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 false false false 0001132716 XXXXXXXX 06-30-2014 06-30-2014 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

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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