0001132716-14-000014.txt : 20141114 0001132716-14-000014.hdr.sgml : 20141114 20141114135018 ACCESSION NUMBER: 0001132716-14-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 EFFECTIVENESS DATE: 20141114 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: 141222674 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 09-30-2014 09-30-2014 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

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COM 85917A100 3876000 303055 SH DFND 303055 0 0 STONE EN COM 861642106 2500000 79730 SH DFND 79730 0 0 SUNCOR E COM 867224107 4239000 117264 SH DFND 117264 0 0 SUNSHINE COM 86782U106 88000 15523 SH DFND 15523 0 0 SUNTRUST COM 867914103 3519000 92539 SH DFND 92539 0 0 SYNTA PH COM 87162T206 4000 25000 SH Call DFND 25000 0 0 TECO ENE COM 872375100 8000 30000 SH Put DFND 30000 0 0 TJX COS COM 872540109 45456000 768225 SH DFND 768225 0 0 T-MOBILE COM 872590104 9191000 318355 SH DFND 318355 0 0 TAIWAN S SPONS 874039100 60716000 3008740 SH DFND 3008740 0 0 TESARO I COM 881569107 3042000 113000 SH DFND 113000 0 0 TESLA MT COM 88160R101 3042000 12536 SH DFND 12536 0 0 TESLA MT NOTE1 88160RAA9 50452000 25000000 PRN DFND 25000000 0 0 THERAPEU COM 88338N107 1044000 225000 SH DFND 225000 0 0 THERAVAN NOTE2 88338TAB0 6155000 6500000 PRN DFND 6500000 0 0 TIFFANY COM 886547108 2058000 21364 SH DFND 21364 0 0 TIME WAR COMNE 887317303 20095000 267181 SH DFND 267181 0 0 TIMKEN C COM 887389104 6271000 147938 SH DFND 147938 0 0 TRINITY COM 896522109 10442000 223509 SH DFND 223509 0 0 TYSON FO UNIT9 902494301 40081000 795500 SH DFND 795500 0 0 UDR INC COM 902653104 2472000 90722 SH DFND 90722 0 0 UBIQUITI COM 90347A100 34847000 928518 SH DFND 928518 0 0 UMPQUA H COM 904214103 4619000 280434 SH DFND 280434 0 0 UNDER AR COM 904311107 228000 100000 SH Put DFND 100000 0 0 UNIT COR COM 909218109 27186000 463528 SH DFND 463528 0 0 UNITED P CLB 911312106 4054000 41250 SH DFND 41250 0 0 UNITED S COM 91232N108 17000 50000 SH Put DFND 50000 0 0 UNITED S COM 912909108 8000 25000 SH Put DFND 25000 0 0 UNITED T COM 913017109 53389000 505577 SH DFND 505577 0 0 V F CORP COM 918204108 10619000 160817 SH DFND 160817 0 0 VALE S A COM 91912E105 41000 788600 SH Call DFND 788600 0 0 VALE S A ADR 91912E105 964000 87522 SH DFND 87522 0 0 VALERO E COM 91913Y100 8383000 181173 SH DFND 181173 0 0 VENTAS I COM 92276F100 2860000 46167 SH DFND 46167 0 0 VIACOM I CLB 92553P201 687000 8924 SH DFND 8924 0 0 VIPSHOP SPONS 92763W103 6129000 32428 SH DFND 32428 0 0 VISTEON COMNE 92839U206 12101000 124433 SH DFND 124433 0 0 VITESSE COMNE 928497304 612000 170057 SH DFND 170057 0 0 VOLCANO NOTE1 928645AB6 24987000 28750000 PRN DFND 28750000 0 0 VONAGE H COM 92886T201 99000 30055 SH DFND 30055 0 0 WAL-MART COM 931142103 25933000 339125 SH DFND 339125 0 0 WASHINGT COM 939647103 1233000 70514 SH DFND 70514 0 0 WEB COM NOTE1 94733AAA2 13809000 15000000 PRN DFND 15000000 0 0 WERNER E COM 950755108 13814000 548184 SH DFND 548184 0 0 WESCO IN COM 95082P105 28384000 362692 SH DFND 362692 0 0 WESCO IN DBCV6 95082PAH8 57048000 20500000 SH DFND 20500000 0 0 WHITEWAV COM 966244105 27095000 745800 SH DFND 745800 0 0 WHITING COM 966387102 5166000 66612 SH DFND 66612 0 0 WHOLE FO COM 966837106 22763000 597307 SH DFND 597307 0 0 WILLIAMS COM 969904101 835000 100000 SH Put DFND 100000 0 0 WORKDAY NOTE0 98138HAC5 600000 500000 PRN DFND 500000 0 0 WYNDHAM COM 98310W108 3909000 48100 SH DFND 48100 0 0 XCEL ENE COM 98389B100 16530000 543750 SH DFND 543750 0 0 XCERRA C COM 98400J108 402000 41052 SH DFND 41052 0 0 YELP INC CLA 985817105 13280000 194585 SH DFND 194585 0 0 ZEP INC COM 98944B108 1396000 99607 SH DFND 99607 0 0 ZILLOW I CLA 98954A107 7295000 62891 SH DFND 62891 0 0 ZIONS BA COM 989701107 5232000 180048 SH DFND 180048 0 0 ZYNGA IN CLA 98986T108 1983000 734266 SH DFND 734266 0 0 FRESH DE ORD G36738105 219000 6873 SH DFND 6873 0 0 HERBALIF COMUS G4412G101 54303000 1241208 SH DFND 1241208 0 0 INGERSOL SHS G47791101 9110000 161640 SH DFND 161640 0 0 INVESCO SHS G491BT108 4047000 102519 SH DFND 102519 0 0 LIBERTY SHSCL G5480U120 6697000 163289 SH DFND 163289 0 0 LOMBARD COM G55598109 308000 40000 SH DFND 40000 0 0 MALLINCK SHS G5785G107 788000 8737 SH DFND 8737 0 0 MARVELL ORD G5876H105 140000 10404 SH DFND 10404 0 0 MICHAEL SHS G60754101 42300000 592515 SH DFND 592515 0 0 NOBLE CO SHSUS G65431101 56838000 2557977 SH DFND 2557977 0 0 PARAGON SHS G6S01W108 922000 150000 SH DFND 150000 0 0 PROTHENA SHS G72800108 776000 35000 SH DFND 35000 0 0 SIGNET J SHS G81276100 3002000 26351 SH DFND 26351 0 0 TYCO INT SHS H89128104 5054000 113404 SH DFND 113404 0 0 CONSTELL CLA N22035104 17359000 705368 SH DFND 705368 0 0 NIELSEN COM N63218106 132578000 2990700 SH DFND 2990700 0 0 VISTAPRI SHS N93540107 44227000 807203 SH DFND 807203 0 0 COPA HOL CLA P31076105 1336000 12450 SH DFND 12450 0 0 PARNELL SHS Q73622104 806000 140100 SH DFND 140100 0 0 ARDMORE COM Y0207T100 1109000 101700 SH DFND 101700 0 0 DRYSHIPS COM Y2109Q101 89000 150000 SH Put DFND 150000 0 0 OCEAN RI SHS Y64354205 899000 55764 SH DFND 55764 0 0