0001132716-16-000024.txt : 20160210
0001132716-16-000024.hdr.sgml : 20160210
20160210142150
ACCESSION NUMBER: 0001132716-16-000024
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160210
DATE AS OF CHANGE: 20160210
EFFECTIVENESS DATE: 20160210
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: 161404895
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
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UBS OCONNOR LLC
ONE NORTH WACKER DRIVE 32ND FLOOR
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IL
60606
13F HOLDINGS REPORT
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N
Sal DiGangi
CCO
212-821-6206
Sal DiGangi
Chicago
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02-10-2016
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SH
DFND
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BEMIS IN
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DFND
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SH
DFND
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85000
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DFND
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DFND
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DFND
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DFND
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678356
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210000
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Call
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SH
DFND
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SH
DFND
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0
0
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60000
SH
DFND
60000
0
0
FITBIT I
CLA
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1941000
65600
SH
DFND
65600
0
0
FOMENTO
SPONA
344419106
884000
9575
SH
DFND
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0
0
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11736000
180300
SH
DFND
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0
0
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DFND
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DFND
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0
0
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SH
DFND
350000
0
0
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9750000
PRN
DFND
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0
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130000
SH
DFND
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0
0
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250803
SH
DFND
250803
0
0
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597000
29454
SH
Call
DFND
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0
0
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78492000
2307899
SH
DFND
2307899
0
0
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621242
SH
DFND
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0
0
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1567000
88012
SH
DFND
88012
0
0
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313000
1178184
SH
DFND
1178184
0
0
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382410AG3
3355000
21300000
PRN
DFND
21300000
0
0
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CLA
38268T103
855000
47500
SH
DFND
47500
0
0
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19149000
192274
SH
DFND
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0
0
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4803000
374344
SH
DFND
374344
0
0
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570000
35000
SH
DFND
35000
0
0
GREAT AJ
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491000
40500
SH
DFND
40500
0
0
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391416104
1442000
49701
SH
DFND
49701
0
0
GRUBHUB
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400110102
2420000
100000
SH
DFND
100000
0
0
GRUPO TE
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40049J206
680000
25000
SH
DFND
25000
0
0
GULFPORT
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3705000
150800
SH
DFND
150800
0
0
HANESBRA
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410345102
5886000
200000
SH
DFND
200000
0
0
HARSCO C
COM
415864107
8093000
1026996
SH
DFND
1026996
0
0
HEALTHEQ
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42226A107
3146000
125484
SH
DFND
125484
0
0
HERTZ GL
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42805T105
3052000
214500
SH
DFND
214500
0
0
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43300A104
3647000
170400
SH
DFND
170400
0
0
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437076102
2968000
22443
SH
DFND
22443
0
0
HONEYWEL
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438516106
5525000
53341
SH
DFND
53341
0
0
IAC INTE
COMPA
44919P508
901000
15000
SH
DFND
15000
0
0
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27002000
716229
SH
DFND
716229
0
0
INTERPUB
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582000
25000
SH
DFND
25000
0
0
INTERSEC
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1094000
48600
SH
DFND
48600
0
0
INTUIT
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461202103
11098000
115000
SH
DFND
115000
0
0
INVENSEN
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46123D205
767000
75000
SH
DFND
75000
0
0
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662000
75000
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DFND
75000
0
0
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464286731
798000
62500
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DFND
62500
0
0
ISHARES
MSCIS
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701000
15000
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DFND
15000
0
0
ISHARES
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4818000
96685
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DFND
96685
0
0
ISHARES
CHINA
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9070000
257000
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DFND
257000
0
0
ISHARES
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2356000
11500
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DFND
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0
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2511000
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DFND
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26254000
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DFND
268286
0
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146000
150000
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8491000
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0
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0
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JONES EN
COMCL
48019R108
2358000
612547
SH
DFND
612547
0
0
KCG HLDG
CLA
48244B100
9664000
785043
SH
DFND
785043
0
0
K2M GROU
COM
48273J107
2369000
120000
SH
DFND
120000
0
0
KELLOGG
COM
487836108
95905000
1327037
SH
DFND
1327037
0
0
KEYW HLD
COM
493723100
1868000
310236
SH
DFND
310236
0
0
KEYW HLD
NOTE2
493723AA8
2241000
3000000
PRN
DFND
3000000
0
0
KIMBERLY
COM
494368103
30217000
237368
SH
DFND
237368
0
0
KITE PHA
COM
49803L109
246000
4000
SH
DFND
4000
0
0
KRAFT HE
COM
500754106
1097000
15075
SH
DFND
15075
0
0
LDR HLDG
COM
50185U105
360000
14356
SH
DFND
14356
0
0
LAMAR AD
CLA
512816109
1500000
25000
SH
DFND
25000
0
0
LAS VEGA
COM
517834107
7295000
166400
SH
DFND
166400
0
0
LEGG MAS
COM
524901105
3923000
100000
SH
DFND
100000
0
0
LENNAR C
CLA
526057104
5618000
114856
SH
DFND
114856
0
0
LEXICON
NOTE5
528872AB0
14952000
8500000
PRN
DFND
8500000
0
0
LIBERTY
NOTE1
531229AB8
984000
1000000
PRN
DFND
1000000
0
0
LINKEDIN
COMCL
53578A108
3039000
13500
SH
DFND
13500
0
0
LIONS GA
COMNE
535919203
21765000
671958
SH
DFND
671958
0
0
LOWES CO
COM
548661107
9885000
130000
SH
DFND
130000
0
0
LULULEMO
COM
550021109
4076000
77682
SH
DFND
77682
0
0
LYON WIL
CLANE
552074700
2953000
178956
SH
DFND
178956
0
0
MDC PART
CLASU
552697104
652000
30000
SH
DFND
30000
0
0
MGM RESO
COM
552953101
2363000
104000
SH
DFND
104000
0
0
MRC GLOB
COM
55345K103
38695000
2999588
SH
DFND
2999588
0
0
MSC INDL
CLA
553530106
12564000
223286
SH
DFND
223286
0
0
MACYS IN
COM
55616P104
7870000
225000
SH
DFND
225000
0
0
MARINUS
COM
56854Q101
248000
32500
SH
DFND
32500
0
0
MARKET V
RUSSI
57060U506
3662000
250000
SH
DFND
250000
0
0
MARRIOTT
CLA
571903202
4291000
64000
SH
DFND
64000
0
0
MASCO CO
COM
574599106
2961000
104638
SH
DFND
104638
0
0
MASTERCA
CLA
57636Q104
2771000
28463
SH
DFND
28463
0
0
MATCH GR
COM
57665R106
813000
60000
SH
DFND
60000
0
0
MCDERMOT
COM
580037109
22000
300000
SH
Call
DFND
300000
0
0
MCDONALD
COM
580135101
18147000
153606
SH
DFND
153606
0
0
MENTOR G
SDCV4
587200AK2
22385000
21500000
SH
DFND
21500000
0
0
MICHAELS
COM
59408Q106
7517000
340000
SH
DFND
340000
0
0
MICROSOF
COM
594918104
30538000
550426
SH
DFND
550426
0
0
MOBILEIR
COMNE
60739U204
482000
133620
SH
DFND
133620
0
0
MOHAWK I
COM
608190104
55868000
294990
SH
DFND
294990
0
0
MOLSON C
COM
60871R209
249000
111700
SH
Call
DFND
111700
0
0
MOLSON C
CLB
60871R209
45684000
486412
SH
DFND
486412
0
0
MONDELEZ
COM
609207105
284000
373300
SH
Call
DFND
373300
0
0
MONDELEZ
CLA
609207105
22350000
498430
SH
DFND
498430
0
0
NATERA I
COM
632307104
864000
80000
SH
DFND
80000
0
0
NATIONAL
COM
637071101
4635000
138400
SH
DFND
138400
0
0
NAVISTAR
NOTE4
63934EAS7
11853000
24441000
PRN
DFND
24441000
0
0
NETFLIX
COM
64110L106
4196000
36683
SH
DFND
36683
0
0
NETSUITE
NOTE0
64118QAB3
990000
1000000
PRN
DFND
1000000
0
0
NEWELL R
COM
651229106
6954000
157759
SH
DFND
157759
0
0
NEWFIELD
COM
651290108
4656000
143000
SH
DFND
143000
0
0
NEXSTAR
CLA
65336K103
294000
5000
SH
DFND
5000
0
0
NIKE INC
CLB
654106103
10086000
161374
SH
DFND
161374
0
0
NOBLE EN
COM
655044105
2964000
90000
SH
DFND
90000
0
0
NORFOLK
COM
655844108
7146000
84477
SH
DFND
84477
0
0
NUANCE C
NOTE2
67020YAF7
1009000
1000000
PRN
DFND
1000000
0
0
NUCOR CO
COM
670346105
22559000
559788
SH
DFND
559788
0
0
NVIDIA C
NOTE1
67066GAC8
45698000
27500000
PRN
DFND
27500000
0
0
O REILLY
COM
67103H107
4815000
19000
SH
DFND
19000
0
0
OCCIDENT
COM
674599105
33164000
490516
SH
DFND
490516
0
0
OLLIES B
COM
681116109
1276000
75000
SH
DFND
75000
0
0
ONEMAIN
COM
68268W103
2865000
68975
SH
DFND
68975
0
0
OPUS BK
COM
684000102
2958000
80000
SH
DFND
80000
0
0
OREXIGEN
NOTE2
686164AB0
12519000
20664000
PRN
DFND
20664000
0
0
ORION EN
COM
686275108
217000
100000
SH
DFND
100000
0
0
OWENS CO
COM
690742101
5161000
109735
SH
DFND
109735
0
0
PBF ENER
CLA
69318G106
16133000
438274
SH
DFND
438274
0
0
PDC ENER
COM
69327R101
4575000
85700
SH
DFND
85700
0
0
PMC-SIER
COM
69344F106
7839000
674599
SH
DFND
674599
0
0
PPG INDS
COM
693506107
30891000
312601
SH
DFND
312601
0
0
PVH CORP
COM
693656100
7365000
100000
SH
DFND
100000
0
0
PACCAR I
COM
693718108
12936000
272906
SH
DFND
272906
0
0
PACWEST
COM
695263103
965000
22400
SH
DFND
22400
0
0
PALO ALT
COM
697435105
881000
5000
SH
DFND
5000
0
0
PANDORA
COM
698354107
805000
60000
SH
DFND
60000
0
0
PARSLEY
CLA
701877102
5160000
279665
SH
DFND
279665
0
0
PATTERSO
COM
703481101
22699000
1505239
SH
DFND
1505239
0
0
PAYPAL H
COM
70450Y103
82833000
2288208
SH
DFND
2288208
0
0
PEPSICO
COM
713448108
33647000
336744
SH
DFND
336744
0
0
PFENEX I
COM
717071104
178000
14400
SH
DFND
14400
0
0
PHILIP M
COM
718172109
7128000
81083
SH
DFND
81083
0
0
PINNACLE
COM
72348P104
43282000
1019364
SH
DFND
1019364
0
0
PIONEER
COM
723787107
4514000
36000
SH
DFND
36000
0
0
PLUG POW
COMNE
72919P202
422000
200000
SH
DFND
200000
0
0
POLYONE
COM
73179P106
10243000
322525
SH
DFND
322525
0
0
POST HLD
COM
737446104
54561000
884288
SH
DFND
884288
0
0
POWERSHA
GOLDE
73935X401
3784000
115000
SH
DFND
115000
0
0
PRECISIO
COM
740189105
54000
693600
SH
Put
DFND
693600
0
0
PRECISIO
COM
740189105
322960000
1392009
SH
DFND
1392009
0
0
PRICELIN
COMNE
741503403
16520000
12957
SH
DFND
12957
0
0
PRICELIN
NOTE1
741503AQ9
14234000
10000000
PRN
DFND
10000000
0
0
PRICELIN
NOTE0
741503AX4
1011000
1000000
PRN
DFND
1000000
0
0
PROGRESS
COM
743315103
45363000
1426518
SH
DFND
1426518
0
0
PROGRESS
COM
74339G101
8764000
372144
SH
DFND
372144
0
0
PROSHARE
ULTRA
74347W882
30333000
1188130
SH
DFND
1188130
0
0
PROTALIX
NOTE4
74365AAB7
8070000
11000000
PRN
DFND
11000000
0
0
QLIK TEC
COM
74733T105
1266000
40000
SH
DFND
40000
0
0
QEP RES
COM
74733V100
2693000
201000
SH
DFND
201000
0
0
QUALCOMM
COM
747525103
4499000
90000
SH
DFND
90000
0
0
RTI INTL
NOTE1
74973WAB3
1028000
1000000
PRN
DFND
1000000
0
0
RADIANT
COM
75025X100
172000
50000
SH
DFND
50000
0
0
RAMBUS I
NOTE1
750917AE6
1159000
1000000
PRN
DFND
1000000
0
0
RED HAT
COM
756577102
4555000
55000
SH
DFND
55000
0
0
RED ROBI
COM
75689M101
2964000
48000
SH
DFND
48000
0
0
RELYPSA
COM
759531106
1134000
40000
SH
DFND
40000
0
0
RICE ENE
COM
762760106
3368000
309000
SH
DFND
309000
0
0
RUCKUS W
COM
781220108
4820000
450000
SH
DFND
450000
0
0
SPDR S&P
COM
78462F103
15000
68000
SH
Call
DFND
68000
0
0
SPDR S&P
COM
78462F103
471000
225000
SH
Put
DFND
225000
0
0
SPDR S&P
TRUNI
78462F103
12517000
61395
SH
DFND
61395
0
0
SPDR SER
S&PRE
78464A698
2620000
62500
SH
DFND
62500
0
0
SPDR SER
S&PBI
78464A870
5070000
72217
SH
DFND
72217
0
0
SALESFOR
COM
79466L302
6782000
86500
SH
DFND
86500
0
0
SALESFOR
NOTE0
79466LAD6
1289000
1000000
PRN
DFND
1000000
0
0
SANCHEZ
COM
79970Y105
1567000
363678
SH
DFND
363678
0
0
SANDISK
NOTE0
80004CAF8
31340000
30025000
PRN
DFND
30025000
0
0
SANOFI
RIGHT
80105N113
135000
1203178
SH
DFND
1203178
0
0
SCHLUMBE
COM
806857108
3843000
55100
SH
DFND
55100
0
0
SCHWAB C
COM
808513105
146882000
4460442
SH
DFND
4460442
0
0
SELECT S
SBIHE
81369Y209
9394000
130422
SH
DFND
130422
0
0
SELECT S
SBICO
81369Y308
3787000
75000
SH
DFND
75000
0
0
SELECT S
COM
81369Y506
2000
60000
SH
Call
DFND
60000
0
0
SEQUENOM
COM
817337405
5000
509600
SH
Call
DFND
509600
0
0
SEQUENOM
NOTE5
817337AB4
4160000
5000000
PRN
DFND
5000000
0
0
SEQUENOM
NOTE5
817337AC2
9643000
12000000
PRN
DFND
12000000
0
0
SERVICE
COM
817565104
6765000
260000
SH
DFND
260000
0
0
SHUTTERF
NOTE0
82568PAB2
969000
1000000
PRN
DFND
1000000
0
0
SILGAN H
COM
827048109
6876000
127991
SH
DFND
127991
0
0
SKECHERS
CLA
830566105
5287000
175000
SH
DFND
175000
0
0
SNYDERS-
COM
833551104
15193000
442938
SH
DFND
442938
0
0
SONOCO P
COM
835495102
6084000
148858
SH
DFND
148858
0
0
SOUTHWES
COM
844741108
5813000
135000
SH
DFND
135000
0
0
SPARK TH
COM
84652J103
4395000
97000
SH
DFND
97000
0
0
SPIRIT A
COM
848577102
1793000
45000
SH
DFND
45000
0
0
SPLUNK I
COM
848637104
2940000
50000
SH
DFND
50000
0
0
SPROUTS
COM
85208M102
5674000
213400
SH
DFND
213400
0
0
STANDARD
NOTE1
85375CBC4
13971000
12500000
PRN
DFND
12500000
0
0
STARBUCK
COM
855244109
905000
15075
SH
DFND
15075
0
0
STEEL DY
COM
858119100
16382000
916715
SH
DFND
916715
0
0
STIFEL F
COM
860630102
939000
22166
SH
DFND
22166
0
0
SUFFOLK
COM
864739107
780000
27500
SH
DFND
27500
0
0
SUNCOR E
COM
867224107
7776000
301400
SH
DFND
301400
0
0
SUNTRUST
COM
867914103
10710000
250000
SH
DFND
250000
0
0
SUPERIOR
COM
868157108
2894000
214833
SH
DFND
214833
0
0
SYMANTEC
COM
871503108
1050000
50000
SH
DFND
50000
0
0
SYMETRA
COM
87151Q106
13228000
416376
SH
DFND
416376
0
0
SYNOVUS
COMNE
87161C501
2428000
75000
SH
DFND
75000
0
0
SYNERGY
COM
87164P103
4627000
543108
SH
DFND
543108
0
0
SYNCHRON
COM
87165B103
13684000
450000
SH
DFND
450000
0
0
TJX COS
COM
872540109
10686000
150700
SH
DFND
150700
0
0
T MOBILE
COM
872590104
528000
13500
SH
DFND
13500
0
0
TABLEAU
CLA
87336U105
565000
6000
SH
DFND
6000
0
0
TAKE-TWO
NOTE1
874054AD1
24991000
15000000
PRN
DFND
15000000
0
0
TALMER B
COM
87482X101
1141000
63000
SH
DFND
63000
0
0
TARGET C
COM
87612E106
11255000
155000
SH
DFND
155000
0
0
TEMPUR S
COM
88023U101
6005000
85220
SH
DFND
85220
0
0
TERADATA
COM
88076W103
528000
20000
SH
DFND
20000
0
0
TESLA MT
NOTE1
88160RAA9
58823000
30000000
PRN
DFND
30000000
0
0
THERAPEU
COM
88338N107
130000
12500
SH
DFND
12500
0
0
THERMO F
COM
883556102
1277000
9000
SH
DFND
9000
0
0
3M CO
COM
88579Y101
31000
106000
SH
Put
DFND
106000
0
0
3M CO
COM
88579Y101
5525000
36677
SH
DFND
36677
0
0
TOWERS W
CLA
891894107
76049000
592002
SH
DFND
592002
0
0
TOTAL SY
COM
891906109
2054000
41250
SH
DFND
41250
0
0
TREEHOUS
COM
89469A104
10785000
137461
SH
DFND
137461
0
0
TRIBUNE
COM
896082104
138000
15000
SH
DFND
15000
0
0
TWITTER
COM
90184L102
1620000
70000
SH
DFND
70000
0
0
TWITTER
NOTE0
90184LAB8
854000
1000000
PRN
DFND
1000000
0
0
TYSON FO
UNIT9
902494301
63379000
1045000
SH
DFND
1045000
0
0
US BANCO
COMNE
902973304
15674000
367339
SH
DFND
367339
0
0
U S SILI
COM
90346E103
4503000
240408
SH
DFND
240408
0
0
UNION PA
COM
907818108
16749000
214182
SH
DFND
214182
0
0
UNITED C
COM
90984P303
1301000
66766
SH
DFND
66766
0
0
UNITED S
UNIT
91167Q100
1224000
100000
SH
DFND
100000
0
0
UNITED S
UNITS
91232N108
23459000
2132630
SH
DFND
2132630
0
0
UNIVAR I
COM
91336L107
2794000
164240
SH
DFND
164240
0
0
V F CORP
COM
918204108
5291000
85000
SH
DFND
85000
0
0
VTV THER
CLA
918385105
250000
36698
SH
DFND
36698
0
0
VALE S A
COM
91912E105
86000
953600
SH
Call
DFND
953600
0
0
VANTIV I
CLA
92210H105
2608000
55000
SH
DFND
55000
0
0
VIACOM I
CLB
92553P201
2058000
50000
SH
DFND
50000
0
0
VIRTU FI
CLA
928254101
1077000
47584
SH
DFND
47584
0
0
VMWARE I
CLACO
928563402
849000
15000
SH
DFND
15000
0
0
WESTERN
COM
957638109
1381000
38500
SH
DFND
38500
0
0
WESTERN
COM
959802109
31176000
1740725
SH
DFND
1740725
0
0
WESTLAKE
COM
960413102
36898000
679280
SH
DFND
679280
0
0
WESTROCK
COM
96145D105
37247000
816460
SH
DFND
816460
0
0
WISDOMTR
EUROP
97717X701
2018000
37500
SH
DFND
37500
0
0
WRIGHT M
NOTE2
98235TAC1
16992000
15000000
PRN
DFND
15000000
0
0
YAHOO IN
COM
984332106
1663000
50000
SH
DFND
50000
0
0
YAHOO IN
NOTE1
984332AF3
978000
1000000
PRN
DFND
1000000
0
0
YUM BRAN
COM
988498101
15000
72600
SH
Call
DFND
72600
0
0
YUM BRAN
COM
988498101
2695000
36894
SH
DFND
36894
0
0
ZAYO GRO
COM
98919V105
798000
30000
SH
DFND
30000
0
0
ZENDESK
COM
98936J101
1322000
50000
SH
DFND
50000
0
0
ZILLOW G
CLA
98954M101
7748000
297544
SH
DFND
297544
0
0
ZILLOW G
CLCCA
98954M200
20927000
891266
SH
DFND
891266
0
0
EURONAV
SHS
B38564108
21262000
1550874
SH
DFND
1550874
0
0
AXALTA C
COM
G0750C108
14943000
560697
SH
DFND
560697
0
0
HERBALIF
COMUS
G4412G101
95204000
1775533
SH
DFND
1775533
0
0
HORIZON
SHS
G4617B105
802000
37013
SH
DFND
37013
0
0
INGERSOL
SHS
G47791101
19204000
347334
SH
DFND
347334
0
0
INTERNAT
SHSUS
G4863A108
1025000
63365
SH
DFND
63365
0
0
LIBERTY
LILAC
G5480U138
1034000
25000
SH
DFND
25000
0
0
NIELSEN
SHSEU
G6518L108
204149000
4380882
SH
DFND
4380882
0
0
OXFORD I
ORDSH
G6855A103
647000
56300
SH
DFND
56300
0
0
ROWAN CO
SHSCL
G7665A101
2312000
136400
SH
DFND
136400
0
0
TYCO INT
COM
G91442106
66000
423800
SH
Call
DFND
423800
0
0
TYCO INT
SHS
G91442106
72669000
2278748
SH
DFND
2278748
0
0
GOLAR LN
SHS
G9456A100
458000
29000
SH
DFND
29000
0
0
ALCOBRA
SHS
M2239P109
157000
25000
SH
DFND
25000
0
0
NEURODER
ORDSH
M74231107
682000
40000
SH
DFND
40000
0
0
CIMPRESS
SHSEU
N20146101
63699000
785053
SH
DFND
785053
0
0
CORE LAB
COM
N22717107
990000
9100
SH
DFND
9100
0
0
FIAT CHR
MANCO
N31738110
91299000
784800
SH
DFND
784800
0
0
FRANKS I
COM
N33462107
2559000
153300
SH
DFND
153300
0
0
ROYAL CA
COM
V7780T103
18026000
178105
SH
DFND
178105
0
0
ARDMORE
COM
Y0207T100
2395000
188281
SH
DFND
188281
0
0
AVAGO TE
COM
Y0486S104
1779000
240400
SH
Call
DFND
240400
0
0
AVAGO TE
COM
Y0486S104
38000
194200
SH
Put
DFND
194200
0
0
DHT HOLD
SHSNE
Y2065G121
9866000
1219514
SH
DFND
1219514
0
0
GENER8 M
COM
Y26889108
9287000
982766
SH
DFND
982766
0
0
TEEKAY T
CLA
Y8565N102
18523000
2692270
SH
DFND
2692270
0
0