0001132716-17-000001.txt : 20170214 0001132716-17-000001.hdr.sgml : 20170214 20170214113939 ACCESSION NUMBER: 0001132716-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17604963 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 12-31-2016 12-31-2016 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 32ND FLOOR CHICAGO IL 60606

13F HOLDINGS REPORT 028-06327 N Sal DiGangi 212-821-6206 Sal DiGangi New York City NY 02-14-2017 0 377 4272983 true INFORMATION TABLE 2 ubsocq416infotable.xml AK STL H COM 001547108 5846000 572600 SH DFND 572600 0 0 AT&T INC COM 00206R102 5761000 135454 SH DFND 135454 0 0 ABRAXAS COM 003830106 1236000 480927 SH DFND 480927 0 0 ACORDA T NOTE1 00484MAA4 21345000 28000000 PRN DFND 28000000 0 0 ACTIVISI COM 00507V109 18814000 521023 SH DFND 521023 0 0 ADOBE SY COM 00724F101 12869000 125000 SH DFND 125000 0 0 AEGERION NOTE2 00767EAB8 21579000 30500000 PRN DFND 30500000 0 0 AGRIUM I COM 008916108 2506000 24920 SH DFND 24920 0 0 AIR PROD COM 009158106 9619000 66884 SH DFND 66884 0 0 AKAMAI T DBCV2 00971TAG6 1040000 1000000 SH DFND 1000000 0 0 ALASKA A COM 011659109 9414000 106094 SH DFND 106094 0 0 ALBANY M NOTE2 012423AB5 25913000 20000000 PRN DFND 20000000 0 0 ALERE IN PERPP 01449J204 19830000 62500 SH DFND 62500 0 0 ALIBABA SPONS 01609W102 18687000 212815 SH DFND 212815 0 0 ALLEGHEN COM 01741R102 6300000 395458 SH DFND 395458 0 0 ALLSTATE COM 020002101 1844000 24872 SH DFND 24872 0 0 ALLY FIN COM 02005N100 21901000 1151483 SH DFND 1151483 0 0 ALPHABET COM 02079K305 31000 10800 SH Call DFND 10800 0 0 ALPHABET CAPST 02079K305 57480000 72534 SH DFND 72534 0 0 AMAZON C COM 023135106 11248000 15000 SH DFND 15000 0 0 AMERICAN COM 02376R102 9099000 194882 SH DFND 194882 0 0 AMERICAN COMNE 026874784 4421000 67691 SH DFND 67691 0 0 AMERIPRI COM 03076C106 8031000 72392 SH DFND 72392 0 0 AMICUS T COM 03152W109 5000 100000 SH Call DFND 100000 0 0 ANADARKO COM 032511107 7195000 103180 SH DFND 103180 0 0 ANTHEM I COM 036752103 19229000 133747 SH DFND 133747 0 0 APPLE IN COM 037833100 36828000 317975 SH DFND 317975 0 0 APPTIO I CLA 03835C108 1417000 76457 SH DFND 76457 0 0 ARCH COA CLA 039380407 4103000 52574 SH DFND 52574 0 0 ARCELORM NYREG 03938L104 2476000 339184 SH DFND 339184 0 0 AT HOME COM 04650Y100 2120000 144900 SH DFND 144900 0 0 AUTOZONE COM 053332102 4661000 5902 SH DFND 5902 0 0 AVIS BUD COM 053774105 8223000 224170 SH DFND 224170 0 0 B & G FO COM 05508R106 7195000 164258 SH DFND 164258 0 0 BHP BILL SPONS 05545E209 9433000 299835 SH DFND 299835 0 0 BAIDU IN SPONA 056752108 12749000 77541 SH DFND 77541 0 0 BANK AME COM 060505104 10817000 489442 SH DFND 489442 0 0 BANKUNIT COM 06652K103 4588000 121727 SH DFND 121727 0 0 BARCLAYS IPATH 06740Q252 3133000 122834 SH DFND 122834 0 0 BARRICK COM 067901108 14382000 900000 SH DFND 900000 0 0 BARRETT COM 06846N104 474000 67746 SH DFND 67746 0 0 BED BATH COM 075896100 674000 102900 SH Put DFND 102900 0 0 BERRY PL COM 08579W103 3925000 80556 SH DFND 80556 0 0 BEST BUY COM 086516101 279000 77100 SH Put DFND 77100 0 0 BEST BUY COM 086516101 10668000 250000 SH DFND 250000 0 0 BHP BILL SPONS 088606108 8512000 237885 SH DFND 237885 0 0 BIOMARIN NOTE0 09061GAE1 1123000 1000000 PRN DFND 1000000 0 0 BLACKLIN COM 09239B109 294000 10640 SH DFND 10640 0 0 BLACKROC COM 09247X101 6154000 16172 SH DFND 16172 0 0 BLUE BUF COM 09531U102 8360000 347767 SH DFND 347767 0 0 BOJANGLE COM 097488100 1865000 100000 SH DFND 100000 0 0 BORGWARN COM 099724106 13476000 341675 SH DFND 341675 0 0 BOX INC CLA 10316T104 25231000 1820399 SH DFND 1820399 0 0 CBS CORP CLB 124857202 2218000 34859 SH DFND 34859 0 0 CDK GLOB COM 12508E101 17613000 295082 SH DFND 295082 0 0 CF INDS COM 125269100 3148000 100000 SH DFND 100000 0 0 CSX CORP COM 126408103 4826000 134312 SH DFND 134312 0 0 CST BRAN COM 12646R105 1072000 22269 SH DFND 22269 0 0 CABOT OI COM 127097103 2383000 102000 SH DFND 102000 0 0 CALIFORN COMNE 13057Q206 2358000 110764 SH DFND 110764 0 0 CALLON P COM 13123X102 29558000 1923073 SH DFND 1923073 0 0 CARROLS COM 14574X104 8976000 588576 SH DFND 588576 0 0 CATERPIL COM 149123101 14417000 155459 SH DFND 155459 0 0 CENTURYL COM 156700106 4198000 176516 SH DFND 176516 0 0 CHEVRON COM 166764100 6160000 52339 SH DFND 52339 0 0 CHOICE H COM 169905106 4715000 84117 SH DFND 84117 0 0 CHURCHIL COM 171484108 2828000 18794 SH DFND 18794 0 0 CITIZENS COM 174610105 9183000 257737 SH DFND 257737 0 0 CITRIX S NOTE0 177376AD2 1162000 1000000 PRN DFND 1000000 0 0 COACH IN COM 189754104 7880000 225000 SH DFND 225000 0 0 COMERICA COM 200340107 6552000 96198 SH DFND 96198 0 0 COMMUNIT RIGHT 203668116 23000 5055677 SH DFND 5055677 0 0 CONAGRA COM 205887102 69939000 1768358 SH DFND 1768358 0 0 CONNECTO COM 20786W107 1027000 39586 SH DFND 39586 0 0 CONOCOPH COM 20825C104 5064000 101000 SH DFND 101000 0 0 CONSOL E COM 20854P109 7283000 399517 SH DFND 399517 0 0 CONTANGO COMNE 21075N204 326000 34905 SH DFND 34905 0 0 CONTINEN COM 212015101 3631000 70458 SH DFND 70458 0 0 CONYERS UNIT9 212894208 10850000 1000000 SH DFND 1000000 0 0 COOPER T COM 216831107 12566000 323452 SH DFND 323452 0 0 CORNING COM 219350105 2670000 110000 SH DFND 110000 0 0 COTY INC COMCL 222070203 16021000 875000 SH DFND 875000 0 0 CROWN HO COM 228368106 25483000 484751 SH DFND 484751 0 0 CTRIP CO AMERI 22943F100 53090000 1327250 SH DFND 1327250 0 0 CYRUSONE COM 23283R100 3047000 68109 SH DFND 68109 0 0 D R HORT COM 23331A109 5059000 185095 SH DFND 185095 0 0 DANAHER COM 235851102 28052000 360383 SH DFND 360383 0 0 DELL TEC COMCL 24703L103 64426000 1172020 SH DFND 1172020 0 0 DELTA AI COMNE 247361702 6605000 134282 SH DFND 134282 0 0 DEPOMED NOTE2 249908AA2 22900000 20000000 PRN DFND 20000000 0 0 DEVON EN COM 25179M103 7449000 163112 SH DFND 163112 0 0 DIAMONDB COM 25278X109 14389000 142378 SH DFND 142378 0 0 DICKS SP COM 253393102 14337000 270000 SH DFND 270000 0 0 DIGITAL COM 253868103 2653000 27000 SH DFND 27000 0 0 DISNEY W COM 254687106 262000 323600 SH Put DFND 323600 0 0 DISNEY W COMDI 254687106 20589000 197556 SH DFND 197556 0 0 DISH NET CLA 25470M109 30099000 519581 SH DFND 519581 0 0 DOLLAR G COM 256677105 1852000 25000 SH DFND 25000 0 0 DR PEPPE COM 26138E109 21761000 240000 SH DFND 240000 0 0 DUNKIN B COM 265504100 2884000 55000 SH DFND 55000 0 0 EOG RES COM 26875P101 4339000 42914 SH DFND 42914 0 0 EQT CORP COM 26884L109 15500000 237005 SH DFND 237005 0 0 E TRADE COMNE 269246401 5167000 149124 SH DFND 149124 0 0 EAGLE MA COM 26969P108 2189000 22215 SH DFND 22215 0 0 EARTHSTO COMNE 27032D205 375000 27323 SH DFND 27323 0 0 EBAY INC COM 278642103 80198000 2701179 SH DFND 2701179 0 0 ECHOSTAR CLA 278768106 3695000 71896 SH DFND 71896 0 0 ECLIPSE COM 27890G100 5702000 2135732 SH DFND 2135732 0 0 EDGEWELL COM 28035Q102 15432000 211427 SH DFND 211427 0 0 ELECTRON COM 285512109 11254000 142888 SH DFND 142888 0 0 ENCANA C COM 292505104 7222000 615204 SH DFND 615204 0 0 ENDOLOGI NOTE2 29266SAA4 1352000 1500000 PRN DFND 1500000 0 0 ENERGIZE COM 29272W109 32152000 720725 SH DFND 720725 0 0 EVERSPIN COM 30041T104 1036000 125000 SH DFND 125000 0 0 EXPEDIA COM 30212P303 62000 112300 SH Call DFND 112300 0 0 EXPEDIA COMNE 30212P303 74664000 659112 SH DFND 659112 0 0 EXPRESS COM 30219G108 36324000 528044 SH DFND 528044 0 0 EXTRACTI COM 30227M105 4409000 220001 SH DFND 220001 0 0 FNB CORP COM 302520101 2200000 137215 SH DFND 137215 0 0 FACEBOOK CLA 30303M102 8741000 75977 SH DFND 75977 0 0 FAIRMOUN COM 30555Q108 8656000 734194 SH DFND 734194 0 0 FIDELITY COM 315785105 4428000 186823 SH DFND 186823 0 0 FIDELITY FNFGR 31620R303 3116000 91753 SH DFND 91753 0 0 FIREEYE COM 31816Q101 298000 25000 SH DFND 25000 0 0 FIRST BA COMNE 318672706 2069000 312994 SH DFND 312994 0 0 FLEETCOR COM 339041105 6975000 49289 SH DFND 49289 0 0 FOOT LOC COM 344849104 2127000 30000 SH DFND 30000 0 0 FORD MTR COMPA 345370860 11143000 918624 SH DFND 918624 0 0 FRESHPET COM 358039105 7141000 703530 SH DFND 703530 0 0 FRONTIER COM 35906A108 14031000 4151262 SH DFND 4151262 0 0 GDS HLDG SPONS 36165L108 1290000 150000 SH DFND 150000 0 0 GSV CAP NOTE5 36191JAB7 7990000 8500000 PRN DFND 8500000 0 0 GAMING & COM 36467J108 39138000 1278172 SH DFND 1278172 0 0 GENERAL COM 369604103 7145000 226123 SH DFND 226123 0 0 GENERAL COM 37045V100 252000 14727 SH Call DFND 14727 0 0 GENERAL COM 37045V100 36794000 1056085 SH DFND 1056085 0 0 GENESEE CLA 371559105 5553000 80000 SH DFND 80000 0 0 GLOBALST COM 378973408 3749000 2372771 SH DFND 2372771 0 0 GOGO INC COM 38046C109 2679000 290518 SH DFND 290518 0 0 GOGO INC NOTE3 38046CAB5 10078000 13500000 PRN DFND 13500000 0 0 GOLDMAN COM 38141G104 1002000 4183 SH DFND 4183 0 0 GRACE W COM 38388F108 3013000 44542 SH DFND 44542 0 0 GRAPHIC COM 388689101 11482000 920071 SH DFND 920071 0 0 GRAY TEL COM 389375106 17899000 1649653 SH DFND 1649653 0 0 GRUBHUB COM 400110102 14977000 398101 SH DFND 398101 0 0 GULFPORT COMNE 402635304 74316000 3434194 SH DFND 3434194 0 0 HD SUPPL COM 40416M105 7720000 181605 SH DFND 181605 0 0 HABIT RE COMCL 40449J103 3732000 216370 SH DFND 216370 0 0 HALLIBUR COM 406216101 11309000 209074 SH DFND 209074 0 0 HANCOCK COM 410120109 6490000 150572 SH DFND 150572 0 0 HANESBRA COM 410345102 52000 416200 SH Call DFND 416200 0 0 HANESBRA COM 410345102 25650000 1189130 SH DFND 1189130 0 0 HARTFORD COM 416515104 4217000 88498 SH DFND 88498 0 0 HELIX EN COM 42330P107 1699000 192671 SH DFND 192671 0 0 HERSHEY COM 427866108 10343000 100000 SH DFND 100000 0 0 HESS COR COM 42809H107 1869000 30000 SH DFND 30000 0 0 HILTON W WHENI 43300A203 4923000 180996 SH DFND 180996 0 0 HOLLYFRO COM 436106108 934000 28500 SH DFND 28500 0 0 HOME DEP COM 437076102 13196000 98417 SH DFND 98417 0 0 HONEYWEL COM 438516106 4093000 35332 SH DFND 35332 0 0 HOST HOT COM 44107P104 4968000 263706 SH DFND 263706 0 0 HOSTESS CLA 44109J106 650000 50000 SH DFND 50000 0 0 HUDSON G COM 443787106 335000 246600 SH DFND 246600 0 0 ITT INC COM 45073V108 4088000 105995 SH DFND 105995 0 0 IBERIABA COM 450828108 6029000 71994 SH DFND 71994 0 0 ILLUMINA NOTE6 452327AF6 959000 1000000 PRN DFND 1000000 0 0 IMPAX LA NOTE2 45256BAE1 794000 1000000 PRN DFND 1000000 0 0 INDEPEND COM 45378A106 2628000 294637 SH DFND 294637 0 0 INOTEK P NOTE5 45780VAB8 2044000 2000000 PRN DFND 2000000 0 0 INTEL CO SDCV1 458140AD2 13502000 10000000 SH DFND 10000000 0 0 INTERCEP NOTE3 45845PAA6 896000 1000000 PRN DFND 1000000 0 0 INTERCON COM 45866F104 3761000 66660 SH DFND 66660 0 0 INTERNAP COMPA 45885A300 932000 605519 SH DFND 605519 0 0 INTUIT COM 461202103 7564000 66000 SH DFND 66000 0 0 ISHARES MSCIE 464287234 1930000 55117 SH DFND 55117 0 0 ISHARES COM 464287432 17000 50000 SH Call DFND 50000 0 0 ISHARES COM 464287655 68000 50000 SH Call DFND 50000 0 0 ISHARES U.S.R 464287739 1002000 13017 SH DFND 13017 0 0 ISIS PHA NOTE1 464337AJ3 7605000 7500000 PRN DFND 7500000 0 0 JPMORGAN COM 46625H100 7116000 82465 SH DFND 82465 0 0 JACK IN COM 466367109 3664000 32824 SH DFND 32824 0 0 JAZZ INV NOTE1 472145AB7 963000 1000000 PRN DFND 1000000 0 0 JD COM I SPONA 47215P106 780000 30645 SH DFND 30645 0 0 JETBLUE COM 477143101 12783000 570167 SH DFND 570167 0 0 JONES EN COMCL 48019R108 5371000 1074243 SH DFND 1074243 0 0 KANSAS C COMNE 485170302 5996000 70663 SH DFND 70663 0 0 KELLOGG COM 487836108 172000 105800 SH Call DFND 105800 0 0 KELLOGG COM 487836108 37489000 508607 SH DFND 508607 0 0 KEYCORP COM 493267108 12269000 671544 SH DFND 671544 0 0 KIMBERLY COM 494368103 623000 5457 SH DFND 5457 0 0 KNOWLES COM 49926D109 820000 49099 SH DFND 49099 0 0 KOHLS CO COM 500255104 293000 77100 SH Put DFND 77100 0 0 KRAFT HE COM 500754106 72663000 832150 SH DFND 832150 0 0 L BRANDS COM 501797104 9547000 145000 SH DFND 145000 0 0 LAMB WES COM 513272104 13247000 350000 SH DFND 350000 0 0 LAUDER E CLA 518439104 9179000 120000 SH DFND 120000 0 0 LENNAR C CLA 526057104 4051000 94360 SH DFND 94360 0 0 LEXICON NOTE5 528872AB0 21586000 12000000 PRN DFND 12000000 0 0 LIBERTY QVCGP 53071M104 23399000 1171146 SH DFND 1171146 0 0 LIBERTY NOTE1 531229AB8 1079000 1000000 PRN DFND 1000000 0 0 LINCOLN COM 534187109 8043000 121367 SH DFND 121367 0 0 LIONS GA CLAVT 535919401 16981000 631265 SH DFND 631265 0 0 LIONS GA CLBNO 535919500 18310000 746146 SH DFND 746146 0 0 MGIC INV COM 552848103 2523000 247564 SH DFND 247564 0 0 MGM RESO COM 552953101 5888000 204228 SH DFND 204228 0 0 MRC GLOB COM 55345K103 10130000 500000 SH DFND 500000 0 0 MACYS IN COM 55616P104 22868000 638597 SH DFND 638597 0 0 MAMMOTH COM 56155L108 5780000 380285 SH DFND 380285 0 0 MARRIOTT CLA 571903202 14724000 178087 SH DFND 178087 0 0 MARTIN M COM 573284106 5624000 25389 SH DFND 25389 0 0 MASTERCA CLA 57636Q104 2360000 22854 SH DFND 22854 0 0 MCDERMOT COM 580037109 816000 870000 SH Call DFND 870000 0 0 MCDERMOT COM 580037109 232000 300000 SH Put DFND 300000 0 0 MEDIA GE COM 58441K100 49321000 2619280 SH DFND 2619280 0 0 MOBILEIR COMNE 60739U204 1219000 324970 SH DFND 324970 0 0 MOLSON C COM 60871R209 98000 52400 SH Call DFND 52400 0 0 MOLSON C CLB 60871R209 144506000 1485004 SH DFND 1485004 0 0 MONDELEZ COM 609207105 791000 264600 SH Call DFND 264600 0 0 MONDELEZ CLA 609207105 24382000 550000 SH DFND 550000 0 0 MONSTER COM 61174X109 6110000 137804 SH DFND 137804 0 0 NAVISTAR NOTE4 63934EAS7 22725000 23000000 PRN DFND 23000000 0 0 NETFLIX COM 64110L106 379000 32400 SH Call DFND 32400 0 0 NETFLIX COM 64110L106 2330000 18824 SH DFND 18824 0 0 NEWELL B COM 651229106 11162000 250000 SH DFND 250000 0 0 NEWPARK COMPA 651718504 263000 35010 SH DFND 35010 0 0 NEXSTAR CLA 65336K103 16619000 262541 SH DFND 262541 0 0 NORDSTRO COM 655664100 3274000 68300 SH DFND 68300 0 0 NORTHERN COM 665859104 4526000 50825 SH DFND 50825 0 0 NUANCE C DBCV1 67020YAK6 908000 1000000 SH DFND 1000000 0 0 NUCOR CO COM 670346105 5242000 88069 SH DFND 88069 0 0 OASIS PE COM 674215108 4846000 320070 SH DFND 320070 0 0 OCEANEER COM 675232102 9112000 323000 SH DFND 323000 0 0 ON SEMIC COM 682189105 210000 600000 SH Call DFND 600000 0 0 OREXIGEN NOTE2 686164AB0 3750000 15000000 PRN DFND 15000000 0 0 PBF ENER CLA 69318G106 2007000 72000 SH DFND 72000 0 0 PPG INDS COM 693506107 15035000 158661 SH DFND 158661 0 0 PVH CORP COM 693656100 23000 25700 SH Call DFND 25700 0 0 PVH CORP COM 693656100 16694000 185000 SH DFND 185000 0 0 PTC THER NOTE3 69366JAB7 4582000 7900000 PRN DFND 7900000 0 0 PALO ALT COM 697435105 6753000 54000 SH DFND 54000 0 0 PANDORA COM 698354107 14299000 1096545 SH DFND 1096545 0 0 PANDORA NOTE1 698354AB3 1030000 1000000 PRN DFND 1000000 0 0 PARSLEY CLA 701877102 1903000 54000 SH DFND 54000 0 0 PAYPAL H COM 70450Y103 8000 377400 SH Call DFND 377400 0 0 PAYPAL H COM 70450Y103 41444000 1050000 SH DFND 1050000 0 0 PENN NAT COM 707569109 2317000 168028 SH DFND 168028 0 0 PENNEY J COM 708160106 183000 650900 SH Call DFND 650900 0 0 PENNEY J COM 708160106 1953000 235000 SH DFND 235000 0 0 PINNACLE COM 72348P104 55626000 1040702 SH DFND 1040702 0 0 PLANET F CLA 72703H101 13873000 690180 SH DFND 690180 0 0 POST HLD COM 737446104 82385000 1024816 SH DFND 1024816 0 0 POWERSHA SENIO 73936Q769 31349000 1342000 SH DFND 1342000 0 0 PRICELIN COMNE 741503403 10202000 6959 SH DFND 6959 0 0 PRICELIN NOTE0 741503AX4 1059000 1000000 PRN DFND 1000000 0 0 PROGRESS COM 743315103 19628000 552892 SH DFND 552892 0 0 PROTALIX COM 74365A101 1780000 4000000 SH DFND 4000000 0 0 PROTALIX NOTE7 74365AAD3 6956000 8525000 PRN DFND 8525000 0 0 QEP RES COM 74733V100 4689000 254691 SH DFND 254691 0 0 RANGE RE COM 75281A109 3436000 100000 SH DFND 100000 0 0 RED HAT COM 756577102 26019000 373296 SH DFND 373296 0 0 RED LION COM 756764106 2012000 240978 SH DFND 240978 0 0 RED ROBI COM 75689M101 7778000 137901 SH DFND 137901 0 0 REXNORD COM 76169B102 11189000 571163 SH DFND 571163 0 0 RICE ENE COM 762760106 5472000 256310 SH DFND 256310 0 0 RINGCENT CLA 76680R206 1910000 92720 SH DFND 92720 0 0 RING ENE COM 76680V108 4109000 316314 SH DFND 316314 0 0 ROYAL DU SPONS 780259206 3557000 65415 SH DFND 65415 0 0 SLM CORP COM 78442P106 714000 64808 SH DFND 64808 0 0 SM ENERG COM 78454L100 4519000 131052 SH DFND 131052 0 0 SPDR S&P COM 78462F103 2382000 652000 SH Call DFND 652000 0 0 SPDR S&P COM 78462F103 4352000 1012500 SH Put DFND 1012500 0 0 SPDR S&P TRUNI 78462F103 41411000 185261 SH DFND 185261 0 0 SPDR SER S&PRE 78464A698 16542000 297675 SH DFND 297675 0 0 SPDR SER COM 78464A714 153000 75000 SH Put DFND 75000 0 0 ST JUDE COM 790849103 173038000 2157846 SH DFND 2157846 0 0 SALESFOR COM 79466L302 31021000 453124 SH DFND 453124 0 0 SALESFOR NOTE0 79466LAD6 1167000 1000000 PRN DFND 1000000 0 0 SANCHEZ COM 79970Y105 1768000 195799 SH DFND 195799 0 0 SANOFI RIGHT 80105N113 470000 1238077 SH DFND 1238077 0 0 SCHWAB C COM 808513105 20524000 520000 SH DFND 520000 0 0 SCRIPPS CLACO 811065101 7219000 101142 SH DFND 101142 0 0 SELECT S SBIIN 81369Y506 14901000 197830 SH DFND 197830 0 0 SELECT S SBIIN 81369Y605 16601000 714039 SH DFND 714039 0 0 SELECT S TECHN 81369Y803 21181000 437990 SH DFND 437990 0 0 SKYWORKS COM 83088M102 1866000 25000 SH DFND 25000 0 0 SMART SA COM 83191H107 2929000 177000 SH DFND 177000 0 0 SNAP ON COM 833034101 14305000 83524 SH DFND 83524 0 0 SNYDERS- COM 833551104 13550000 353404 SH DFND 353404 0 0 SONIC CO COM 835451105 4294000 161977 SH DFND 161977 0 0 SOUTHWES COM 844741108 9519000 190984 SH DFND 190984 0 0 SOUTHWES COM 845467109 2355000 217656 SH DFND 217656 0 0 SPIRIT A COM 848577102 13419000 231923 SH DFND 231923 0 0 SPORTSMA COM 84920Y106 3286000 350000 SH DFND 350000 0 0 STAMPS C COMNE 852857200 15294000 133400 SH DFND 133400 0 0 STANLEY COM 854502101 30552000 266392 SH DFND 266392 0 0 STEEL DY COM 858119100 10218000 287172 SH DFND 287172 0 0 STERLING COM 85917A100 1486000 63486 SH DFND 63486 0 0 SUCAMPO CLA 864909106 6775000 500000 SH DFND 500000 0 0 SUCAMPO DBCV3 864909AA4 20987000 20000000 SH DFND 20000000 0 0 SUNPOWER DBCV4 867652AL3 12432000 17572000 SH DFND 17572000 0 0 SUNTRUST COM 867914103 2862000 52175 SH DFND 52175 0 0 SUPERIOR COM 868157108 3022000 179000 SH DFND 179000 0 0 SUPERVAL COM 868536103 10171000 2178028 SH DFND 2178028 0 0 SYNERGY COM 87164P103 2931000 328948 SH DFND 328948 0 0 SYNTHETI COM 87164U102 763000 1000000 SH DFND 1000000 0 0 SYNCHRON COM 87165B103 7219000 199026 SH DFND 199026 0 0 TJX COS COM 872540109 13523000 180000 SH DFND 180000 0 0 T MOBILE COM 872590104 7936000 138000 SH DFND 138000 0 0 TTM TECH NOTE1 87305RAD1 7613000 5000000 PRN DFND 5000000 0 0 TABLEAU CLA 87336U105 7278000 172679 SH DFND 172679 0 0 TARGET C COM 87612E106 13363000 185000 SH DFND 185000 0 0 TEAM HEA COM 87817A107 27751000 638689 SH DFND 638689 0 0 TESCO CO COM 88157K101 320000 38848 SH DFND 38848 0 0 THERAVAN NOTE3 88339KAA0 11517000 10000000 PRN DFND 10000000 0 0 TIFFANY COM 886547108 156000 102900 SH Put DFND 102900 0 0 TOLL BRO COM 889478103 3203000 103312 SH DFND 103312 0 0 TRIVAGO SPONA 89686D105 2786000 237099 SH DFND 237099 0 0 TURNING COM 90041L105 1802000 147135 SH DFND 147135 0 0 TWITTER NOTE0 90184LAB8 940000 1000000 PRN DFND 1000000 0 0 TYSON FO CLA 902494103 10486000 170000 SH DFND 170000 0 0 UMPQUA H COM 904214103 2490000 132591 SH DFND 132591 0 0 UNDER AR CLC 904311206 9942000 395000 SH DFND 395000 0 0 UNION PA COM 907818108 19049000 183725 SH DFND 183725 0 0 UNITED C COM 910047109 11755000 161292 SH DFND 161292 0 0 UNITED T COM 913017109 30985000 282654 SH DFND 282654 0 0 VALERO E COM 91913Y100 3074000 45000 SH DFND 45000 0 0 VALLEY N COM 919794107 1164000 100000 SH DFND 100000 0 0 VIASAT I COM 92552V100 1995000 30126 SH DFND 30126 0 0 VIACOM I CLB 92553P201 22620000 644442 SH DFND 644442 0 0 VISA INC COMCL 92826C839 2863000 36699 SH DFND 36699 0 0 VMWARE I CLACO 928563402 19262000 244662 SH DFND 244662 0 0 VODAFONE SPNSR 92857W308 20199000 826814 SH DFND 826814 0 0 WAL-MART COM 931142103 5875000 85000 SH DFND 85000 0 0 WAYFAIR CLA 94419L101 4907000 140000 SH DFND 140000 0 0 WELLS FA COM 949746101 21534000 390751 SH DFND 390751 0 0 WERNER E COM 950755108 6094000 226123 SH DFND 226123 0 0 WESTLAKE COM 960413102 21911000 391331 SH DFND 391331 0 0 WESTROCK COM 96145D105 18451000 363414 SH DFND 363414 0 0 WEYERHAE COM 962166104 6858000 227903 SH DFND 227903 0 0 WHITING COM 966387102 11891000 989268 SH DFND 989268 0 0 WHOLE FO COM 966837106 5043000 163934 SH DFND 163934 0 0 WILDHORS COM 96812T102 1460000 100000 SH DFND 100000 0 0 WISDOMTR JAPNH 97717W851 17668000 356636 SH DFND 356636 0 0 WORLD WR CLA 98156Q108 10869000 590694 SH DFND 590694 0 0 XILINX I COM 983919101 8754000 145000 SH DFND 145000 0 0 YELP INC CLA 985817105 5645000 148059 SH DFND 148059 0 0 EURONAV SHS B38564108 3098000 389744 SH DFND 389744 0 0 COCA COL COM G25839104 26000 105800 SH Call DFND 105800 0 0 COCA COL SHS G25839104 11863000 377791 SH DFND 377791 0 0 EATON CO SHS G29183103 15645000 233189 SH DFND 233189 0 0 ENSCO PL SHSCL G3157S106 3307000 340192 SH DFND 340192 0 0 HERBALIF COMUS G4412G101 58314000 1211348 SH DFND 1211348 0 0 WEATHERF COM G48833100 25000 51300 SH Call DFND 51300 0 0 JOHNSON SHS G51502105 31926000 775079 SH DFND 775079 0 0 LIBERTY SHSCL G5480U104 17761000 580603 SH DFND 580603 0 0 LIBERTY LILAC G5480U153 3154000 149006 SH DFND 149006 0 0 NABORS I SHS G6359F103 6247000 380927 SH DFND 380927 0 0 NIELSEN SHSEU G6518L108 54537000 1300053 SH DFND 1300053 0 0 OM ASSET SHS G67506108 1019000 70298 SH DFND 70298 0 0 TRAVELPO SHS G9019D104 3934000 279034 SH DFND 279034 0 0 VALIDUS COMSH G9319H102 6237000 113375 SH DFND 113375 0 0 WILLIS T SHS G96629103 56709000 463760 SH DFND 463760 0 0 XL GROUP COM G98294104 5056000 135689 SH DFND 135689 0 0 AERCAP H SHS N00985106 2033000 48869 SH DFND 48869 0 0 ASML HOL NYREG N07059210 13464000 120000 SH DFND 120000 0 0 CIMPRESS SHSEU N20146101 27704000 302411 SH DFND 302411 0 0 CNH INDL SHS N20944109 14730000 1695022 SH DFND 1695022 0 0 INTERXIO SHS N47279109 22541000 642754 SH DFND 642754 0 0 ROYAL CA COM V7780T103 5807000 70782 SH DFND 70782 0 0 ARDMORE COM Y0207T100 189000 25607 SH DFND 25607 0 0 COSTAMAR SHS Y1771G102 560000 100000 SH DFND 100000 0 0 DIANA SH COM Y2066G104 1661000 550000 SH DFND 550000 0 0 DORIAN L SHSUS Y2106R110 821000 100000 SH DFND 100000 0 0 GENER8 M COM Y26889108 4307000 961419 SH DFND 961419 0 0 HOEGH LN COMUN Y3262R100 4429000 233099 SH DFND 233099 0 0 SCORPIO SHS Y7542C106 400000 88257 SH DFND 88257 0 0 TEEKAY T CLA Y8565N102 2507000 1109403 SH DFND 1109403 0 0