTE5
817337AB4
5346000
6000000
PRN
DFND
6000000
0
0
SERVICE
COM
817565104
2982000
150000
SH
DFND
150000
0
0
SILGAN H
COM
827048109
7118000
143735
SH
DFND
143735
0
0
SIRIUS X
COM
82968B103
15921000
4975315
SH
DFND
4975315
0
0
SMITH A
COM
831865209
685000
14880
SH
DFND
14880
0
0
SMUCKER
COMNE
832696405
24300000
249900
SH
DFND
249900
0
0
SNYDERS-
COM
833551104
4635000
164410
SH
DFND
164410
0
0
SOLAZYME
NOTE6
83415TAB7
2265000
1500000
PRN
DFND
1500000
0
0
SOLARCIT
COM
83416T100
501000
8000
SH
DFND
8000
0
0
SOLARCIT
NOTE2
83416TAA8
16167000
12500000
PRN
DFND
12500000
0
0
SONOCO P
COM
835495102
13873000
338210
SH
DFND
338210
0
0
SONUS NE
COM
835916107
1685000
500000
SH
DFND
500000
0
0
SOUTHERN
COM
842587107
6000
138500
SH
Put
DFND
138500
0
0
SOUTHERN
COM
84265V105
2029000
69716
SH
DFND
69716
0
0
SOVRAN S
COM
84610H108
29821000
406000
SH
DFND
406000
0
0
SPIRIT A
COMCL
848574109
569000
20170
SH
DFND
20170
0
0
SPIRIT R
COM
84860W102
7053000
642360
SH
DFND
642360
0
0
SPLUNK I
COM
848637104
7149000
100000
SH
DFND
100000
0
0
SPRINT C
COMSE
85207U105
4350000
473301
SH
DFND
473301
0
0
STANDARD
COM
85375C101
9445000
1136567
SH
DFND
1136567
0
0
STANLEY
COM
854502101
23473000
288938
SH
DFND
288938
0
0
STARWOOD
COM
85571B105
13214000
560147
SH
DFND
560147
0
0
STARWOOD
COM
85590A401
46922000
589475
SH
DFND
589475
0
0
STEEL DY
COM
858119100
23592000
1326112
SH
DFND
1326112
0
0
STONE EN
NOTE1
861642AN6
614000
500000
PRN
DFND
500000
0
0
STREAMLI
COM
86323X106
454000
90200
SH
DFND
90200
0
0
SUNSHINE
COM
86782U106
730000
125000
SH
DFND
125000
0
0
SUNSTONE
COM
867892101
14332000
1043821
SH
DFND
1043821
0
0
SWIFT TR
CLA
87074U101
8249000
333292
SH
DFND
333292
0
0
SYNTA PH
COM
87162T206
34000
25000
SH
Call
DFND
25000
0
0
SYSCO CO
COM
871829107
442000
400000
SH
Call
DFND
400000
0
0
TCP CAP
COM
87238Q103
5605000
338658
SH
DFND
338658
0
0
T-MOBILE
COM
872590104
388000
70000
SH
Call
DFND
70000
0
0
T-MOBILE
COM
872590104
19941000
603725
SH
DFND
603725
0
0
TAIWAN S
SPONS
874039100
63964000
3195000
SH
DFND
3195000
0
0
TAYLOR M
CLA
87724P106
1704000
72500
SH
DFND
72500
0
0
TERRENO
COM
88146M101
6146000
325000
SH
DFND
325000
0
0
TESLA MT
NOTE1
88160RAA9
17942000
10000000
PRN
DFND
10000000
0
0
TESLA MT
NOTE0
88160RAB7
16133000
17500000
PRN
DFND
17500000
0
0
TESLA MT
NOTE1
88160RAC5
18173000
20000000
PRN
DFND
20000000
0
0
THERAPEU
COM
88338N107
1578000
250000
SH
DFND
250000
0
0
THOMPSON
UNIT9
884768300
11398000
894319
SH
DFND
894319
0
0
TIBCO SO
NOTE2
88632QAB9
933000
925000
PRN
DFND
925000
0
0
TIME WAR
COM
88732J207
475000
100000
SH
Call
DFND
100000
0
0
TITAN IN
COM
88830M102
5591000
294421
SH
DFND
294421
0
0
TOLL BRO
COM
889478103
10411000
290000
SH
DFND
290000
0
0
TRAVELCE
COM
894174101
243000
29828
SH
DFND
29828
0
0
TWENTY F
CLA
90130A101
6392000
199926
SH
DFND
199926
0
0
TWO HBRS
COM
90187B101
13120000
1280000
SH
DFND
1280000
0
0
TYSON FO
COM
902494103
22000
300000
SH
Put
DFND
300000
0
0
UCP INC
CLA
90265Y106
645000
42856
SH
DFND
42856
0
0
UMPQUA H
COM
904214103
12041000
645975
SH
DFND
645975
0
0
UNION PA
COM
907818108
94000
100000
SH
Put
DFND
100000
0
0
UNIT COR
COM
909218109
13967000
213630
SH
DFND
213630
0
0
UNITED P
CLB
911312106
1068000
10971
SH
DFND
10971
0
0
UNITED T
COM
913017109
3653000
31267
SH
DFND
31267
0
0
VEEVA SY
CLACO
922475108
1335000
50000
SH
DFND
50000
0
0
VERIFONE
COM
92342Y109
282000
8327
SH
DFND
8327
0
0
VERIZON
COM
92343V104
11672000
245369
SH
DFND
245369
0
0
VERTEX E
COM
92534K107
97000
15000
SH
DFND
15000
0
0
VIACOM I
CLB
92553P201
16837000
198101
SH
DFND
198101
0
0
VIPSHOP
NOTE1
92763WAA1
503000
500000
PRN
DFND
500000
0
0
VODAFONE
SPNSR
92857W308
7736000
210150
SH
DFND
210150
0
0
VORNADO
SHBEN
929042109
20405000
207033
SH
DFND
207033
0
0
WCI CMNT
COMPA
92923C807
3582000
181251
SH
DFND
181251
0
0
W P CARE
COM
92936U109
12932000
215278
SH
DFND
215278
0
0
WEBSTER
COM
947890109
9958000
320605
SH
DFND
320605
0
0
WELLS FA
COM
949746101
960000
19295
SH
DFND
19295
0
0
WESCO IN
DBCV6
95082PAH8
59261000
20000000
PRN
DFND
20000000
0
0
WESTAR E
COM
95709T100
16949000
482050
SH
DFND
482050
0
0
WEYERHAE
COM
962166104
258000
8800
SH
DFND
8800
0
0
WHITEWAV
COM
966244105
352000
600000
SH
Put
DFND
600000
0
0
WHITEWAV
COMCL
966244105
30635000
1073400
SH
DFND
1073400
0
0
WYNDHAM
COM
98310W108
366000
5000
SH
DFND
5000
0
0
XPO LOGI
NOTE4
983793AA8
18830000
10000000
PRN
DFND
10000000
0
0
YAHOO IN
COM
984332106
13500000
376034
SH
DFND
376034
0
0
ZEP INC
COM
98944B108
1649000
93176
SH
DFND
93176
0
0
CREDICOR
COM
G2519Y108
217000
1576
SH
DFND
1576
0
0
HERBALIF
COMUS
G4412G101
49264000
860200
SH
DFND
860200
0
0
LAZARD L
SHSA
G54050102
4532000
96236
SH
DFND
96236
0
0
LIBERTY
SHSCL
G5480U104
4816000
115775
SH
DFND
115775
0
0
NOBLE CO
SHSUS
G65431101
65616000
2004163
SH
DFND
2004163
0
0
NORDIC A
COM
G65773106
286000
29074
SH
DFND
29074
0
0
SIGNET J
SHS
G81276100
11722000
110735
SH
DFND
110735
0
0
VANTAGE
ORDSH
G93205113
684000
400000
SH
DFND
400000
0
0
GOLAR LN
SHS
G9456A100
500000
12000
SH
DFND
12000
0
0
CONSTELL
CLA
N22035104
14216000
484363
SH
DFND
484363
0
0
NIELSEN
COM
N63218106
99924000
2238944
SH
DFND
2238944
0
0
AEGEAN M
COM
Y0017S102
4000
50000
SH
Put
DFND
50000
0
0
ARDMORE
COM
Y0207T100
2660000
200000
SH
DFND
200000
0
0
DHT HOLD
SHSNE
Y2065G121
2723000
350000
SH
DFND
350000
0
0
DIANA SH
COM
Y2066G104
5384000
449074
SH
DFND
449074
0
0