0001132716-16-000048.txt : 20161006 0001132716-16-000048.hdr.sgml : 20161006 20161006152513 ACCESSION NUMBER: 0001132716-16-000048 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 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: 161924818 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 03-31-2016 03-31-2016 true 2 RESTATEMENT UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

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16500 SH Put DFND 16500 0 0 RUCKUS W COM 781220108 1226000 125000 SH DFND 125000 0 0 SPDR S&P COM 78462F103 638000 405100 SH Call DFND 405100 0 0 SPDR S&P COM 78462F103 1603000 970000 SH Put DFND 970000 0 0 SPDR S&P TRUNI 78462F103 9522000 46333 SH DFND 46333 0 0 SPDR GOL COM 78463V107 41000 10000 SH Put DFND 10000 0 0 SPDR SER COM 78464A730 204000 200000 SH Call DFND 200000 0 0 SPDR SER S&PME 78464A755 2755000 134648 SH DFND 134648 0 0 SPDR SER COM 78464A870 4000 30000 SH Put DFND 30000 0 0 SVB FINL COM 78486Q101 663000 6500 SH DFND 6500 0 0 SAGE THE COM 78667J108 641000 20000 SH DFND 20000 0 0 SALESFOR COM 79466L302 9229000 125000 SH DFND 125000 0 0 SALESFOR NOTE0 79466LAD6 1240000 1000000 PRN DFND 1000000 0 0 SANCHEZ COM 79970Y105 258000 47000 SH DFND 47000 0 0 SANDISK NOTE0 80004CAF8 44230000 42500000 PRN DFND 42500000 0 0 SANOFI RIGHT 80105N113 139000 1218279 SH DFND 1218279 0 0 SCHLUMBE COM 806857108 1000 158000 SH Call DFND 158000 0 0 SCHWAB C COM 808513105 143932000 5136762 SH DFND 5136762 0 0 SELECT S SBIHE 81369Y209 6921000 102106 SH DFND 102106 0 0 SELECT S SBICO 81369Y308 10612000 200000 SH DFND 200000 0 0 SELECT S SBIIN 81369Y506 6280000 101477 SH DFND 101477 0 0 SELECT S SBIIN 81369Y605 10451000 464493 SH DFND 464493 0 0 SELECT S SBIIN 81369Y704 8764000 157992 SH DFND 157992 0 0 SELECT S COM 81369Y886 16000 262200 SH Put DFND 262200 0 0 SEMPRA E COM 816851109 3642000 35000 SH DFND 35000 0 0 SEQUENOM NOTE5 817337AB4 3964000 5050000 PRN DFND 5050000 0 0 SEQUENOM NOTE5 817337AC2 8450000 13000000 PRN DFND 13000000 0 0 SERVICEN COM 81762P102 1318000 21550 SH DFND 21550 0 0 SHOPIFY CLA 82509L107 1410000 50000 SH DFND 50000 0 0 SHUTTERF NOTE0 82568PAB2 1003000 1000000 PRN DFND 1000000 0 0 SILVER W COM 828336107 3835000 231288 SH DFND 231288 0 0 SNYDERS- COM 833551104 13257000 421123 SH DFND 421123 0 0 SOUTHWES COM 844741108 8588000 191700 SH DFND 191700 0 0 SPARK TH COM 84652J103 1898000 64310 SH DFND 64310 0 0 SPIRIT A COM 848577102 1989000 41463 SH DFND 41463 0 0 SPLUNK I COM 848637104 5749000 117500 SH DFND 117500 0 0 SPROUTS COM 85208M102 4957000 170694 SH DFND 170694 0 0 STANLEY COM 854502101 9486000 90160 SH DFND 90160 0 0 STEEL DY COM 858119100 92000 292100 SH Put DFND 292100 0 0 STEEL DY COM 858119100 28994000 1288067 SH DFND 1288067 0 0 SUFFOLK COM 864739107 1134000 44921 SH DFND 44921 0 0 SUNCOR E COM 867224107 3808000 136925 SH DFND 136925 0 0 SUPERIOR COM 868157108 1663000 124200 SH DFND 124200 0 0 SYNERGY COM 87164P103 4274000 550025 SH DFND 550025 0 0 SYNCHRON COM 87165B103 5589000 195000 SH DFND 195000 0 0 TJX COS COM 872540109 13711000 175000 SH DFND 175000 0 0 T MOBILE COM 872590104 958000 25000 SH DFND 25000 0 0 TAKE-TWO COM 874054109 2637000 70000 SH DFND 70000 0 0 TAKE-TWO NOTE1 874054AD1 9856000 5500000 PRN DFND 5500000 0 0 TEREX CO COM 880779103 6096000 245000 SH DFND 245000 0 0 TESORO C COM 881609101 621000 7225 SH DFND 7225 0 0 TESLA MT NOTE1 88160RAA9 50719000 27500000 PRN DFND 27500000 0 0 THERAPEU COM 88338N107 1280000 200000 SH DFND 200000 0 0 TIME WAR COMNE 887317303 14111000 194500 SH DFND 194500 0 0 TOLL BRO COM 889478103 1530000 51846 SH DFND 51846 0 0 TREEHOUS COM 89469A104 17465000 201326 SH DFND 201326 0 0 TWITTER NOTE0 90184LAB8 881000 1000000 PRN DFND 1000000 0 0 US BANCO COMNE 902973304 2232000 55000 SH DFND 55000 0 0 U S SILI COM 90346E103 3874000 170528 SH DFND 170528 0 0 UNITED C COM 910047109 17269000 288492 SH DFND 288492 0 0 UNITED R COM 911363109 9661000 155351 SH DFND 155351 0 0 UNITED S COM 912909108 393000 994600 SH Put DFND 994600 0 0 UNITED T COM 913017109 47239000 471923 SH DFND 471923 0 0 UNIVERSA CLB 913903100 1559000 12500 SH DFND 12500 0 0 V F CORP COM 918204108 3238000 50000 SH DFND 50000 0 0 VALE S A COM 91912E105 243000 1390900 SH Put DFND 1390900 0 0 VERIZON COM 92343V104 2572000 3500000 SH Put DFND 3500000 0 0 VIPSHOP SPONS 92763W103 1002000 77800 SH DFND 77800 0 0 VITAE PH COM 92847N103 1227000 185000 SH DFND 185000 0 0 VMWARE I CLACO 928563402 5754000 110000 SH DFND 110000 0 0 WESTERN COM 957638109 4546000 136200 SH DFND 136200 0 0 WESTERN COM 958102105 185000 75000 SH Put DFND 75000 0 0 WESTERN COM 959802109 30356000 1573646 SH DFND 1573646 0 0 WESTLAKE COM 960413102 29107000 628652 SH DFND 628652 0 0 WESTROCK COM 96145D105 49026000 1256121 SH DFND 1256121 0 0 WEYERHAE COM 962166104 2649000 85497 SH DFND 85497 0 0 WHITING COM 966387102 838000 105000 SH DFND 105000 0 0 WPX ENER COM 98212B103 165000 23625 SH DFND 23625 0 0 WRIGHT M NOTE2 98235TAC1 14968000 15000000 PRN DFND 15000000 0 0 YAHOO IN NOTE1 984332AF3 993000 1000000 PRN DFND 1000000 0 0 YOUKU TU SPONS 98742U100 25405000 924158 SH DFND 924158 0 0 YUM BRAN COM 988498101 11160000 136350 SH DFND 136350 0 0 ZILLOW G CLA 98954M101 10859000 425000 SH DFND 425000 0 0 ZILLOW G CLCCA 98954M200 20817000 877242 SH DFND 877242 0 0 EURONAV SHS B38564108 6036000 589464 SH DFND 589464 0 0 ALLERGAN SHS G0177J108 73386000 273797 SH DFND 273797 0 0 HERBALIF COMUS G4412G101 63498000 1031486 SH DFND 1031486 0 0 HORIZON SHS G4617B105 1657000 100000 SH DFND 100000 0 0 INGERSOL SHS G47791101 16451000 265289 SH DFND 265289 0 0 WEATHERF ORDSH G48833100 3322000 427000 SH DFND 427000 0 0 LAZARD L SHSA G54050102 1940000 50000 SH DFND 50000 0 0 LIBERTY LILAC G5480U138 877000 25000 SH DFND 25000 0 0 NABORS I SHS G6359F103 1987000 215991 SH DFND 215991 0 0 NIELSEN SHSEU G6518L108 146780000 2787311 SH DFND 2787311 0 0 NORWEGIA SHS G66721104 11334000 204984 SH DFND 204984 0 0 OXFORD I ORDSH G6855A103 558000 56300 SH DFND 56300 0 0 PROTHENA SHS G72800108 320000 7763 SH DFND 7763 0 0 TYCO INT SHS G91442106 75519000 2057165 SH DFND 2057165 0 0 WILLIS T SHS G96629103 61175000 515546 SH DFND 515546 0 0 CIMPRESS SHSEU N20146101 59055000 651177 SH DFND 651177 0 0 FRANKS I COM N33462107 302000 18300 SH DFND 18300 0 0 ROYAL CA COM V7780T103 20494000 249475 SH DFND 249475 0 0 ARDMORE COM Y0207T100 2097000 248155 SH DFND 248155 0 0 BROADCOM SHS Y09827109 3322000 21500 SH DFND 21500 0 0 DHT HOLD SHSNE Y2065G121 771000 133897 SH DFND 133897 0 0 GENER8 M COM Y26889108 5933000 840330 SH DFND 840330 0 0 TEEKAY T COM Y8565N102 24000 107000 SH Call DFND 107000 0 0 TEEKAY T CLA Y8565N102 5362000 1460953 SH DFND 1460953 0 0