0001132716-13-000049.txt : 20130813 0001132716-13-000049.hdr.sgml : 20130813 20130813140525 ACCESSION NUMBER: 0001132716-13-000049 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130813 DATE AS OF CHANGE: 20130813 EFFECTIVENESS DATE: 20130813 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: 131032533 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 false false false 0001132716 XXXXXXXX 06-30-2013 06-30-2013 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

13F HOLDINGS REPORT 028-06327 N Frank Pluchino 212-821-6053 Frank Pluchino Chicago IL 08-13-2013 1 514 5019654 true 1 0001342440 028-11499 UBS Eucalyptus Management, L.L.C. 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COM 716933106 1335000 16800 SH DFND 16800 0 0 PFIZER I COM 717081103 39973000 5751500 SH Put DFND 5751500 0 0 PFIZER I COM 717081103 6140000 219204 SH DFND 219204 0 0 PFIZER I COM 717081103 160461000 5728687 SH DFND 5728687 0 0 PHILIP M COM 718172109 48074000 555000 SH DFND 555000 0 0 PINNACLE COM 723484101 8994000 162141 SH DFND 162141 0 0 PLURISTE COM 72940R102 49000 175000 SH Call DFND 175000 0 0 POST HLD COM 737446104 22570000 516943 SH DFND 516943 0 0 POST PPT COM 737464107 20869000 421677 SH DFND 421677 0 0 PRAXAIR COM 74005P104 13704000 119002 SH DFND 119002 0 0 PROCTER COM 742718109 43190000 560981 SH DFND 560981 0 0 PROGENIC COM 743187106 1419000 318191 SH DFND 318191 0 0 PUBLIC S COM 74460D109 6428000 41922 SH DFND 41922 0 0 RLJ LODG COM 74965L101 35114000 1561323 SH DFND 1561323 0 0 RTI INTL NOTE1 74973WAB3 5909000 6250000 PRN DFND 6250000 0 0 RACKSPAC COM 750086100 91000 25000 SH Call DFND 25000 0 0 RALPH LA CLA 751212101 28239000 162538 SH DFND 162538 0 0 RAMCO-GE COMSH 751452202 7276000 468517 SH DFND 468517 0 0 REDWOOD COM 758075402 13962000 821294 SH DFND 821294 0 0 REGENERO COM 75886F107 2001000 8900 SH DFND 8900 0 0 RELIANCE COM 759509102 6945000 105933 SH DFND 105933 0 0 RETAIL O COM 76131N101 8183000 588722 SH DFND 588722 0 0 ROSETTA COM 777780107 2580000 175000 SH DFND 175000 0 0 ROYAL GO NOTE2 780287AA6 10078000 11000000 PRN DFND 11000000 0 0 RYLAND G NOTE0 783764AS2 9005000 10000000 PRN DFND 10000000 0 0 RYMAN HO COM 78377T107 11313000 290000 SH DFND 290000 0 0 SBA COMM COM 78388J106 15040000 202915 SH DFND 202915 0 0 SBA COMM NOTE4 78388JAM8 24583000 10000000 PRN DFND 10000000 0 0 SL GREEN COM 78440X101 14874000 168658 SH DFND 168658 0 0 SPDR S&P COM 78462F103 1787000 1640000 SH Call DFND 1640000 0 0 SPDR S&P COM 78462F103 1246000 1455000 SH Put DFND 1455000 0 0 SPDR SER COM 78464A698 64000 281600 SH Put DFND 281600 0 0 SPDR SER COM 78464A730 107000 160700 SH Put DFND 160700 0 0 SPDR SER COM 78464A755 10000 40000 SH Put DFND 40000 0 0 SS&C TEC COM 78467J100 429000 13033 SH DFND 13033 0 0 SVB FINL COM 78486Q101 3792000 45507 SH DFND 45507 0 0 SAFEGUAR COMNE 786449207 4873000 303598 SH DFND 303598 0 0 SAKS INC COM 79377W108 88000 500000 SH Call DFND 500000 0 0 SALIX PH NOTE2 795435AC0 1528000 1000000 PRN DFND 1000000 0 0 SANDISK NOTE1 80004CAD3 11393000 8500000 PRN DFND 8500000 0 0 SANOFI RIGHT 80105N113 2309000 1215025 SH DFND 1215025 0 0 SCHLUMBE COM 806857108 2000 12800 SH Put DFND 12800 0 0 SCHLUMBE COM 806857108 24316000 339326 SH DFND 339326 0 0 SCHWAB C COM 808513105 95000 180900 SH Put DFND 180900 0 0 SCHWAB C COM 808513105 19574000 922000 SH DFND 922000 0 0 SELECT S COM 81369Y100 13000 50000 SH Put DFND 50000 0 0 SELECT S SBIHE 81369Y209 2047000 43000 SH DFND 43000 0 0 SELECT S SBICO 81369Y407 2087000 37000 SH DFND 37000 0 0 SELECT S COM 81369Y506 12000 50000 SH Put DFND 50000 0 0 SELECT S COM 81369Y605 63000 300000 SH Put DFND 300000 0 0 SELECT S SBIIN 81369Y605 21688000 1115352 SH DFND 1115352 0 0 SELECT S SBIIN 81369Y704 3027000 71000 SH DFND 71000 0 0 SELECT S COM 81369Y886 64000 200000 SH Call DFND 200000 0 0 SEMPRA E COM 816851109 12000 50000 SH Call DFND 50000 0 0 SEMPRA E COM 816851109 7150000 87456 SH DFND 87456 0 0 SEQUENOM COMNE 817337405 669000 159000 SH DFND 159000 0 0 SEQUENOM COMNE 817337405 1684000 400000 SH DFND 400000 0 0 SHERWIN COM 824348106 146000 26500 SH Put DFND 26500 0 0 SIGNATUR COM 82669G104 8180000 98531 SH DFND 98531 0 0 SKYWORKS COM 83088M102 416000 19016 SH DFND 19016 0 0 SMITHFIE COM 832248108 1270000 200000 SH Call DFND 200000 0 0 SNYDERS- COM 833551104 18088000 636670 SH DFND 636670 0 0 SOLAZYME COM 83415T101 55000 400000 SH Put DFND 400000 0 0 SONOCO P COM 835495102 10426000 301580 SH DFND 301580 0 0 SOUTHWES COM 845467109 2444000 66896 SH DFND 66896 0 0 SOVRAN S COM 84610H108 18215000 281135 SH DFND 281135 0 0 SPRINT N COM 852061100 3900000 1328100 SH Put DFND 1328100 0 0 SPRINT N COMSE 852061100 44256000 6304246 SH DFND 6304246 0 0 STANDARD COM 85375C101 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31000 SH DFND 31000 0 0 THERMO F COM 883556102 6093000 72000 SH DFND 72000 0 0 THOMPSON UNIT9 884768300 15445000 942833 SH DFND 942833 0 0 3M CO COM 88579Y101 3496000 31975 SH DFND 31975 0 0 TIBCO SO NOTE2 88632QAB9 904000 925000 PRN DFND 925000 0 0 TOLL BRO COM 889478103 16000 50000 SH Put DFND 50000 0 0 TOLL BRO COM 889478103 9896000 303277 SH DFND 303277 0 0 TOWERSTR COM 892000100 459000 180000 SH DFND 180000 0 0 TRAVELER COM 89417E109 2165000 27093 SH DFND 27093 0 0 TRIANGLE COM 895848109 6363000 231311 SH DFND 231311 0 0 TWO HBRS COM 90187B101 894000 87237 SH DFND 87237 0 0 UAL CORP NOTE6 902549AJ3 56661000 15500000 PRN DFND 15500000 0 0 US BANCO COMNE 902973304 10191000 281898 SH DFND 281898 0 0 UNS ENER COM 903119105 6245000 139622 SH DFND 139622 0 0 U S AIRW COM 90341W108 30988000 1887220 SH DFND 1887220 0 0 U S SILI COM 90346E103 773000 37187 SH DFND 37187 0 0 UNITED C COM 90984P303 3822000 307766 SH DFND 307766 0 0 UNITED R COM 911363109 14519000 290901 SH DFND 290901 0 0 UNITED S COM 912318201 14000 120000 SH Call DFND 120000 0 0 UNITED S UNITP 912318201 428000 22588 SH DFND 22588 0 0 UNITED S NOTE4 912909AE8 1028000 1000000 PRN DFND 1000000 0 0 UNITED T NOTE1 91307CAF9 16006000 11000000 PRN DFND 11000000 0 0 UNITEDHE COM 91324P102 2357000 36000 SH DFND 36000 0 0 VALE S A ADR 91912E105 5799000 441001 SH DFND 441001 0 0 VALERO E COM 91913Y100 1317000 37869 SH DFND 37869 0 0 VENTAS I COM 92276F100 36610000 527064 SH DFND 527064 0 0 VERISIGN SDCV3 92343EAD4 43593000 31000000 SH DFND 31000000 0 0 VERIZON COM 92343V104 4908000 97499 SH DFND 97499 0 0 VODAFONE SPONS 92857W209 5512000 191801 SH DFND 191801 0 0 VOLCANO NOTE1 928645AB6 13741000 15000000 PRN DFND 15000000 0 0 WABASH N COM 929566107 1074000 105515 SH DFND 105515 0 0 WAL-MART COM 931142103 51833000 695842 SH DFND 695842 0 0 WALTER I NOTE4 93317WAA0 11637000 11500000 PRN DFND 11500000 0 0 WEBMD HE NOTE2 94770VAF9 930000 1000000 PRN DFND 1000000 0 0 WEINGART SHBEN 948741103 17303000 562321 SH DFND 562321 0 0 WELLCARE COM 94946T106 1000000 18000 SH DFND 18000 0 0 WELLPOIN COM 94973V107 2864000 35000 SH DFND 35000 0 0 WESCO IN COM 95082P105 681000 10027 SH DFND 10027 0 0 WESCO IN DBCV6 95082PAH8 33217000 13500000 SH DFND 13500000 0 0 WESTAR E COM 95709T100 13004000 406882 SH DFND 406882 0 0 WESTERN COM 959319104 1031000 36719 SH DFND 36719 0 0 WHITEWAV COMCL 966244105 15927000 980133 SH DFND 980133 0 0 WHITEWAV COMCL 966244204 16040000 1055295 SH DFND 1055295 0 0 WISCONSI COM 976657106 3000 14000 SH Put DFND 14000 0 0 WISDOMTR COM 97717W851 430000 200000 SH Call DFND 200000 0 0 XPO LOGI NOTE4 983793AA8 9399000 7600000 PRN DFND 7600000 0 0 XOMA COR COM 98419J107 118000 32400 SH DFND 32400 0 0 YAHOO IN COM 984332106 19757000 786805 SH DFND 786805 0 0 YAMANA G COM 98462Y100 1214000 127651 SH DFND 127651 0 0 ZEBRA TE CLA 989207105 2637000 60701 SH DFND 60701 0 0 ZIONS BA COM 989701107 10105000 349902 SH DFND 349902 0 0 ZOETIS I CLA 98978V103 5807000 188003 SH DFND 188003 0 0 ACCENTUR COM G1151C101 243000 30000 SH Put DFND 30000 0 0 ACCENTUR SHSCL G1151C101 2159000 30000 SH DFND 30000 0 0 ENSCO PL SHSCL G3157S106 9416000 162015 SH DFND 162015 0 0 HERBALIF COMUS G4412G101 10096000 223660 SH DFND 223660 0 0 INGERSOL SHS G47791101 720000 12971 SH DFND 12971 0 0 MAIDEN H SHS G5753U112 11203000 998461 SH DFND 998461 0 0 NABORS I SHS G6359F103 688000 44958 SH DFND 44958 0 0 ROWAN CO SHSCL G7665A101 11373000 333802 SH DFND 333802 0 0 TOWER GR COM G8988C105 7968000 388474 SH DFND 388474 0 0 WEATHERF REGSH H27013103 6850000 500000 SH DFND 500000 0 0 NOBLE CO COM H5833N103 36000 100000 SH Call DFND 100000 0 0 NOBLE CO NAMEN H5833N103 48130000 1280745 SH DFND 1280745 0 0 PACIFIC REGSH L7257P106 2569000 262631 SH DFND 262631 0 0 INTERXIO SHS N47279109 11694000 447518 SH DFND 447518 0 0 NIELSEN COM N63218106 46054000 1371069 SH DFND 1371069 0 0