0001132716-14-000001.txt : 20140213
0001132716-14-000001.hdr.sgml : 20140213
20140213112212
ACCESSION NUMBER: 0001132716-14-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140213
DATE AS OF CHANGE: 20140213
EFFECTIVENESS DATE: 20140213
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: 14603872
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
12-31-2013
12-31-2013
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
02-13-2014
0
394
5407737
true
INFORMATION TABLE
2
ubsocq413infotable.xml
ACADIA P
COM
004225108
7000
10000
SH
Call
DFND
10000
0
0
ACADIA R
COMSH
004239109
27934000
1125000
SH
DFND
1125000
0
0
ACCURAY
NOTE3
004397AB1
1126000
1000000
PRN
DFND
1000000
0
0
ACTIVISI
COM
00507V109
3059000
171592
SH
DFND
171592
0
0
ADOBE SY
COM
00724F101
16825000
280982
SH
DFND
280982
0
0
AIR PROD
COM
009158106
14070000
125871
SH
DFND
125871
0
0
ALCOA IN
NOTE5
013817AT8
24832000
15000000
PRN
DFND
15000000
0
0
ALLIANT
COM
018802108
21046000
407872
SH
DFND
407872
0
0
ALLIANT
NOTE3
018804AK0
20345000
12700000
PRN
DFND
12700000
0
0
ALLSTATE
COM
020002101
29027000
532216
SH
DFND
532216
0
0
ALTRIA G
COM
02209S103
32000
50000
SH
Call
DFND
50000
0
0
AMARIN C
COM
023111206
2000
176100
SH
Call
DFND
176100
0
0
AMAZON C
COM
023135106
7203000
18062
SH
DFND
18062
0
0
AMBEV SA
SPONS
02319V103
1760000
239400
SH
DFND
239400
0
0
AMEREN C
COM
023608102
19266000
532801
SH
DFND
532801
0
0
AMERICAN
COM
02376R102
65564000
2596600
SH
DFND
2596600
0
0
AMERICAN
COM
024013104
22494000
715679
SH
DFND
715679
0
0
AMERICAN
COM
024835100
15211000
472243
SH
DFND
472243
0
0
AMERICAN
COM
02503Y103
10574000
676082
SH
DFND
676082
0
0
AMERICAN
COM
025537101
17799000
380799
SH
DFND
380799
0
0
AMERICAN
COM
03027X100
2383000
29859
SH
DFND
29859
0
0
AMERICAN
COM
030420103
11893000
281431
SH
DFND
281431
0
0
ANNALY C
COM
035710409
15000
343100
SH
Put
DFND
343100
0
0
ANNALY C
COM
035710409
140000
14027
SH
DFND
14027
0
0
ANTARES
COM
036642106
1120000
250000
SH
DFND
250000
0
0
APOLLO E
CLA
037604105
17681000
647179
SH
DFND
647179
0
0
ARCELORM
NYREG
03938L104
16725000
937499
SH
DFND
937499
0
0
ARCHER D
COM
039483102
8432000
194279
SH
DFND
194279
0
0
ARRIS GR
COM
04270V106
4000
50000
SH
Put
DFND
50000
0
0
ASHFORD
COMSH
044103109
9274000
1120001
SH
DFND
1120001
0
0
ASHLAND
COM
044209104
51246000
528092
SH
DFND
528092
0
0
AUXILIUM
NOTE1
05334DAA5
1109000
1000000
PRN
DFND
1000000
0
0
AVALONBA
COM
053484101
118000
100000
SH
Call
DFND
100000
0
0
AVALONBA
COM
053484101
23443000
198281
SH
DFND
198281
0
0
AVON PRO
COM
054303102
47576000
2762832
SH
DFND
2762832
0
0
AXIALL C
COM
05463D100
5350000
112770
SH
DFND
112770
0
0
BB&T COR
COM
054937107
8859000
237382
SH
DFND
237382
0
0
BPZ RESO
COM
055639108
171000
94050
SH
DFND
94050
0
0
BPZ RESO
NOTE8
055639AC2
2194000
2500000
PRN
DFND
2500000
0
0
BAIDU IN
SPONA
056752108
8527000
47936
SH
DFND
47936
0
0
BANCO BR
SPADR
059460303
2448000
195367
SH
DFND
195367
0
0
BANK OF
COM
060505104
21732000
1395730
SH
DFND
1395730
0
0
BANKUNIT
COM
06652K103
21858000
663964
SH
DFND
663964
0
0
BEAZER H
UNIT9
07556Q709
31282000
838100
SH
DFND
838100
0
0
BEST BUY
COM
086516101
2432000
60992
SH
DFND
60992
0
0
BHP BILL
SPONS
088606108
55924000
819998
SH
DFND
819998
0
0
BIOMED R
COM
09063H107
20294000
1120001
SH
DFND
1120001
0
0
BLACKROC
COM
09247X101
74000
20000
SH
Put
DFND
20000
0
0
BROADSOF
NOTE1
11133BAB8
1010000
1000000
PRN
DFND
1000000
0
0
CBL & AS
COM
124830100
3592000
200000
SH
DFND
200000
0
0
CBS CORP
CLB
124857202
4983000
78181
SH
DFND
78181
0
0
CMS ENER
COM
125896100
17304000
646396
SH
DFND
646396
0
0
CSX CORP
COM
126408103
17499000
608233
SH
DFND
608233
0
0
CUI GLOB
COMNE
126576206
126000
20000
SH
DFND
20000
0
0
CACI INT
CLA
127190304
6498000
88750
SH
DFND
88750
0
0
CAMPBELL
COM
134429109
270000
300000
SH
Call
DFND
300000
0
0
CARDTRON
COM
14161H108
1755000
40389
SH
DFND
40389
0
0
CARRIZO
COM
144577103
895000
20000
SH
DFND
20000
0
0
CATERPIL
COM
149123101
20974000
230967
SH
DFND
230967
0
0
CEDAR RE
COMNE
150602209
7449000
1190000
SH
DFND
1190000
0
0
CELLDEX
COM
15117B103
1816000
75000
SH
DFND
75000
0
0
CENVEO C
NOTE7
15671BAJ0
392000
350000
PRN
DFND
350000
0
0
CHATHAM
COM
16208T102
5726000
280000
SH
DFND
280000
0
0
CHESAPEA
NOTE2
165167BW6
24749000
23611000
PRN
DFND
23611000
0
0
CHESAPEA
NOTE2
165167CA3
36180000
36000000
PRN
DFND
36000000
0
0
CITIGROU
COM
172967424
47000
54000
SH
Call
DFND
54000
0
0
CITIGROU
COMNE
172967424
1303000
25000
SH
DFND
25000
0
0
CLAYMORE
GUGGE
18383Q739
5910000
167999
SH
DFND
167999
0
0
CLOROX C
COM
189054109
355000
400000
SH
Put
DFND
400000
0
0
CLOVIS O
COM
189464100
1205000
20000
SH
DFND
20000
0
0
COBALT I
COM
19075F106
699000
42500
SH
DFND
42500
0
0
COBALT I
NOTE2
19075FAA4
15903000
18000000
PRN
DFND
18000000
0
0
COCA COL
COM
191216100
861000
600000
SH
Call
DFND
600000
0
0
COCA COL
COM
191216100
62791000
1520000
SH
DFND
1520000
0
0
COCA COL
SPONA
191241108
427000
3505
SH
DFND
3505
0
0
COLGATE
COM
194162103
18426000
282566
SH
DFND
282566
0
0
COMCAST
CLA
20030N101
10974000
211179
SH
DFND
211179
0
0
CORNERST
COM
21925Y103
3671000
68832
SH
DFND
68832
0
0
COSTCO W
COM
22160K105
26379000
221651
SH
DFND
221651
0
0
CRANE CO
COM
224399105
11096000
165001
SH
DFND
165001
0
0
CROWN CA
COM
228227104
95000
50000
SH
Call
DFND
50000
0
0
CROWN CA
COM
228227104
60394000
822468
SH
DFND
822468
0
0
CROWN CA
CNVPF
228227500
47971000
480400
SH
DFND
480400
0
0
CROWN HO
COM
228368106
284000
6378
SH
DFND
6378
0
0
CTRIP CO
AMERI
22943F100
1498000
30194
SH
DFND
30194
0
0
CURRENCY
BRITP
23129S106
1225000
7500
SH
DFND
7500
0
0
DCT INDU
COM
233153105
28050000
3934013
SH
DFND
3934013
0
0
DFC GLOB
COM
23324T107
38000
200000
SH
Put
DFND
200000
0
0
DFC GLOB
NOTE3
23324TAB3
21653000
23850000
PRN
DFND
23850000
0
0
D R HORT
NOTE2
23331ABB4
6018000
3500000
PRN
DFND
3500000
0
0
DANA HLD
COM
235825205
8240000
420000
SH
DFND
420000
0
0
DARLING
COM
237266101
16704000
800000
SH
DFND
800000
0
0
DEALERTR
NOTE1
242309AB8
1388000
1000000
PRN
DFND
1000000
0
0
DEAN FOO
COMNE
242370203
45339000
2637498
SH
DFND
2637498
0
0
DEVELOPE
NOTE1
251591AX1
25316000
22680000
PRN
DFND
22680000
0
0
DIAMOND
COM
252603105
904000
35000
SH
DFND
35000
0
0
DIAMONDR
COM
252784301
11814000
1022852
SH
DFND
1022852
0
0
DICKS SP
COM
253393102
12316000
211971
SH
DFND
211971
0
0
DISNEY W
COMDI
254687106
5831000
76321
SH
DFND
76321
0
0
DISH NET
CLA
25470M109
5105000
88131
SH
DFND
88131
0
0
DOLLAR T
COM
256746108
41095000
728380
SH
DFND
728380
0
0
DOMINION
COM
25746U109
18734000
289600
SH
DFND
289600
0
0
DOW CHEM
COM
260543103
4000
25000
SH
Put
DFND
25000
0
0
DUKE REA
COMNE
264411505
4659000
309744
SH
DFND
309744
0
0
DUKE ENE
COMNE
26441C204
22194000
321600
SH
DFND
321600
0
0
DUPONT F
COM
26613Q106
18968000
767622
SH
DFND
767622
0
0
E M C CO
COM
268648102
6911000
274811
SH
DFND
274811
0
0
E TRADE
COM
269246401
456000
125000
SH
Call
DFND
125000
0
0
EXCO RES
COM
269279402
88000
500000
SH
Call
DFND
500000
0
0
EXCO RES
COM
269279402
2655000
500000
SH
DFND
500000
0
0
EAST WES
COM
27579R104
7905000
226045
SH
DFND
226045
0
0
EASTMAN
COM
277432100
10894000
135000
SH
DFND
135000
0
0
EBAY INC
COM
278642103
175000
35000
SH
Call
DFND
35000
0
0
EBAY INC
COM
278642103
10210000
186000
SH
DFND
186000
0
0
EDISON I
COM
281020107
7503000
162045
SH
DFND
162045
0
0
EDUCATIO
COM
28140H104
16522000
1873198
SH
DFND
1873198
0
0
ELECTRON
COM
285512109
325000
14157
SH
DFND
14157
0
0
EMBRAER
SPADR
29082A107
688000
21375
SH
DFND
21375
0
0
EMERALD
COMNE
29101U209
1153000
150500
SH
DFND
150500
0
0
EQUINIX
NOTE3
29444UAG1
316000
200000
PRN
DFND
200000
0
0
EQUINIX
NOTE4
29444UAH9
16365000
7500000
PRN
DFND
7500000
0
0
EQUITY L
COM
29472R108
32097000
885931
SH
DFND
885931
0
0
EQUITY R
COM
29476L107
82000
150000
SH
Call
DFND
150000
0
0
EXTENDED
UNIT9
30224P200
1313000
50000
SH
DFND
50000
0
0
EXTRA SP
COM
30225T102
25896000
614673
SH
DFND
614673
0
0
EXXON MO
COM
30231G102
19000
45000
SH
Put
DFND
45000
0
0
FACEBOOK
COM
30303M102
74000
30000
SH
Put
DFND
30000
0
0
FACEBOOK
CLA
30303M102
7321000
133945
SH
DFND
133945
0
0
FEDERAL
SHBEN
313747206
21398000
211001
SH
DFND
211001
0
0
FIDELITY
COM
31620M106
15116000
281601
SH
DFND
281601
0
0
FIFTH TH
COM
316773100
7919000
376544
SH
DFND
376544
0
0
FIRST NB
COM
32115D106
1253000
38800
SH
DFND
38800
0
0
FIRST NI
COM
33582V108
1457000
137151
SH
DFND
137151
0
0
FIRSTENE
COM
337932107
15470000
469069
SH
DFND
469069
0
0
FLEETCOR
COM
339041105
1503000
12825
SH
DFND
12825
0
0
FLUOR CO
COM
343412102
7033000
87589
SH
DFND
87589
0
0
FOOT LOC
COM
344849104
8782000
211923
SH
DFND
211923
0
0
FRANKLIN
COM
354613101
1745000
30227
SH
DFND
30227
0
0
FREEPORT
COM
35671D857
446000
400000
SH
Call
DFND
400000
0
0
FREEPORT
COM
35671D857
5681000
150533
SH
DFND
150533
0
0
FUELCELL
COM
35952H106
649000
460000
SH
DFND
460000
0
0
GT ADVAN
COM
36191U106
654000
75000
SH
DFND
75000
0
0
GT ADVAN
NOTE3
36191UAB2
13133000
13000000
PRN
DFND
13000000
0
0
GAMESTOP
CLA
36467W109
14778000
300000
SH
DFND
300000
0
0
GAP INC
COM
364760108
41166000
1053390
SH
DFND
1053390
0
0
GENCORP
SDCV4
368682AN0
45612000
22500000
SH
DFND
22500000
0
0
GENERAL
COM
37045V100
6099000
1017710
SH
Call
DFND
1017710
0
0
GENERAL
COM
37045V100
275000
6732
SH
DFND
6732
0
0
GLOBAL P
COM
37940X102
24000
40000
SH
Put
DFND
40000
0
0
GLOBAL E
COM
37951D102
3718000
250000
SH
DFND
250000
0
0
GOOGLE I
CLA
38259P508
23107000
20618
SH
DFND
20618
0
0
GREENBRI
NOTE3
393657AH4
570000
480000
PRN
DFND
480000
0
0
GREIF IN
CLA
397624107
1079000
20586
SH
DFND
20586
0
0
HCP INC
COM
40414L109
3658000
100724
SH
DFND
100724
0
0
HALCON R
COMNE
40537Q209
1312000
340000
SH
DFND
340000
0
0
HEALTH M
CLA
421933102
28248000
2156300
SH
DFND
2156300
0
0
HEALTH C
PFDPE
42217K601
387000
7500
SH
DFND
7500
0
0
HERTZ GL
COM
42805T105
26830000
937441
SH
DFND
937441
0
0
HIGHWOOD
COM
431284108
38052000
1052042
SH
DFND
1052042
0
0
HILLSHIR
COM
432589109
11704000
350000
SH
DFND
350000
0
0
HOME DEP
COM
437076102
20649000
250777
SH
DFND
250777
0
0
HONEYWEL
COM
438516106
7205000
78859
SH
DFND
78859
0
0
HOSPIRA
COM
441060100
49003000
1187085
SH
DFND
1187085
0
0
HOWARD H
COM
44267D107
6726000
56000
SH
DFND
56000
0
0
HUDSON P
COM
444097109
18480000
844998
SH
DFND
844998
0
0
HUMANA I
COM
444859102
106023000
1027156
SH
DFND
1027156
0
0
HUNTSMAN
COM
447011107
7569000
307670
SH
DFND
307670
0
0
HYATT HO
COMCL
448579102
3462000
70000
SH
DFND
70000
0
0
IBERIABA
COM
450828108
7942000
126360
SH
DFND
126360
0
0
IHS INC
CLA
451734107
25288000
211263
SH
DFND
211263
0
0
INDEPEND
COM
45384B106
380000
7662
SH
DFND
7662
0
0
INFOSYS
SPONS
456788108
13200000
233210
SH
DFND
233210
0
0
INTEGRA
NOTE1
457985AK5
1079000
1000000
PRN
DFND
1000000
0
0
INTEL CO
COM
458140100
27653000
1065204
SH
DFND
1065204
0
0
INTEL CO
SDCV2
458140AD2
1124000
1000000
SH
DFND
1000000
0
0
INTERCON
COM
45866F104
19141000
85103
SH
DFND
85103
0
0
INTERMUN
COM
45884X103
147000
10000
SH
DFND
10000
0
0
INTERMUN
NOTE2
45884XAE3
5414000
6000000
PRN
DFND
6000000
0
0
INTERNAT
COM
459200101
56000
30000
SH
Put
DFND
30000
0
0
INTERNAT
COM
459902102
2056000
113233
SH
DFND
113233
0
0
INTREPID
COM
46121Y102
2375000
149960
SH
DFND
149960
0
0
ISHARES
COM
464287655
6000
20000
SH
Put
DFND
20000
0
0
ISHARES
IBOXX
464288513
21279000
229100
SH
DFND
229100
0
0
ISHARES
COM
464288752
56000
54300
SH
Call
DFND
54300
0
0
ISHARES
USHOM
464288752
4343000
174999
SH
DFND
174999
0
0
ISIS PHA
COM
464330109
81000
50000
SH
Put
DFND
50000
0
0
ITAU UNI
SPONA
465562106
1302000
95974
SH
DFND
95974
0
0
JPMORGAN
COM
46625H100
22924000
391989
SH
DFND
391989
0
0
JEFFERIE
DBCV3
472319AG7
2660000
2500000
SH
DFND
2500000
0
0
JOY GLOB
COM
481165108
13102000
223999
SH
DFND
223999
0
0
KELLOGG
COM
487836108
20000
100000
SH
Call
DFND
100000
0
0
KELLOGG
COM
487836108
27196000
445318
SH
DFND
445318
0
0
KEYCORP
COM
493267108
11979000
892660
SH
DFND
892660
0
0
KILROY R
COM
49427F108
47629000
949159
SH
DFND
949159
0
0
KIMBERLY
COM
494368103
160000
100000
SH
Put
DFND
100000
0
0
KINDER M
COM
49456B101
101000
25000
SH
Call
DFND
25000
0
0
KITE RLT
COM
49803T102
12054000
1834636
SH
DFND
1834636
0
0
KRAFT FO
COM
50076Q106
47593000
882652
SH
DFND
882652
0
0
KRATON P
COM
50077C106
864000
37499
SH
DFND
37499
0
0
LPL FINL
COM
50212V100
8192000
174177
SH
DFND
174177
0
0
LTC PPTY
COM
502175102
13001000
367358
SH
DFND
367358
0
0
LANDSTAR
COM
515098101
26717000
465050
SH
DFND
465050
0
0
LAUDER E
CLA
518439104
52396000
695641
SH
DFND
695641
0
0
LENDER P
COM
52602E102
16063000
429733
SH
DFND
429733
0
0
LENNAR C
CLA
526057104
25318000
640001
SH
DFND
640001
0
0
LIBERTY
INTCO
53071M104
2747000
93589
SH
DFND
93589
0
0
LIBERTY
LBTVE
53071M880
4313000
35182
SH
DFND
35182
0
0
LIBERTY
CLA
531229102
10944000
74727
SH
DFND
74727
0
0
LIFE TEC
COM
53217V109
95106000
1254694
SH
DFND
1254694
0
0
LINEAR T
NOTE3
535678AC0
1142000
1000000
PRN
DFND
1000000
0
0
LOUISIAN
COM
546347105
14986000
809605
SH
DFND
809605
0
0
LULULEMO
COM
550021109
21853000
370196
SH
DFND
370196
0
0
MFA FINL
COM
55272X102
1977000
280000
SH
DFND
280000
0
0
MGM RESO
COM
552953101
111000
300000
SH
Put
DFND
300000
0
0
MARKET V
COM
57060U191
19000
50000
SH
Call
DFND
50000
0
0
MAST THE
COM
576314108
46000
99800
SH
DFND
99800
0
0
MATTRESS
COM
57722W106
12681000
294628
SH
DFND
294628
0
0
MCGRAW H
COM
580645109
51546000
659159
SH
DFND
659159
0
0
MEADWEST
COM
583334107
30038000
813384
SH
DFND
813384
0
0
MENTOR G
SDCV4
587200AK2
10865000
8187000
SH
DFND
8187000
0
0
MERRIMAC
NOTE4
590328AA8
10407000
10000000
PRN
DFND
10000000
0
0
MERU NET
COM
59047Q103
172000
40000
SH
DFND
40000
0
0
MICROSOF
COM
594918104
78671000
2101806
SH
DFND
2101806
0
0
MICROCHI
SDCV2
595017AB0
29561000
17000000
SH
DFND
17000000
0
0
MICRON T
COM
595112103
20449000
939768
SH
DFND
939768
0
0
MID-AMER
COM
59522J103
44644000
735000
SH
DFND
735000
0
0
MOHAWK I
COM
608190104
3127000
21000
SH
DFND
21000
0
0
MONDELEZ
COM
609207105
1134000
600000
SH
Call
DFND
600000
0
0
MONDELEZ
CLA
609207105
43948000
1245000
SH
DFND
1245000
0
0
MORGAN S
COMNE
617446448
10498000
334751
SH
DFND
334751
0
0
MYERS IN
COM
628464109
317000
15000
SH
DFND
15000
0
0
MYLAN IN
NOTE3
628530AJ6
98559000
30000000
PRN
DFND
30000000
0
0
MYRIAD G
COM
62855J104
16784000
800000
SH
DFND
800000
0
0
NPS PHAR
COM
62936P103
1518000
50000
SH
DFND
50000
0
0
NRG ENER
COMNE
629377508
9190000
320001
SH
DFND
320001
0
0
NANOSPHE
COM
63009F105
458000
200000
SH
DFND
200000
0
0
NATIONAL
CLA
633707104
3210000
150000
SH
DFND
150000
0
0
NATIONAL
COM
637071101
52148000
655699
SH
DFND
655699
0
0
NAVISTAR
COM
63934E108
302000
100000
SH
Put
DFND
100000
0
0
NAVISTAR
NOTE3
63934EAL2
1028000
1000000
PRN
DFND
1000000
0
0
NEWS COR
CLA
65249B109
35578000
1974335
SH
DFND
1974335
0
0
NEXTERA
COM
65339F101
20823000
243200
SH
DFND
243200
0
0
NIKE INC
CLB
654106103
14337000
182309
SH
DFND
182309
0
0
NISOURCE
COM
65473P105
16413000
499181
SH
DFND
499181
0
0
NORTHEAS
COM
664397106
13496000
318372
SH
DFND
318372
0
0
NOVADAQ
COM
66987G102
527000
31967
SH
DFND
31967
0
0
NUANCE C
NOTE2
67020YAF7
1473000
1500000
PRN
DFND
1500000
0
0
NUVASIVE
NOTE2
670704AC9
1088000
1000000
PRN
DFND
1000000
0
0
OGE ENER
COM
670837103
15453000
455837
SH
DFND
455837
0
0
OCWEN FI
COM
675746309
86000
50000
SH
Call
DFND
50000
0
0
OLYMPIC
COM
68162K106
1994000
68802
SH
DFND
68802
0
0
ONEOK IN
COM
682680103
16237000
261132
SH
DFND
261132
0
0
PG&E COR
COM
69331C108
6113000
151768
SH
DFND
151768
0
0
PHH CORP
NOTE6
693320AQ6
22683000
11000000
PRN
DFND
11000000
0
0
PPL CORP
COM
69351T106
23787000
790515
SH
DFND
790515
0
0
PS BUSIN
COM
69360J107
15836000
207220
SH
DFND
207220
0
0
PACWEST
COM
695263103
11106000
263056
SH
DFND
263056
0
0
PARKWAY
COM
70159Q104
21472000
1113140
SH
DFND
1113140
0
0
PAYCHEX
COM
704326107
5150000
113105
SH
DFND
113105
0
0
PENN NAT
COM
707569109
2247000
156826
SH
DFND
156826
0
0
PENNEY J
COM
708160106
10323000
1128241
SH
DFND
1128241
0
0
PENNSYLV
SHBEN
709102107
6643000
350000
SH
DFND
350000
0
0
PEPCO HO
COM
713291102
13000
251500
SH
Call
DFND
251500
0
0
PHILIP M
COM
718172109
31000
250000
SH
Call
DFND
250000
0
0
PHILIP M
COM
718172109
76316000
875883
SH
DFND
875883
0
0
PINNACLE
COM
723456109
16590000
638320
SH
DFND
638320
0
0
PLURISTE
COM
72940R102
10000
175000
SH
Call
DFND
175000
0
0
POLYONE
COM
73179P106
548000
15498
SH
DFND
15498
0
0
POPULAR
COMNE
733174700
12910000
449363
SH
DFND
449363
0
0
POST HLD
COM
737446104
10459000
212275
SH
DFND
212275
0
0
POST PPT
COM
737464107
29381000
649600
SH
DFND
649600
0
0
PROCTER
COM
742718109
36134000
443850
SH
DFND
443850
0
0
PRIVATEB
COM
742962103
5692000
196762
SH
DFND
196762
0
0
PROLOGIS
COM
74340W103
12356000
334400
SH
DFND
334400
0
0
QIWI PLC
SPONA
74735M108
564000
10068
SH
DFND
10068
0
0
QUANTA S
COM
74762E102
1970000
62416
SH
DFND
62416
0
0
QUANTUM
NOTE4
747906AJ4
5114000
5000000
PRN
DFND
5000000
0
0
RLJ LODG
COM
74965L101
15322000
630000
SH
DFND
630000
0
0
RALPH LA
CLA
751212101
41220000
233448
SH
DFND
233448
0
0
REDWOOD
COM
758075402
33311000
1719744
SH
DFND
1719744
0
0
REGENCY
COM
758849103
7572000
163545
SH
DFND
163545
0
0
REGULUS
COM
75915K101
180000
24400
SH
DFND
24400
0
0
REGIONS
COM
7591EP100
22728000
2298062
SH
DFND
2298062
0
0
RELIANCE
COM
759509102
14030000
184996
SH
DFND
184996
0
0
REPUBLIC
COM
760759100
6250000
188254
SH
DFND
188254
0
0
RETAIL O
COM
76131N101
23122000
1570807
SH
DFND
1570807
0
0
RIO TINT
COM
767204100
35000
202800
SH
Call
DFND
202800
0
0
RITE AID
COM
767754104
3795000
750000
SH
DFND
750000
0
0
ROSS STO
COM
778296103
43716000
583429
SH
DFND
583429
0
0
ROUSE PP
COM
779287101
1522000
68567
SH
DFND
68567
0
0
ROYAL GO
NOTE2
780287AA6
483000
500000
PRN
DFND
500000
0
0
RYMAN HO
COM
78377T107
40490000
969119
SH
DFND
969119
0
0
SBA COMM
COM
78388J106
21489000
239188
SH
DFND
239188
0
0
SBA COMM
NOTE4
78388JAM8
10363000
3500000
PRN
DFND
3500000
0
0
SL GREEN
COM
78440X101
7390000
80000
SH
DFND
80000
0
0
SPDR S&P
COM
78462F103
2156000
900100
SH
Call
DFND
900100
0
0
SPDR S&P
TRUNI
78462F103
75538000
409000
SH
DFND
409000
0
0
SPDR SER
S&PRE
78464A698
5036000
124000
SH
DFND
124000
0
0
SPDR SER
COM
78464A730
16000
20000
SH
Put
DFND
20000
0
0
SAFEGUAR
COMNE
786449207
4771000
237457
SH
DFND
237457
0
0
SANDISK
NOTE1
80004CAD3
25801000
17500000
PRN
DFND
17500000
0
0
SANGAMO
COM
800677106
888000
63959
SH
DFND
63959
0
0
SANOFI
RIGHT
80105N113
409000
1203178
SH
DFND
1203178
0
0
SCHWAB C
COM
808513105
47560000
1829213
SH
DFND
1829213
0
0
SEACOR H
NOTE2
811904AM3
6746000
5500000
PRN
DFND
5500000
0
0
SELECT S
SBIIN
81369Y506
620000
7000
SH
DFND
7000
0
0
SELECT S
COM
81369Y886
88000
353700
SH
Put
DFND
353700
0
0
SEMPRA E
COM
816851109
23697000
264000
SH
DFND
264000
0
0
SEQUENOM
COM
817337405
8000
50000
SH
Call
DFND
50000
0
0
SEQUENOM
NOTE5
817337AB4
5658000
6500000
PRN
DFND
6500000
0
0
SERVICE
COM
817565104
2720000
150000
SH
DFND
150000
0
0
SHERWIN
COM
824348106
40000
10000
SH
Put
DFND
10000
0
0
SHERWIN
COM
824348106
1069000
5827
SH
DFND
5827
0
0
SIMON PP
COM
828806109
46030000
302512
SH
DFND
302512
0
0
SMITH A
COM
831865209
6271000
116266
SH
DFND
116266
0
0
SMUCKER
COMNE
832696405
46232000
446169
SH
DFND
446169
0
0
SNYDERS-
COM
833551104
6158000
214410
SH
DFND
214410
0
0
SOLARCIT
NOTE2
83416TAA8
7729000
6500000
PRN
DFND
6500000
0
0
SOUFUN H
COM
836034108
100000
50000
SH
Put
DFND
50000
0
0
SOVRAN S
COM
84610H108
25091000
385001
SH
DFND
385001
0
0
SPARK NE
COM
84651P100
708000
115000
SH
DFND
115000
0
0
SPIRIT R
COM
84860W102
6881000
700000
SH
DFND
700000
0
0
SPRINT C
COMSE
85207U105
3597000
334602
SH
DFND
334602
0
0
STANLEY
COM
854502101
31483000
390174
SH
DFND
390174
0
0
STARWOOD
COM
85590A401
64509000
811940
SH
DFND
811940
0
0
STEEL DY
NOTE5
858119AP5
14502000
12239000
PRN
DFND
12239000
0
0
STONE EN
NOTE1
861642AN6
554000
500000
PRN
DFND
500000
0
0
STRATEGI
COM
86272T106
1890000
200000
SH
DFND
200000
0
0
SUNSHINE
COM
86782U106
695000
71614
SH
DFND
71614
0
0
SUSQUEHA
COM
869099101
1274000
99198
SH
DFND
99198
0
0
T-MOBILE
COM
872590104
464000
70000
SH
Call
DFND
70000
0
0
T-MOBILE
COM
872590104
5312000
157916
SH
DFND
157916
0
0
TTM TECH
COM
87305R109
3393000
395400
SH
DFND
395400
0
0
TAIWAN S
SPONS
874039100
60430000
3465000
SH
DFND
3465000
0
0
TARGET C
COM
87612E106
34637000
547443
SH
DFND
547443
0
0
TELEFLEX
NOTE3
879369AA4
37909000
24000000
PRN
DFND
24000000
0
0
TERADYNE
NOTE4
880770AE2
109624000
34008000
PRN
DFND
34008000
0
0
TERRENO
COM
88146M101
4956000
279999
SH
DFND
279999
0
0
TESLA MT
NOTE1
88160RAA9
48523000
35000000
PRN
DFND
35000000
0
0
THOMPSON
COM
884768102
5000
208500
SH
Call
DFND
208500
0
0
THOMPSON
UNIT9
884768300
11950000
942719
SH
DFND
942719
0
0
TIBCO SO
NOTE2
88632QAB9
931000
925000
PRN
DFND
925000
0
0
TIME WAR
COM
88732J207
7660000
56534
SH
DFND
56534
0
0
TIMKEN C
COM
887389104
11965000
217274
SH
DFND
217274
0
0
TOLL BRO
COM
889478103
18130000
490000
SH
DFND
490000
0
0
TOWERSTR
COM
892000100
148000
50000
SH
DFND
50000
0
0
TRAVELCE
COM
894174101
1656000
170000
SH
DFND
170000
0
0
TRINITY
COM
896522109
7802000
143107
SH
DFND
143107
0
0
TRULIA I
COM
897888103
965000
27365
SH
DFND
27365
0
0
TWENTY F
CLA
90130A101
4540000
129045
SH
DFND
129045
0
0
TWITTER
COM
90184L102
100000
30000
SH
Put
DFND
30000
0
0
TWO HBRS
COM
90187B101
3805000
409998
SH
DFND
409998
0
0
UIL HLDG
COM
902748102
1992000
51400
SH
DFND
51400
0
0
UMPQUA H
COM
904214103
5502000
287463
SH
DFND
287463
0
0
UNION PA
COM
907818108
7521000
44768
SH
DFND
44768
0
0
UNITED R
COM
911363109
9112000
116899
SH
DFND
116899
0
0
UNITED S
NOTE4
912909AE8
1072000
1000000
PRN
DFND
1000000
0
0
UNITED T
COM
913017109
23040000
202464
SH
DFND
202464
0
0
UNITED T
NOTE1
91307CAF9
23703000
10000000
PRN
DFND
10000000
0
0
VENTAS I
COM
92276F100
20048000
350002
SH
DFND
350002
0
0
VERTEX E
COM
92534K107
105000
31300
SH
DFND
31300
0
0
VIACOM I
CLB
92553P201
8628000
98783
SH
DFND
98783
0
0
VIROPHAR
COM
928241108
22887000
459122
SH
DFND
459122
0
0
VODAFONE
SPONS
92857W209
11878000
302164
SH
DFND
302164
0
0
VORNADO
SHBEN
929042109
9802000
110396
SH
DFND
110396
0
0
WCI CMNT
COMPA
92923C807
3341000
175000
SH
DFND
175000
0
0
WALGREEN
COM
931422109
29498000
513538
SH
DFND
513538
0
0
WALTER I
NOTE4
93317WAA0
1004000
1000000
PRN
DFND
1000000
0
0
WEBMD HE
COM
94770V102
29000
30000
SH
Call
DFND
30000
0
0
WEBMD HE
NOTE2
94770VAF9
988000
1000000
PRN
DFND
1000000
0
0
WELLS FA
COM
949746101
8643000
190380
SH
DFND
190380
0
0
WESCO IN
DBCV6
95082PAH8
64874000
20000000
SH
DFND
20000000
0
0
WESTAR E
COM
95709T100
16008000
497605
SH
DFND
497605
0
0
WHITEWAV
COMCL
966244105
35194000
1534178
SH
DFND
1534178
0
0
WHOLE FO
COM
966837106
110000
100000
SH
Call
DFND
100000
0
0
WHOLE FO
COM
966837106
9394000
162435
SH
DFND
162435
0
0
WRIGHT M
COM
98235T107
89000
50000
SH
Call
DFND
50000
0
0
XOMA COR
COM
98419J107
1582000
235000
SH
DFND
235000
0
0
YAHOO IN
COM
984332106
10078000
249200
SH
DFND
249200
0
0
YAMANA G
COM
98462Y100
125000
14535
SH
DFND
14535
0
0
YOUKU TU
SPONS
98742U100
2428000
80133
SH
DFND
80133
0
0
CREDICOR
COM
G2519Y108
261000
1967
SH
DFND
1967
0
0
HERBALIF
COM
G4412G101
379000
200000
SH
Call
DFND
200000
0
0
HERBALIF
COMUS
G4412G101
21022000
267112
SH
DFND
267112
0
0
LAZARD L
SHSA
G54050102
13173000
290657
SH
DFND
290657
0
0
LIBERTY
SHSCL
G5480U104
2869000
32238
SH
DFND
32238
0
0
NOBLE CO
SHSUS
G65431101
56719000
1513705
SH
DFND
1513705
0
0
SIGNET J
SHS
G81276100
13287000
168832
SH
DFND
168832
0
0
VANTAGE
ORDSH
G93205113
644000
350000
SH
DFND
350000
0
0
FOSTER W
COM
H27178104
14796000
448080
SH
DFND
448080
0
0
NIELSEN
COM
N63218106
80308000
1750000
SH
DFND
1750000
0
0
COPA HOL
CLA
P31076105
274000
1710
SH
DFND
1710
0
0
AEGEAN M
COM
Y0017S102
5000
50000
SH
Put
DFND
50000
0
0
SEASPAN
COM
Y75638109
9000
50000
SH
Put
DFND
50000
0
0