0001132716-16-000046.txt : 20161006 0001132716-16-000046.hdr.sgml : 20161006 20161006151539 ACCESSION NUMBER: 0001132716-16-000046 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20161006 DATE AS OF CHANGE: 20161006 EFFECTIVENESS DATE: 20161006 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: 161924797 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 09-30-2015 09-30-2015 true 4 RESTATEMENT UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

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COM 79970Y105 8103000 1317546 SH DFND 1317546 0 0 SANDISK COM 80004C101 20000 150000 SH Put DFND 150000 0 0 SANDISK COM 80004C101 587000 10808 SH DFND 10808 0 0 SANDISK NOTE0 80004CAF8 973000 1000000 PRN DFND 1000000 0 0 SANOFI RIGHT 80105N113 232000 1218279 SH DFND 1218279 0 0 SANTANDE COM 80283M101 2761000 135215 SH DFND 135215 0 0 SCHLUMBE COM 806857108 14160000 205300 SH DFND 205300 0 0 SCHWAB C COM 808513105 112162000 3927245 SH DFND 3927245 0 0 SELECT S COM 81369Y506 8000 60000 SH Call DFND 60000 0 0 SELECT S COM 81369Y506 152000 500000 SH Put DFND 500000 0 0 SEQUENOM COM 817337405 28000 509600 SH Call DFND 509600 0 0 SEQUENOM NOTE5 817337AB4 4340000 5000000 PRN DFND 5000000 0 0 SEQUENOM NOTE5 817337AC2 10395000 12000000 PRN DFND 12000000 0 0 SERVICEN COM 81762P102 1344000 19356 SH DFND 19356 0 0 SHUTTERF NOTE0 82568PAB2 932000 1000000 PRN DFND 1000000 0 0 SIENTRA COM 82621J105 406000 40000 SH DFND 40000 0 0 SIGNATUR COM 82669G104 2304000 16750 SH DFND 16750 0 0 SILGAN H COM 827048109 8077000 155213 SH DFND 155213 0 0 SIMON PP COM 828806109 902000 4910 SH DFND 4910 0 0 SKYWORKS COM 83088M102 1166000 13848 SH DFND 13848 0 0 SMUCKER COMNE 832696405 3288000 28820 SH DFND 28820 0 0 SNYDERS- COM 833551104 11974000 354998 SH DFND 354998 0 0 SOHU COM COM 83408W103 774000 18750 SH DFND 18750 0 0 SONIC CO COM 835451105 2364000 103000 SH DFND 103000 0 0 SONOCO P COM 835495102 11236000 297715 SH DFND 297715 0 0 SOVRAN S COM 84610H108 3942000 41802 SH DFND 41802 0 0 SPRINGLE COM 85172J101 1214000 27773 SH DFND 27773 0 0 SPROUTS COM 85208M102 8214000 389276 SH DFND 389276 0 0 STANDARD NOTE1 85375CBC4 5801000 5000000 PRN DFND 5000000 0 0 STARWOOD COM 85590A401 6381000 95982 SH DFND 95982 0 0 STEEL DY COM 858119100 15451000 899348 SH DFND 899348 0 0 STERLING COM 85917A100 1859000 125000 SH DFND 125000 0 0 STIFEL F COM 860630102 1894000 45000 SH DFND 45000 0 0 SYNERGY COM 87164P103 7988000 815115 SH DFND 815115 0 0 TJX COS COM 872540109 24016000 336266 SH DFND 336266 0 0 T MOBILE COM 872590104 6967000 175000 SH DFND 175000 0 0 TRI POIN COM 87265H109 2624000 200428 SH DFND 200428 0 0 TAKE-TWO NOTE1 874054AD1 21380000 15000000 PRN DFND 15000000 0 0 TAYLOR M CLA 87724P106 448000 24018 SH DFND 24018 0 0 TECK RES COM 878742204 128000 160600 SH Put DFND 160600 0 0 TEMPUR S COM 88023U101 6286000 88000 SH DFND 88000 0 0 TERADATA COM 88076W103 940000 32443 SH DFND 32443 0 0 TESCO CO COM 88157K101 511000 71521 SH DFND 71521 0 0 TESORO C COM 881609101 9471000 97400 SH DFND 97400 0 0 TESLA MT COM 88160R101 1970000 7930 SH DFND 7930 0 0 TESLA MT NOTE1 88160RAA9 59095000 29000000 PRN DFND 29000000 0 0 THERAPEU COM 88338N107 30000 26100 SH Call DFND 26100 0 0 THERAPEU COM 88338N107 221000 37680 SH DFND 37680 0 0 THORATEC COMNE 885175307 22383000 353819 SH DFND 353819 0 0 TIME WAR COMNE 887317303 504000 7334 SH DFND 7334 0 0 TIMKEN C COM 887389104 5116000 186096 SH DFND 186096 0 0 TOLL BRO COM 889478103 3904000 114021 SH DFND 114021 0 0 TOWERS W CLA 891894107 54856000 467338 SH DFND 467338 0 0 TREEHOUS COM 89469A104 15880000 204135 SH DFND 204135 0 0 TRIMBLE COM 896239100 1989000 121117 SH DFND 121117 0 0 TUTOR PE COM 901109108 638000 38756 SH DFND 38756 0 0 TWENTY F CLA 90130A101 5019000 186016 SH DFND 186016 0 0 TWITTER COM 90184L102 866000 32151 SH DFND 32151 0 0 TYSON FO CLA 902494103 25462000 590766 SH DFND 590766 0 0 TYSON FO UNIT9 902494301 21436000 410000 SH DFND 410000 0 0 UDR INC COM 902653104 891000 25853 SH DFND 25853 0 0 US BANCO COMNE 902973304 5720000 139490 SH DFND 139490 0 0 UBIQUITI COM 90347A100 20630000 608724 SH DFND 608724 0 0 UNDER AR COM 904311107 277000 56000 SH Put DFND 56000 0 0 UNILEVER NYSHS 904784709 754000 18750 SH DFND 18750 0 0 UNITED P CLB 911312106 831000 8424 SH DFND 8424 0 0 UNITED R COM 911363109 5587000 93036 SH DFND 93036 0 0 UNITED S NOTE2 912909AH1 7690000 7700000 PRN DFND 7700000 0 0 UNITED T COM 913017109 36981000 415561 SH DFND 415561 0 0 V F CORP COM 918204108 27108000 397423 SH DFND 397423 0 0 VTV THER CLA 918385105 261000 40000 SH DFND 40000 0 0 VALE S A COM 91912E105 120000 859500 SH Call DFND 859500 0 0 VALERO E COM 91913Y100 8633000 143642 SH DFND 143642 0 0 VANTIV I CLA 92210H105 1404000 31250 SH DFND 31250 0 0 VERIFONE COM 92342Y109 2080000 75000 SH DFND 75000 0 0 VIACOM I CLB 92553P201 5394000 125000 SH DFND 125000 0 0 VISA INC COMCL 92826C839 10061000 144437 SH DFND 144437 0 0 VITAMIN COM 92849E101 8160000 250000 SH DFND 250000 0 0 VMWARE I CLACO 928563402 5316000 67465 SH DFND 67465 0 0 VORNADO SHBEN 929042109 878000 9710 SH DFND 9710 0 0 WCI CMNT COMPA 92923C807 1165000 51470 SH DFND 51470 0 0 WAL-MART COM 931142103 8105000 125000 SH DFND 125000 0 0 WEINGART SHBEN 948741103 514000 15523 SH DFND 15523 0 0 WERNER E COM 950755108 9496000 378346 SH DFND 378346 0 0 WESCO IN DBCV6 95082PAH8 6614000 4000000 SH DFND 4000000 0 0 WESTERN COM 957638109 2303000 75000 SH DFND 75000 0 0 WESTERN COM 958102105 7176000 90328 SH DFND 90328 0 0 WESTLAKE COM 960413102 11845000 228272 SH DFND 228272 0 0 WESTROCK COM 96145D105 39072000 759561 SH DFND 759561 0 0 WEYERHAE COM 962166104 9545000 349108 SH DFND 349108 0 0 WHITING COM 966387102 5427000 355391 SH DFND 355391 0 0 WINTRUST COM 97650W108 2628000 49184 SH DFND 49184 0 0 WISDOMTR INDIA 97717W422 498000 25000 SH DFND 25000 0 0 WRIGHT M NOTE2 98235TAC1 17181000 16485000 PRN DFND 16485000 0 0 YY INC ADSRE 98426T106 282000 5163 SH DFND 5163 0 0 YAHOO IN COM 984332106 2891000 100000 SH DFND 100000 0 0 YAHOO IN NOTE1 984332AF3 972000 1000000 PRN DFND 1000000 0 0 YUM BRAN COM 988498101 90000 59200 SH Call DFND 59200 0 0 YUM BRAN COM 988498101 7893000 98727 SH DFND 98727 0 0 ZILLOW G CLA 98954M101 15382000 535403 SH DFND 535403 0 0 ZILLOW G CLCCA 98954M200 7898000 292525 SH DFND 292525 0 0 ZS PHARM COM 98979G105 535000 8151 SH DFND 8151 0 0 EURONAV SHS B38564108 23003000 1654899 SH DFND 1654899 0 0 BELMOND CLA G1154H107 809000 80000 SH DFND 80000 0 0 CENTRAL CLANE G20045202 500000 231596 SH DFND 231596 0 0 C&J ENER SHS G3164Q101 1981000 562734 SH DFND 562734 0 0 HERBALIF COMUS G4412G101 83194000 1526502 SH DFND 1526502 0 0 HORIZON COM G4617B105 78000 26100 SH Call DFND 26100 0 0 HORIZON SHS G4617B105 1673000 84400 SH DFND 84400 0 0 INGERSOL SHS G47791101 6295000 124000 SH DFND 124000 0 0 INTERNAT SHSUS G4863A108 9671000 630879 SH DFND 630879 0 0 WEATHERF ORDSH G48833100 8552000 1008514 SH DFND 1008514 0 0 INVESCO SHS G491BT108 3748000 120000 SH DFND 120000 0 0 LIBERTY SHSCL G5480U104 6441000 150000 SH DFND 150000 0 0 NABORS I COM G6359F103 8000 327800 SH Call DFND 327800 0 0 NABORS I SHS G6359F103 6228000 659097 SH DFND 659097 0 0 NIELSEN SHSEU G6518L108 185984000 4182243 SH DFND 4182243 0 0 NOBLE CO SHSUS G65431101 3270000 299770 SH DFND 299770 0 0 NORDIC A COM G65773106 2493000 164000 SH DFND 164000 0 0 OM ASSET SHS G67506108 1673000 108500 SH DFND 108500 0 0 OXFORD I ORDSH G6855A103 1073000 79464 SH DFND 79464 0 0 ROWAN CO SHSCL G7665A101 9204000 569921 SH DFND 569921 0 0 SEAGATE SHS G7945M107 3043000 67914 SH DFND 67914 0 0 TSAKOS E SHS G9108L108 821000 101000 SH DFND 101000 0 0 TYCO INT SHS G91442106 57284000 1712020 SH DFND 1712020 0 0 CIMPRESS SHSEU N20146101 55503000 729251 SH DFND 729251 0 0 CORE LAB COM N22717107 1667000 16700 SH DFND 16700 0 0 FIAT CHR MANCO N31738110 30286000 255000 SH DFND 255000 0 0 FRANKS I COM N33462107 5385000 351290 SH DFND 351290 0 0 INTERXIO SHS N47279109 1354000 50000 SH DFND 50000 0 0 ROYAL CA COM V7780T103 2186000 24535 SH DFND 24535 0 0 ARDMORE COM Y0207T100 604000 50000 SH DFND 50000 0 0 DHT HOLD SHSNE Y2065G121 8006000 1079000 SH DFND 1079000 0 0 GENER8 M COM Y26889108 11197000 1022514 SH DFND 1022514 0 0 TEEKAY T CLA Y8565N102 15477000 2242978 SH DFND 2242978 0 0