0001132716-14-000012.txt : 20140815
0001132716-14-000012.hdr.sgml : 20140815
20140815122813
ACCESSION NUMBER: 0001132716-14-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06327
FILM NUMBER: 141045784
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
primary_doc.xml
13F-HR
LIVE
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false
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0001132716
XXXXXXXX
06-30-2014
06-30-2014
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 City
NY
08-15-2014
0
421
4626601
true
INFORMATION TABLE
2
ubsocq214infotable.xml
AGL RES
COM
001204106
209000
3799
SH
DFND
3799
0
0
AK STL C
NOTE5
001546AP5
36493000
22003000
PRN
DFND
22003000
0
0
AMC ENTM
CLACO
00165C104
2536000
101980
SH
DFND
101980
0
0
AARONS I
COMPA
002535300
236000
6611
SH
DFND
6611
0
0
ACADIA R
COMSH
004239109
3757000
133745
SH
DFND
133745
0
0
ACTIVISI
COM
00507V109
14394000
645483
SH
DFND
645483
0
0
ACTUANT
CLANE
00508X203
4530000
131041
SH
DFND
131041
0
0
AFFILIAT
COM
008252108
6895000
33569
SH
DFND
33569
0
0
AIR LEAS
CLA
00912X302
8177000
211939
SH
DFND
211939
0
0
ALLIANCE
COM
018581108
14062000
50000
SH
DFND
50000
0
0
ALLIANT
COM
018802108
14244000
234050
SH
DFND
234050
0
0
ALLISON
COM
01973R101
11418000
367128
SH
DFND
367128
0
0
ALTRIA G
COM
02209S103
166000
396500
SH
Call
DFND
396500
0
0
ALTRIA G
COM
02209S103
20195000
481516
SH
DFND
481516
0
0
AMAZON C
COM
023135106
812000
2500
SH
DFND
2500
0
0
AMBEV SA
SPONS
02319V103
2521000
358078
SH
DFND
358078
0
0
AMERICAN
COM
02376R102
51552000
1200000
SH
DFND
1200000
0
0
AMERICAN
COM
024013104
16238000
470000
SH
DFND
470000
0
0
AMERICAN
COM
02504A104
282000
14102
SH
DFND
14102
0
0
AMERICAN
COMNE
02554F300
685000
114306
SH
DFND
114306
0
0
AMERICAN
COM
02917T104
19974000
1594064
SH
DFND
1594064
0
0
AMERICAN
COM
03027X100
15520000
172481
SH
DFND
172481
0
0
AMERICAN
COM
030420103
13873000
280552
SH
DFND
280552
0
0
ANSYS IN
COM
03662Q105
2835000
37389
SH
DFND
37389
0
0
ANTARES
COM
036642106
400000
150000
SH
DFND
150000
0
0
APOLLO E
CLA
037604105
15812000
505993
SH
DFND
505993
0
0
APOLLO I
COM
03761U106
5496000
638362
SH
DFND
638362
0
0
APOLLO C
NOTE5
03762UAA3
1059000
1000000
PRN
DFND
1000000
0
0
APPLE IN
COM
037833100
19978000
214976
SH
DFND
214976
0
0
ARATANA
COM
03874P101
1246000
79800
SH
DFND
79800
0
0
ARUBA NE
COM
043176106
1752000
100000
SH
DFND
100000
0
0
ASHFORD
COM
044102101
2576000
150113
SH
DFND
150113
0
0
ASHLAND
COM
044209104
32549000
299325
SH
DFND
299325
0
0
ASSOCIAT
COM
045604105
339000
18833
SH
DFND
18833
0
0
ASTRAZEN
SPONS
046353108
6569000
88398
SH
DFND
88398
0
0
ATRICURE
COM
04963C209
735000
40000
SH
DFND
40000
0
0
AUTOZONE
COM
053332102
30436000
56758
SH
DFND
56758
0
0
AUXILIUM
NOTE1
05334DAA5
10827000
10000000
PRN
DFND
10000000
0
0
AVALONBA
COM
053484101
8391000
59010
SH
DFND
59010
0
0
AVIV REI
COM
05381L101
361000
12802
SH
DFND
12802
0
0
BALLY TE
COM
05874B107
17460000
265677
SH
DFND
265677
0
0
BANCO BR
SPADR
059460303
797000
54880
SH
DFND
54880
0
0
BANK OF
COM
060505104
22763000
1481006
SH
DFND
1481006
0
0
BANK HAW
COM
062540109
300000
5114
SH
DFND
5114
0
0
BANKUNIT
COM
06652K103
8011000
239263
SH
DFND
239263
0
0
BEAZER H
UNIT9
07556Q709
8583000
265000
SH
DFND
265000
0
0
BED BATH
COM
075896100
4661000
81226
SH
DFND
81226
0
0
BHP BILL
COM
088606108
11000
100000
SH
Call
DFND
100000
0
0
BHP BILL
SPONS
088606108
24782000
362050
SH
DFND
362050
0
0
BIOMED R
COM
09063H107
8084000
370302
SH
DFND
370302
0
0
BOSTON P
COM
101121101
4727000
40000
SH
DFND
40000
0
0
BOTTOMLI
NOTE1
101388AA4
11183000
9500000
PRN
DFND
9500000
0
0
BRIXMOR
COM
11120U105
9731000
424000
SH
DFND
424000
0
0
BROADSOF
NOTE1
11133BAB8
1022000
1000000
PRN
DFND
1000000
0
0
CMS ENER
COM
125896100
14722000
472622
SH
DFND
472622
0
0
CSX CORP
COM
126408103
33000
300000
SH
Put
DFND
300000
0
0
CSX CORP
COM
126408103
30003000
973796
SH
DFND
973796
0
0
CADENCE
COM
127387108
23178000
1325200
SH
DFND
1325200
0
0
CAL DIVE
NOTE5
12802TAB7
2465000
2960000
PRN
DFND
2960000
0
0
CALPINE
COMNE
131347304
13089000
549715
SH
DFND
549715
0
0
CAMDEN P
SHBEN
133131102
2806000
39432
SH
DFND
39432
0
0
CAMECO C
COM
13321L108
8582000
437645
SH
DFND
437645
0
0
CAMERON
COM
13342B105
2697000
39836
SH
DFND
39836
0
0
CANADIAN
COM
136635109
7588000
242727
SH
DFND
242727
0
0
CAPSTONE
COM
14067D102
1132000
750000
SH
DFND
750000
0
0
CEDAR RE
COMNE
150602209
2125000
340000
SH
DFND
340000
0
0
CEMEX SA
SPONA
151290889
1476000
111585
SH
DFND
111585
0
0
CERULEAN
COM
15708Q105
636000
109650
SH
DFND
109650
0
0
CHARTER
CLANE
16117M305
4942000
31206
SH
DFND
31206
0
0
CHESAPEA
NOTE2
165167BW6
24395000
23100000
PRN
DFND
23100000
0
0
CHESAPEA
NOTE2
165167CA3
46209000
44200000
PRN
DFND
44200000
0
0
CHESAPEA
SHBEN
165240102
750000
24815
SH
DFND
24815
0
0
CINEDIGM
COM
172406100
436000
175000
SH
DFND
175000
0
0
CITRIX S
COM
177376100
42000
50000
SH
Call
DFND
50000
0
0
CITRIX S
COM
177376100
26756000
427758
SH
DFND
427758
0
0
CITY NAT
COM
178566105
5117000
67539
SH
DFND
67539
0
0
CIVEO CO
COM
178787107
1927000
76972
SH
DFND
76972
0
0
CLAYMORE
GUGGE
18383Q739
13119000
294338
SH
DFND
294338
0
0
CLIFFS N
COM
18683K101
4802000
319043
SH
DFND
319043
0
0
CLOROX C
COM
189054109
11000
45000
SH
Call
DFND
45000
0
0
COBALT I
COM
19075F106
1101000
60000
SH
DFND
60000
0
0
COBALT I
NOTE2
19075FAA4
30787000
33250000
PRN
DFND
33250000
0
0
COCA COL
COM
191216100
17000
30000
SH
Call
DFND
30000
0
0
COCA COL
COM
191216100
39772000
938896
SH
DFND
938896
0
0
COCA COL
COM
19122T109
38311000
801817
SH
DFND
801817
0
0
COLGATE
COM
194162103
25745000
377599
SH
DFND
377599
0
0
COMCAST
CLA
20030N101
5089000
94800
SH
DFND
94800
0
0
COMMERCI
COM
201723103
2989000
172670
SH
DFND
172670
0
0
COMMUNIT
RIGHT
203668116
335000
5006300
SH
DFND
5006300
0
0
COMPANHI
SPNAD
20440T201
1686000
36393
SH
DFND
36393
0
0
COMPUWAR
COM
205638109
2498000
250000
SH
DFND
250000
0
0
CONAGRA
COM
205887102
228000
7674
SH
DFND
7674
0
0
CONCUR T
COM
206708109
1576000
16882
SH
DFND
16882
0
0
CONCUR T
NOTE0
206708AC3
1682000
1500000
PRN
DFND
1500000
0
0
CONSTELL
COM
21036P108
36000
75000
SH
Put
DFND
75000
0
0
COOPER T
COM
216831107
17345000
578151
SH
DFND
578151
0
0
CORIUM I
COM
21887L107
383000
49303
SH
DFND
49303
0
0
COSTAR G
COM
22160N109
2905000
18364
SH
DFND
18364
0
0
COUSINS
COM
222795106
5354000
430000
SH
DFND
430000
0
0
CRANE CO
COM
224399105
7440000
100056
SH
DFND
100056
0
0
CROWN CA
COM
228227104
4678000
62990
SH
DFND
62990
0
0
CUBESMAR
COM
229663109
622000
33958
SH
DFND
33958
0
0
CUBIST P
COM
229678107
2960000
42400
SH
DFND
42400
0
0
CURTISS
COM
231561101
4119000
62822
SH
DFND
62822
0
0
DCT INDU
COM
233153105
1381000
168236
SH
DFND
168236
0
0
DDR CORP
COM
23317H102
6533000
370579
SH
DFND
370579
0
0
DTE ENER
COM
233331107
23529000
302153
SH
DFND
302153
0
0
DANAHER
COM
235851102
25137000
319277
SH
DFND
319277
0
0
DARLING
COM
237266101
37958000
1816186
SH
DFND
1816186
0
0
DEAN FOO
COMNE
242370203
10041000
570813
SH
DFND
570813
0
0
DEVELOPE
NOTE1
251591AX1
30157000
25180000
PRN
DFND
25180000
0
0
DIAMOND
COM
252603105
2996000
106252
SH
DFND
106252
0
0
DICKS SP
COM
253393102
11225000
241078
SH
DFND
241078
0
0
DISH NET
CLA
25470M109
8449000
129819
SH
DFND
129819
0
0
DOLLAR G
COM
256677105
72000
35000
SH
Call
DFND
35000
0
0
DR PEPPE
COM
26138E109
26253000
448157
SH
DFND
448157
0
0
DU PONT
COM
263534109
30000
50000
SH
Call
DFND
50000
0
0
DUKE REA
COMNE
264411505
1281000
70540
SH
DFND
70540
0
0
EAST WES
COM
27579R104
6667000
190553
SH
DFND
190553
0
0
EASTMAN
COM
277432100
19186000
219643
SH
DFND
219643
0
0
EBAY INC
COM
278642103
53737000
1073442
SH
DFND
1073442
0
0
ECHOSTAR
CLA
278768106
2400000
45328
SH
DFND
45328
0
0
EDISON I
COM
281020107
14635000
251843
SH
DFND
251843
0
0
EDUCATIO
COM
28140H104
8593000
800110
SH
DFND
800110
0
0
EMERSON
COM
291011104
16762000
252593
SH
DFND
252593
0
0
EMERALD
COMNE
29101U209
1912000
250000
SH
DFND
250000
0
0
ENDOLOGI
NOTE2
29266SAA4
1001000
1000000
PRN
DFND
1000000
0
0
EQUINIX
NOTE3
29444UAG1
380000
200000
PRN
DFND
200000
0
0
EQUITY L
COM
29472R108
5294000
119891
SH
DFND
119891
0
0
EQUITY R
SHBEN
29476L107
2064000
32766
SH
DFND
32766
0
0
EXELON C
COM
30161N101
24879000
682000
SH
DFND
682000
0
0
EXELIXIS
NOTE4
30161QAC8
16792000
19741000
PRN
DFND
19741000
0
0
EXELIS I
COM
30162A108
3630000
213800
SH
DFND
213800
0
0
EXTRA SP
COM
30225T102
3826000
71841
SH
DFND
71841
0
0
F M C CO
COMNE
302491303
21384000
300377
SH
DFND
300377
0
0
FACEBOOK
CLA
30303M102
1009000
15000
SH
DFND
15000
0
0
FASTENAL
COM
311900104
3000
13000
SH
Call
DFND
13000
0
0
F5 NETWO
COM
315616102
8271000
74216
SH
DFND
74216
0
0
FIFTH TH
COM
316773100
10328000
483757
SH
DFND
483757
0
0
FIRST CA
COM
31942D107
1059000
18393
SH
DFND
18393
0
0
FIRST IN
COMCL
32055Y201
5283000
194380
SH
DFND
194380
0
0
FIRST MI
COM
320867104
830000
48729
SH
DFND
48729
0
0
FIRSTMER
COM
337915102
14419000
730088
SH
DFND
730088
0
0
FIRSTENE
COM
337932107
30357000
874341
SH
DFND
874341
0
0
FLOWSERV
COM
34354P105
5986000
80511
SH
DFND
80511
0
0
FOOT LOC
COM
344849104
7938000
156512
SH
DFND
156512
0
0
FOREST L
COM
345838106
85330000
861918
SH
DFND
861918
0
0
FREEPORT
COM
35671D857
1957000
53624
SH
DFND
53624
0
0
FUSION-I
COM
36112J107
3390000
300000
SH
DFND
300000
0
0
GALLAGHE
COM
363576109
19248000
413038
SH
DFND
413038
0
0
GAMESTOP
CLA
36467W109
25527000
630761
SH
DFND
630761
0
0
GAP INC
COM
364760108
5116000
123080
SH
DFND
123080
0
0
GENERAL
COM
370023103
1921000
81546
SH
DFND
81546
0
0
GENERAL
COM
370334104
4000
50000
SH
Call
DFND
50000
0
0
GENERAL
COM
37045V100
2843000
972710
SH
Call
DFND
972710
0
0
GENERAL
COM
37045V100
14003000
385769
SH
DFND
385769
0
0
GENESEE
UNIT1
371559204
2720000
20000
SH
DFND
20000
0
0
GLIMCHER
SHBEN
379302102
708000
65392
SH
DFND
65392
0
0
GOODYEAR
COM
382550101
2000
20000
SH
Put
DFND
20000
0
0
GOOGLE I
CLA
38259P508
1023000
1750
SH
DFND
1750
0
0
GREENBRI
NOTE3
393657AH4
807000
480000
PRN
DFND
480000
0
0
GREIF IN
CLA
397624107
6492000
118997
SH
DFND
118997
0
0
GULF COA
ROYAL
40222T104
1513000
516346
SH
DFND
516346
0
0
HCP INC
COM
40414L109
5139000
124190
SH
DFND
124190
0
0
HEALTH C
COM
42217K106
2707000
43194
SH
DFND
43194
0
0
HEALTH C
PFDPE
42217K601
438000
7500
SH
DFND
7500
0
0
HEALTHCA
CLA
42225P105
763000
63398
SH
DFND
63398
0
0
HEICO CO
COM
422806109
922000
17750
SH
DFND
17750
0
0
HERSHA H
SHBEN
427825104
108000
16141
SH
DFND
16141
0
0
HERTZ GL
COM
42805T105
54858000
1957128
SH
DFND
1957128
0
0
HOME DEP
COM
437076102
13662000
168755
SH
DFND
168755
0
0
HOMEAWAY
COM
43739Q100
870000
25000
SH
DFND
25000
0
0
HOSPIRA
COM
441060100
57823000
1125612
SH
DFND
1125612
0
0
HUDSON P
COM
444097109
6660000
262837
SH
DFND
262837
0
0
HUMANA I
COM
444859102
155464000
1217224
SH
DFND
1217224
0
0
IDENIX P
COM
45166R204
4097000
170000
SH
DFND
170000
0
0
INTEGRA
NOTE1
457985AK5
1082000
1000000
PRN
DFND
1000000
0
0
INTEGRAT
COM
458118106
618000
40000
SH
DFND
40000
0
0
INTEL CO
COM
458140100
44898000
1453008
SH
DFND
1453008
0
0
INTEL CO
SDCV2
458140AD2
1246000
1000000
SH
DFND
1000000
0
0
INVESTOR
COM
46146L101
157000
14224
SH
DFND
14224
0
0
ISHARES
COM
464286848
39000
271200
SH
Call
DFND
271200
0
0
ISHARES
CORES
464287200
1783000
9050
SH
DFND
9050
0
0
ISHARES
COM
464287655
5000
11100
SH
Put
DFND
11100
0
0
ISHARES
RUSSE
464287655
1277000
10746
SH
DFND
10746
0
0
ISHARES
IBOXX
464288513
1571000
16500
SH
DFND
16500
0
0
ISHARES
MSCII
46429B309
906000
34334
SH
DFND
34334
0
0
ISHARES
MSCIP
46429B408
893000
24243
SH
DFND
24243
0
0
ITAU UNI
SPONA
465562106
678000
47147
SH
DFND
47147
0
0
JPMORGAN
COM
46625H100
25729000
446532
SH
DFND
446532
0
0
JACOBS E
COM
469814107
25616000
480777
SH
DFND
480777
0
0
JARDEN C
NOTE1
471109AH1
11048000
8000000
PRN
DFND
8000000
0
0
JINKOSOL
SPONS
47759T100
9758000
323444
SH
DFND
323444
0
0
K2M GROU
COM
48273J107
1637000
110000
SH
DFND
110000
0
0
KENNAMET
COM
489170100
6088000
131548
SH
DFND
131548
0
0
KEYCORP
COM
493267108
12209000
851977
SH
DFND
851977
0
0
KILROY R
COM
49427F108
4826000
77495
SH
DFND
77495
0
0
KIMCO RL
COM
49446R109
1451000
63138
SH
DFND
63138
0
0
KINDER M
COM
49456B101
23773000
655629
SH
DFND
655629
0
0
KITE RLT
COM
49803T102
164000
26774
SH
DFND
26774
0
0
KRAFT FO
COM
50076Q106
30179000
503411
SH
DFND
503411
0
0
LCNB COR
COM
50181P100
646000
40000
SH
DFND
40000
0
0
LDR HLDG
COM
50185U105
1626000
65000
SH
DFND
65000
0
0
LTC PPTY
COM
502175102
5372000
137598
SH
DFND
137598
0
0
LAMAR AD
CLA
512815101
6754000
127432
SH
DFND
127432
0
0
LAUDER E
CLA
518439104
46401000
624847
SH
DFND
624847
0
0
LIBERTY
DEB0.
530610AC8
672000
500000
SH
DFND
500000
0
0
LIBERTY
INTCO
53071M104
18756000
638829
SH
DFND
638829
0
0
LIBERTY
LBTVE
53071M880
46693000
632690
SH
DFND
632690
0
0
LOUISIAN
COM
546347105
4155000
276658
SH
DFND
276658
0
0
LULULEMO
COM
550021109
65000
100000
SH
Call
DFND
100000
0
0
LULULEMO
COM
550021109
1174000
29011
SH
DFND
29011
0
0
MDU RES
COM
552690109
5119000
145841
SH
DFND
145841
0
0
MGM RESO
NOTE4
55303QAE0
14017000
9500000
PRN
DFND
9500000
0
0
MACYS IN
COM
55616P104
32774000
564870
SH
DFND
564870
0
0
MAGNA IN
COM
559222401
2448000
22718
SH
DFND
22718
0
0
MARKET V
COM
57060U506
1000
30000
SH
Put
DFND
30000
0
0
MASCO CO
COM
574599106
3738000
168395
SH
DFND
168395
0
0
MASTERCA
CLA
57636Q104
2649000
36050
SH
DFND
36050
0
0
MATSON I
COM
57686G105
872000
32500
SH
DFND
32500
0
0
MCGRAW H
OM
80645109
5324000
05000
SH
DFND
05000
0
0
MENTOR G
SDCV4
587200AK2
10687000
8713000
SH
DFND
8713000
0
0
MERRIMAC
NOTE4
590328AA8
8811000
6500000
PRN
DFND
6500000
0
0
MICROSOF
COM
594918104
111762000
2680153
SH
DFND
2680153
0
0
MICROCHI
SDCV2
595017AB0
23891000
12500000
SH
DFND
12500000
0
0
MICRON T
COM
595112103
66790000
2027004
SH
DFND
2027004
0
0
MICRON T
NOTE2
595112AW3
120704000
35000000
PRN
DFND
35000000
0
0
MID-AMER
COM
59522J103
1405000
19227
SH
DFND
19227
0
0
MIMEDX G
COM
602496101
319000
45000
SH
DFND
45000
0
0
MOHAWK I
COM
608190104
254000
1837
SH
DFND
1837
0
0
MONDELEZ
CLA
609207105
35841000
952974
SH
DFND
952974
0
0
MONSANTO
COM
61166W101
14503000
116266
SH
DFND
116266
0
0
MONSTER
COM
611742107
490000
75000
SH
DFND
75000
0
0
MOSAIC C
COM
61945C103
29757000
601767
SH
DFND
601767
0
0
NCR CORP
COM
62886E108
52346000
1491755
SH
DFND
1491755
0
0
NPS PHAR
COM
62936P103
1322000
40000
SH
DFND
40000
0
0
NRG ENER
COMNE
629377508
8649000
232499
SH
DFND
232499
0
0
NANOSPHE
COM
63009F105
316000
200000
SH
DFND
200000
0
0
NATIONAL
CLA
633707104
1236000
61970
SH
DFND
61970
0
0
NATIONAL
COM
637071101
48658000
590872
SH
DFND
590872
0
0
NATIONAL
COM
637417106
1645000
44232
SH
DFND
44232
0
0
NAVISTAR
COM
63934E108
168000
100000
SH
Put
DFND
100000
0
0
NETSUITE
NOTE0
64118QAB3
1031000
1000000
PRN
DFND
1000000
0
0
NEUROCRI
COM
64125C109
965000
65000
SH
DFND
65000
0
0
NEW MTN
COM
647551100
220000
14806
SH
DFND
14806
0
0
NEXTERA
COM
65339F101
18267000
178250
SH
DFND
178250
0
0
NIKE INC
CLB
654106103
15580000
200898
SH
DFND
200898
0
0
NISOURCE
COM
65473P105
30000
100000
SH
Call
DFND
100000
0
0
NORTHEAS
COM
664397106
16134000
341326
SH
DFND
341326
0
0
NUANCE C
NOTE2
67020YAF7
1004000
1000000
PRN
DFND
1000000
0
0
NUCOR CO
COM
670346105
9229000
187389
SH
DFND
187389
0
0
OGE ENER
COM
670837103
12721000
325500
SH
DFND
325500
0
0
NUVERRA
COMNE
67091K203
2556000
127120
SH
DFND
127120
0
0
OCCIDENT
COM
674599105
6062000
59062
SH
DFND
59062
0
0
OIL STS
COM
678026105
1369000
21354
SH
DFND
21354
0
0
OLYMPIC
COM
68162K106
1985000
80214
SH
DFND
80214
0
0
OMEGA HE
COM
681936100
2373000
64381
SH
DFND
64381
0
0
OMNIVISI
COM
682128103
2632000
119759
SH
DFND
119759
0
0
ON SEMIC
COM
682189105
109000
11872
SH
DFND
11872
0
0
OPENTABL
COM
68372A104
4434000
42800
SH
DFND
42800
0
0
OWENS CO
COM
690742101
6078000
157139
SH
DFND
157139
0
0
OWENS IL
COMNE
690768403
7941000
229253
SH
DFND
229253
0
0
PHH CORP
NOTE6
693320AQ6
11704000
6000000
PRN
DFND
6000000
0
0
PNC FINL
COM
693475105
10154000
114027
SH
DFND
114027
0
0
PS BUSIN
COM
69360J107
789000
9454
SH
DFND
9454
0
0
PACIFIC
COMPA
69423U305
726000
47500
SH
DFND
47500
0
0
PACWEST
COM
695263103
6845000
158558
SH
DFND
158558
0
0
PEABODY
COM
704549104
8256000
504975
SH
DFND
504975
0
0
PETROLEO
SPONS
71654V408
538000
36786
SH
DFND
36786
0
0
PHILIP M
COM
718172109
55397000
657058
SH
DFND
657058
0
0
PINNACLE
COM
723456109
44022000
1748290
SH
DFND
1748290
0
0
PINNACLE
COM
723484101
5584000
96543
SH
DFND
96543
0
0
PINNACLE
COM
72348P104
10122000
307645
SH
DFND
307645
0
0
PLUG POW
COMNE
72919P202
819000
175000
SH
DFND
175000
0
0
PORTLAND
COMNE
736508847
19777000
570449
SH
DFND
570449
0
0
POST HLD
COM
737446104
8141000
159909
SH
DFND
159909
0
0
POST PPT
COM
737464107
11761000
220000
SH
DFND
220000
0
0
POTASH C
COM
73755L107
15000
50000
SH
Put
DFND
50000
0
0
POWERSHA
COM
73935A104
42000
50000
SH
Put
DFND
50000
0
0
PRECISIO
COM
740189105
3013000
11937
SH
DFND
11937
0
0
PRICELIN
COMNE
741503403
2406000
2000
SH
DFND
2000
0
0
PROCTER
COM
742718109
25262000
321437
SH
DFND
321437
0
0
PROLOGIS
COM
74340W103
5910000
143832
SH
DFND
143832
0
0
PROSPECT
COM
74348T102
117000
11036
SH
DFND
11036
0
0
QIHOO 36
ADS
74734M109
9927000
107850
SH
DFND
107850
0
0
QIWI PLC
SPONA
74735M108
1731000
42917
SH
DFND
42917
0
0
QTS RLTY
COMCL
74736A103
8450000
295161
SH
DFND
295161
0
0
QUANTA S
COM
74762E102
11998000
346955
SH
DFND
346955
0
0
QUANTUM
NOTE4
747906AJ4
5154000
5000000
PRN
DFND
5000000
0
0
QUESTCOR
COM
74835Y101
18285000
197700
SH
DFND
197700
0
0
QUIKSILV
COM
74838C106
1731000
483518
SH
DFND
483518
0
0
RDA MICR
SPONS
749394102
2680000
156622
SH
DFND
156622
0
0
RACKSPAC
COM
750086100
5757000
171037
SH
DFND
171037
0
0
RALPH LA
CLA
751212101
16787000
104467
SH
DFND
104467
0
0
REALTY I
COM
756109104
2043000
46003
SH
DFND
46003
0
0
RED HAT
COM
756577102
4974000
90000
SH
DFND
90000
0
0
REDWOOD
COM
758075402
27068000
1390228
SH
DFND
1390228
0
0
REGIONS
COM
7591EP100
14017000
1319856
SH
DFND
1319856
0
0
RELIANCE
COM
759509102
15021000
203787
SH
DFND
203787
0
0
RENEWABL
COMNE
75972A301
740000
64482
SH
DFND
64482
0
0
RENEWABL
MTNF2
75972AAA1
5544000
5000000
SH
DFND
5000000
0
0
RETAIL P
CLA
76131V202
1125000
73160
SH
DFND
73160
0
0
REXFORD
COM
76169C100
3329000
233776
SH
DFND
233776
0
0
REYNOLDS
COM
761713106
5159000
85477
SH
DFND
85477
0
0
RIO TINT
COM
767204100
122000
137500
SH
Put
DFND
137500
0
0
RITE AID
COM
767754104
1792000
250000
SH
DFND
250000
0
0
RIVERBED
COM
768573107
2142000
103837
SH
DFND
103837
0
0
RYLAND G
NOTE1
783764AQ6
21666000
15500000
PRN
DFND
15500000
0
0
SBA COMM
COM
78388J106
6724000
65733
SH
DFND
65733
0
0
SPDR S&P
COM
78462F103
175000
556700
SH
Put
DFND
556700
0
0
SPDR S&P
TRUNI
78462F103
2936000
15000
SH
DFND
15000
0
0
SPX CORP
COM
784635104
4361000
40298
SH
DFND
40298
0
0
SPDR SER
COM
78464A730
74000
75000
SH
Put
DFND
75000
0
0
SPDR S&P
UTSER
78467Y107
1759000
6750
SH
DFND
6750
0
0
SVB FINL
COM
78486Q101
3647000
31270
SH
DFND
31270
0
0
SALESFOR
COM
79466L302
2938000
50590
SH
DFND
50590
0
0
SALESFOR
NOTE0
79466LAD6
1153000
1000000
PRN
DFND
1000000
0
0
SANCHEZ
COM
79970Y105
6494000
172748
SH
DFND
172748
0
0
SANDISK
COM
80004C101
4275000
40937
SH
DFND
40937
0
0
SANDISK
NOTE1
80004CAD3
20479000
10000000
PRN
DFND
10000000
0
0
SANGAMO
COM
800677106
1527000
100000
SH
DFND
100000
0
0
SANOFI
RIGHT
80105N113
602000
1203178
SH
DFND
1203178
0
0
SCHWAB C
COM
808513105
81236000
3016566
SH
DFND
3016566
0
0
SCRIPPS
CLACO
811065101
3917000
48278
SH
DFND
48278
0
0
SEACOR H
NOTE2
811904AM3
5772000
5000000
PRN
DFND
5000000
0
0
SELECT S
COM
81369Y506
18000
25000
SH
Put
DFND
25000
0
0
SELECT S
COM
81369Y886
7000
310000
SH
Put
DFND
310000
0
0
SELECT M
COM
81619Q105
246000
15787
SH
DFND
15787
0
0
SEMPRA E
COM
816851109
15175000
144925
SH
DFND
144925
0
0
SEQUENOM
COM
817337405
8000
50000
SH
Call
DFND
50000
0
0
SEQUENOM
NOTE5
817337AB4
8596000
8000000
PRN
DFND
8000000
0
0
SERVICE
COM
817565104
3108000
150000
SH
DFND
150000
0
0
SHUTTERF
NOTE0
82568PAB2
1009000
1000000
PRN
DFND
1000000
0
0
SIGNATUR
COM
82669G104
3703000
29347
SH
DFND
29347
0
0
SILGAN H
COM
827048109
10839000
213278
SH
DFND
213278
0
0
SIRIUS X
COM
82968B103
8725000
2521667
SH
DFND
2521667
0
0
SMUCKER
COMNE
832696405
38253000
358943
SH
DFND
358943
0
0
SNYDERS-
COM
833551104
5553000
209867
SH
DFND
209867
0
0
SOLAZYME
NOTE5
83415TAC5
4449000
4000000
PRN
DFND
4000000
0
0
SONOCO P
COM
835495102
9881000
224921
SH
DFND
224921
0
0
SPECTRAN
MTNF2
84760CAA5
7300000
7000000
SH
DFND
7000000
0
0
SPIRIT R
NOTE2
84860WAA0
9023000
9000000
PRN
DFND
9000000
0
0
SPRINT C
COMSE
85207U105
2764000
324075
SH
DFND
324075
0
0
STANLEY
COM
854502101
23831000
271362
SH
DFND
271362
0
0
STARWOOD
COM
85571B105
6150000
258727
SH
DFND
258727
0
0
STARWOOD
COM
85590A401
10828000
133975
SH
DFND
133975
0
0
STEEL DY
COM
858119100
22670000
1262963
SH
DFND
1262963
0
0
STONE EN
NOTE1
861642AN6
635000
500000
PRN
DFND
500000
0
0
SUNSHINE
COM
86782U106
392000
70000
SH
DFND
70000
0
0
SUNSTONE
COM
867892101
754000
50479
SH
DFND
50479
0
0
SUNTRUST
COM
867914103
19120000
477279
SH
DFND
477279
0
0
SWIFT TR
CLA
87074U101
9343000
370315
SH
DFND
370315
0
0
SYNOVUS
COMNE
87161C501
13570000
556600
SH
DFND
556600
0
0
SYNTA PH
COM
87162T206
20000
25000
SH
Call
DFND
25000
0
0
SYSCO CO
COM
871829107
480000
300000
SH
Call
DFND
300000
0
0
TCF FINL
COM
872275102
1160000
70890
SH
DFND
70890
0
0
TJX COS
COM
872540109
47517000
894026
SH
DFND
894026
0
0
T-MOBILE
COM
872590104
7721000
229660
SH
DFND
229660
0
0
TAIWAN S
SPONS
874039100
49063000
2293740
SH
DFND
2293740
0
0
TAKE-TWO
NOTE1
874054AD1
6110000
5000000
PRN
DFND
5000000
0
0
TESLA MT
NOTE1
88160RAA9
40485000
20000000
PRN
DFND
20000000
0
0
TEXAS CA
COM
88224Q107
5666000
105014
SH
DFND
105014
0
0
THERAPEU
COM
88338N107
994000
225000
SH
DFND
225000
0
0
THOMPSON
COM
884768102
42000
333900
SH
Call
DFND
333900
0
0
TIBCO SO
NOTE2
88632QAB9
938000
925000
PRN
DFND
925000
0
0
TIM PART
SPONS
88706P205
6965000
239912
SH
DFND
239912
0
0
TIME WAR
COMNE
887317303
15373000
218837
SH
DFND
218837
0
0
TIME WAR
COM
88732J207
655000
100000
SH
Call
DFND
100000
0
0
TIMKEN C
COM
887389104
1778000
26204
SH
DFND
26204
0
0
TRINITY
COM
896522109
2643000
60455
SH
DFND
60455
0
0
TURKCELL
SPONA
900111204
387000
24802
SH
DFND
24802
0
0
TURTLE B
COM
900450107
231000
25000
SH
DFND
25000
0
0
TWENTY F
CLA
90130A101
7822000
222538
SH
DFND
222538
0
0
TWO HBRS
COM
90187B101
255000
24291
SH
DFND
24291
0
0
TYSON FO
COM
902494103
610000
215000
SH
Put
DFND
215000
0
0
UDR INC
COM
902653104
1487000
51947
SH
DFND
51947
0
0
UBIQUITI
COM
90347A100
36018000
797033
SH
DFND
797033
0
0
UNION PA
COM
907818108
24000
100000
SH
Put
DFND
100000
0
0
UNIT COR
COM
909218109
22370000
325000
SH
DFND
325000
0
0
UNITED P
CLB
911312106
12966000
126296
SH
DFND
126296
0
0
VALE S A
COM
91912E105
213000
600000
SH
Call
DFND
600000
0
0
VALE S A
ADR
91912E105
3955000
298937
SH
DFND
298937
0
0
VERIZON
COM
92343V104
3500000
71526
SH
DFND
71526
0
0
VIACOM I
CLB
92553P201
25628000
295492
SH
DFND
295492
0
0
VIMPELCO
SPONS
92719A106
4822000
574022
SH
DFND
574022
0
0
VIPSHOP
NOTE1
92763WAA1
591000
500000
PRN
DFND
500000
0
0
VISTEON
COMNE
92839U206
12986000
133864
SH
DFND
133864
0
0
VITESSE
COMNE
928497304
1265000
366541
SH
DFND
366541
0
0
VOLCANO
NOTE1
928645AB6
9699000
10000000
PRN
DFND
10000000
0
0
VONAGE H
COM
92886T201
92000
24439
SH
DFND
24439
0
0
WASTE CO
COM
941053100
1761000
36267
SH
DFND
36267
0
0
WEBSTER
COM
947890109
1157000
36696
SH
DFND
36696
0
0
WELLS FA
COM
949746101
3523000
67024
SH
DFND
67024
0
0
WERNER E
COM
950755108
4918000
185501
SH
DFND
185501
0
0
WESCO IN
DBCV6
95082PAH8
62928000
20500000
SH
DFND
20500000
0
0
WESTAR E
COM
95709T100
18589000
486753
SH
DFND
486753
0
0
WEYERHAE
COM
962166104
5050000
1000000
SH
Put
DFND
1000000
0
0
WEYERHAE
COM
962166104
43017000
1300000
SH
DFND
1300000
0
0
WEYERHAE
PREFC
962166872
241000
4189
SH
DFND
4189
0
0
WHITEWAV
COM
966244105
17000
266900
SH
Put
DFND
266900
0
0
WHITEWAV
COMCL
966244105
28491000
880156
SH
DFND
880156
0
0
WYNDHAM
COM
98310W108
1671000
22064
SH
DFND
22064
0
0
ZEP INC
COM
98944B108
1784000
100995
SH
DFND
100995
0
0
ZIONS BA
COM
989701107
4840000
164251
SH
DFND
164251
0
0
ASSURED
COM
G0585R106
4490000
183281
SH
DFND
183281
0
0
COSAN LT
SHSA
G25343107
349000
25750
SH
DFND
25750
0
0
HERBALIF
COMUS
G4412G101
75303000
1166762
SH
DFND
1166762
0
0
INGERSOL
SHS
G47791101
2544000
40699
SH
DFND
40699
0
0
LAZARD L
SHSA
G54050102
5775000
112000
SH
DFND
112000
0
0
LIBERTY
SHSCL
G5480U104
4727000
106904
SH
DFND
106904
0
0
LOMBARD
COM
G55598109
288000
40000
SH
DFND
40000
0
0
NOBLE CO
SHSUS
G65431101
79499000
2368874
SH
DFND
2368874
0
0
PROTHENA
SHS
G72800108
2115000
93800
SH
DFND
93800
0
0
QUOTIENT
COM
G73268107
67000
61200
SH
Call
DFND
61200
0
0
QUOTIENT
SHS
G73268107
83000
10000
SH
DFND
10000
0
0
VANTAGE
ORDSH
G93205113
528000
275000
SH
DFND
275000
0
0
CONSTELL
CLA
N22035104
16063000
501039
SH
DFND
501039
0
0
NIELSEN
COM
N63218106
103903000
2146303
SH
DFND
2146303
0
0
VISTAPRI
SHS
N93540107
30347000
750048
SH
DFND
750048
0
0
ARDMORE
COM
Y0207T100
1407000
101700
SH
DFND
101700
0
0
DRYSHIPS
COM
Y2109Q101
50000
150000
SH
Put
DFND
150000
0
0