0001132716-15-000007.txt : 20150406 0001132716-15-000007.hdr.sgml : 20150406 20150406143743 ACCESSION NUMBER: 0001132716-15-000007 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150406 DATE AS OF CHANGE: 20150406 EFFECTIVENESS DATE: 20150406 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 15753271 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001132716 XXXXXXXX 12-31-2014 12-31-2014 true 1 RESTATEMENT UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

13F HOLDINGS REPORT 028-06327 Y Withdrew confidential request for International Recfifier Corp. Added this holding to our 13F filing. 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0 NATIONAL COM 637071101 28361000 432792 SH DFND 432792 0 0 NATIONAL COM 637417106 671000 17034 SH DFND 17034 0 0 NAVISTAR COM 63934E108 20000 100000 SH Put DFND 100000 0 0 NEOTHETI COM 64066G101 1044000 139600 SH DFND 139600 0 0 NETSUITE NOTE0 64118QAB3 10759000 9590000 PRN DFND 9590000 0 0 NEUSTAR CLA 64126X201 491000 17665 SH DFND 17665 0 0 NEWFIELD COM 651290108 2018000 74400 SH DFND 74400 0 0 NEWPARK COMPA 651718504 1613000 169095 SH DFND 169095 0 0 NEWS COR CLB 65249B208 5421000 359510 SH DFND 359510 0 0 NEXTERA COM 65339F101 4106000 38628 SH DFND 38628 0 0 NIKE INC CLB 654106103 14941000 155394 SH DFND 155394 0 0 NORFOLK COM 655844108 21045000 192000 SH DFND 192000 0 0 NORTHWES COMNE 668074305 4357000 77006 SH DFND 77006 0 0 NOVAVAX COM 670002104 139000 23397 SH DFND 23397 0 0 NUANCE C NOTE2 67020YAF7 1002000 1000000 PRN DFND 1000000 0 0 NUCOR CO COM 670346105 28393000 578856 SH DFND 578856 0 0 NVIDIA C COM 67066G104 6466000 322497 SH DFND 322497 0 0 NVIDIA C NOTE1 67066GAC8 1154000 1000000 PRN DFND 1000000 0 0 OGE ENER COM 670837103 266000 7509 SH DFND 7509 0 0 OFG BANC COM 67103X102 454000 27252 SH DFND 27252 0 0 OCEANEER COM 675232102 14695000 249864 SH DFND 249864 0 0 OLD DOMI COM 679580100 405000 5221 SH DFND 5221 0 0 OLIN COR COMPA 680665205 490000 21538 SH DFND 21538 0 0 OLYMPIC COM 68162K106 1605000 90259 SH DFND 90259 0 0 OMEGA HE COM 681936100 3955000 101231 SH DFND 101231 0 0 OMNIVISI COM 682128103 385000 14790 SH DFND 14790 0 0 ON SEMIC COM 682189105 287000 28307 SH DFND 28307 0 0 OPUS BK COM 684000102 2573000 90704 SH DFND 90704 0 0 ORBCOMM COM 68555P100 1144000 175000 SH DFND 175000 0 0 OREXIGEN NOTE2 686164AB0 9579000 9500000 PRN DFND 9500000 0 0 OTTER TA COM 689648103 213000 6865 SH DFND 6865 0 0 OWENS IL COMNE 690768403 4709000 174471 SH DFND 174471 0 0 OXFORD I COM 691497309 347000 6285 SH DFND 6285 0 0 PG&E COR COM 69331C108 613000 11517 SH DFND 11517 0 0 PNM RES COM 69349H107 5581000 188368 SH DFND 188368 0 0 PPG INDS COM 693506107 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COM 724479100 350000 14375 SH DFND 14375 0 0 PLUG POW COMNE 72919P202 1276000 425200 SH DFND 425200 0 0 POLYCOM COM 73172K104 331000 24513 SH DFND 24513 0 0 PORTLAND COMNE 736508847 3993000 105549 SH DFND 105549 0 0 POST HLD COM 737446104 20016000 477824 SH DFND 477824 0 0 POWERSHA S&P50 73937B779 2278000 60000 SH DFND 60000 0 0 PRAXAIR COM 74005P104 22247000 171714 SH DFND 171714 0 0 PROOFPOI NOTE1 743424AB9 10286000 7500000 PRN DFND 7500000 0 0 PROTALIX NOTE4 74365AAB7 8635000 11000000 PRN DFND 11000000 0 0 PROTECTI COM 743674103 134897000 1936786 SH DFND 1936786 0 0 PULTE GR COM 745867101 407000 18979 SH DFND 18979 0 0 QUAD / G COMCL 747301109 357000 15542 SH DFND 15542 0 0 QEP RES COM 74733V100 352000 17399 SH DFND 17399 0 0 QUALCOMM COM 747525103 251000 3372 SH DFND 3372 0 0 QUANTA S COM 74762E102 11228000 395499 SH DFND 395499 0 0 QUANTUM NOTE4 747906AJ4 5569000 4500000 PRN DFND 4500000 0 0 QUIDEL C NOTE3 74838JAA9 11180000 10000000 PRN DFND 10000000 0 0 RLJ LODG COM 74965L101 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N97284108 763000 42500 SH DFND 42500 0 0 PARNELL SHS Q73622104 509000 122900 SH DFND 122900 0 0 ARDMORE COM Y0207T100 479000 40000 SH DFND 40000 0 0 NAVIOS M COMUN Y62134104 1739000 143162 SH DFND 143162 0 0 OCEAN RI COM Y64354205 22000 100000 SH Put DFND 100000 0 0 INTERNAT COM 459902102 6144000 356148 SH DFND 356148 0 0 INTERNAT COM 460254105 21945000 550000 SH DFND 550000 0 0