0001132716-17-000013.txt : 20170814 0001132716-17-000013.hdr.sgml : 20170814 20170814111233 ACCESSION NUMBER: 0001132716-17-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 EFFECTIVENESS DATE: 20170814 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: 171028231 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 true false 0001132716 XXXXXXXX 06-30-2017 06-30-2017 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 08-14-2017 0 365 4453989 true INFORMATION TABLE 2 ubsocq217infotable.xml AK STL H COM 001547108 8715000 1326467 SH DFND 1326467 0 0 AMC ENTM CLACO 00165C104 13707000 602488 SH DFND 602488 0 0 ABRAXAS COM 003830106 4676000 2886280 SH DFND 2886280 0 0 ACHAOGEN COM 004449104 1710000 78697 SH DFND 78697 0 0 ACORDA T NOTE1 00484MAA4 863000 1000000 PRN DFND 1000000 0 0 ACTIVISI COM 00507V109 8539000 148332 SH DFND 148332 0 0 ACUITY B COM 00508Y102 14636000 72000 SH DFND 72000 0 0 AEGERION NOTE2 00767EAB8 20800000 26000000 PRN DFND 26000000 0 0 AERIE PH COM 00771V108 1586000 30181 SH DFND 30181 0 0 AIR LEAS CLA 00912X302 6818000 182500 SH DFND 182500 0 0 AIR PROD COM 009158106 79914000 558602 SH DFND 558602 0 0 ALBANY M COM 012423109 217000 10000 SH DFND 10000 0 0 ALCOA CO COM 013872106 14726000 451040 SH DFND 451040 0 0 ALIBABA SPONS 01609W102 14357000 101898 SH DFND 101898 0 0 ALPHABET CAPST 02079K107 5201000 5723 SH DFND 5723 0 0 ALPHABET CAPST 02079K305 27418000 29492 SH DFND 29492 0 0 ALTICE U CLA 02156K103 4845000 150000 SH DFND 150000 0 0 AMAZON C COM 023135106 4840000 5000 SH DFND 5000 0 0 AMERICAN COM 02376R102 38961000 774260 SH DFND 774260 0 0 AMERICAN COM 02916P103 3102000 81000 SH DFND 81000 0 0 ANADARKO COM 032511107 309000 257500 SH Call DFND 257500 0 0 ANTHEM I COM 036752103 23274000 123713 SH DFND 123713 0 0 APACHE C COM 037411105 45000 75000 SH Put DFND 75000 0 0 APPLE IN COM 037833100 12682000 88058 SH DFND 88058 0 0 APPLIED COM 038222105 8211000 198767 SH DFND 198767 0 0 ARCELORM NYREG 03938L203 11077000 487341 SH DFND 487341 0 0 ASHLAND COM 044186104 87000 51900 SH Call DFND 51900 0 0 ASHLAND COM 044186104 1417000 21506 SH DFND 21506 0 0 ATLAS AI COMNE 049164205 1699000 32580 SH DFND 32580 0 0 AUTODESK COM 052769106 15123000 150000 SH DFND 150000 0 0 AUTOHOME SPADR 05278C107 1977000 43584 SH DFND 43584 0 0 AVERY DE COM 053611109 5994000 67823 SH DFND 67823 0 0 AVIS BUD COM 053774105 2182000 80000 SH DFND 80000 0 0 AZUL S A SPONS 05501U106 655000 31081 SH DFND 31081 0 0 BHP BILL SPONS 05545E209 10169000 330591 SH DFND 330591 0 0 BAIDU IN SPONA 056752108 58126000 324980 SH DFND 324980 0 0 BAKER HU COM 057224107 2889000 53000 SH DFND 53000 0 0 BANCO MA SPONA 05961W105 1212000 13149 SH DFND 13149 0 0 BANK AME COM 060505104 8409000 346606 SH DFND 346606 0 0 BARCLAYS COM 06740Q252 60000 200000 SH Put DFND 200000 0 0 BARCLAYS IPATH 06740Q252 3828000 300000 SH DFND 300000 0 0 BARRICK COM 067901108 5527000 347364 SH DFND 347364 0 0 BASIC EN COMNE 06985P209 1988000 79838 SH DFND 79838 0 0 BERRY GL COM 08579W103 1667000 29247 SH DFND 29247 0 0 BHP BILL SPONS 088606108 2135000 60000 SH DFND 60000 0 0 BIOMARIN NOTE0 09061GAE1 1113000 1000000 PRN DFND 1000000 0 0 BITAUTO SPONS 091727107 4571000 159004 SH DFND 159004 0 0 BJS REST COM 09180C106 12318000 330679 SH DFND 330679 0 0 BOSTON B CLA 100557107 902000 6823 SH DFND 6823 0 0 BOX INC CLA 10316T104 23439000 1285021 SH DFND 1285021 0 0 BYLINE B COM 124411109 1833000 91413 SH DFND 91413 0 0 CBL & AS COM 124830100 2192000 260079 SH DFND 260079 0 0 CDK GLOB COM 12508E101 29789000 480000 SH DFND 480000 0 0 C&J ENER COM 12674R100 1241000 36216 SH DFND 36216 0 0 CABOT OI COM 127097103 910000 36271 SH DFND 36271 0 0 CALIFORN COMNE 13057Q206 488000 57100 SH DFND 57100 0 0 CALLON P COM 13123X102 2919000 275110 SH DFND 275110 0 0 CANADA G SHSSU 135086106 6690000 338729 SH DFND 338729 0 0 CANADIAN COM 13645T100 30152000 187500 SH DFND 187500 0 0 CARMAX I COM 143130102 44142000 700000 SH DFND 700000 0 0 CARNIVAL UNIT9 143658300 2677000 40826 SH DFND 40826 0 0 CARRIZO COM 144577103 523000 30000 SH DFND 30000 0 0 CARROLS COM 14574X104 6829000 557450 SH DFND 557450 0 0 CATASYS COMPA 149049504 834000 182597 SH DFND 182597 0 0 CAVIUM I COM 14964U108 1864000 30000 SH DFND 30000 0 0 CELANESE COMSE 150870103 12817000 135000 SH DFND 135000 0 0 CHENIERE COMNE 16411R208 779000 16000 SH DFND 16000 0 0 CHESAPEA COM 165167107 122000 24471 SH DFND 24471 0 0 CHEVRON COM 166764100 651000 6243 SH DFND 6243 0 0 CHILDREN COM 168905107 1634000 16000 SH DFND 16000 0 0 CIENA CO DEBT4 171779AK7 31085000 22000000 SH DFND 22000000 0 0 CISCO SY COM 17275R102 6410000 204790 SH DFND 204790 0 0 CITIGROU COM 172967424 37000 250000 SH Call DFND 250000 0 0 CITRIX S NOTE0 177376AD2 1203000 1000000 PRN DFND 1000000 0 0 CLOUDERA COM 18914U100 1202000 75000 SH DFND 75000 0 0 COCA COL COM 191216100 40365000 900000 SH DFND 900000 0 0 COGNIZAN CLA 192446102 25896000 390000 SH DFND 390000 0 0 COMERICA COM 200340107 6717000 91717 SH DFND 91717 0 0 COMMUNIT RIGHT 203668116 99000 5055677 SH DFND 5055677 0 0 CONAGRA COM 205887102 885000 416300 SH Put DFND 416300 0 0 CONAGRA COM 205887102 36475000 1020000 SH DFND 1020000 0 0 CONCHO R COM 20605P101 1471000 12100 SH DFND 12100 0 0 CONOCOPH COM 20825C104 4494000 102229 SH DFND 102229 0 0 CONSTELL CLA 21036P108 34768000 179464 SH DFND 179464 0 0 CONTINEN COM 212015101 2458000 76015 SH DFND 76015 0 0 CONYERS UNIT9 212894208 12750000 1000000 SH DFND 1000000 0 0 COOPER T COM 216831107 8664000 240000 SH DFND 240000 0 0 COTY INC COMCL 222070203 15477000 825000 SH DFND 825000 0 0 CROWN HO COM 228368106 19405000 325252 SH DFND 325252 0 0 CTRIP CO AMERI 22943F100 6730000 124959 SH DFND 124959 0 0 CYPRESS COM 232806109 1365000 100000 SH DFND 100000 0 0 DANAHER COM 235851102 43077000 510450 SH DFND 510450 0 0 DAVE & B COM 238337109 2644000 39753 SH DFND 39753 0 0 DELTA AI COMNE 247361702 60318000 1122410 SH DFND 1122410 0 0 DEPOMED NOTE2 249908AA2 41919000 47500000 PRN DFND 47500000 0 0 DEVON EN COM 25179M103 6403000 200293 SH DFND 200293 0 0 DIAMOND COM 25271C102 2399000 221559 SH DFND 221559 0 0 DIAMONDB COM 25278X109 4540000 51122 SH DFND 51122 0 0 DISNEY W COM 254687106 211000 104700 SH Call DFND 104700 0 0 DISNEY W COMDI 254687106 3188000 30000 SH DFND 30000 0 0 DISH NET COM 25470M109 328000 206800 SH Call DFND 206800 0 0 DISH NET CLA 25470M109 45924000 731737 SH DFND 731737 0 0 DOLLAR T COM 256746108 6001000 85822 SH DFND 85822 0 0 DOVER CO COM 260003108 3610000 45000 SH DFND 45000 0 0 DR PEPPE COM 26138E109 26422000 290000 SH DFND 290000 0 0 EQT CORP COM 26884L109 17000 114100 SH Put DFND 114100 0 0 EQT CORP COM 26884L109 3146000 53700 SH DFND 53700 0 0 EAGLE MA COM 26969P108 13034000 141026 SH DFND 141026 0 0 EBAY INC COM 278642103 80960000 2318434 SH DFND 2318434 0 0 ECHOSTAR CLA 278768106 6496000 107016 SH DFND 107016 0 0 ECLIPSE COM 27890G100 4228000 1478368 SH DFND 1478368 0 0 EDGEWELL COM 28035Q102 83000 21100 SH Call DFND 21100 0 0 EDGEWELL COM 28035Q102 18245000 240000 SH DFND 240000 0 0 ELDORADO COM 28470R102 2735000 136731 SH DFND 136731 0 0 ENERGEN COM 29265N108 645000 13068 SH DFND 13068 0 0 ENERGIZE COM 29272W109 17277000 359795 SH DFND 359795 0 0 EXACT SC COM 30063P105 2111000 59671 SH DFND 59671 0 0 EXPEDIA COMNE 30212P303 26636000 178826 SH DFND 178826 0 0 EXPRESS COM 30219G108 30534000 478295 SH DFND 478295 0 0 EXTRACTI COM 30227M105 6917000 514240 SH DFND 514240 0 0 EXXON MO COM 30231G102 170000 326200 SH Call DFND 326200 0 0 FACEBOOK CLA 30303M102 17540000 116177 SH DFND 116177 0 0 F5 NETWO COM 315616102 4447000 35000 SH DFND 35000 0 0 FINISAR COMNE 31787A507 1689000 65000 SH DFND 65000 0 0 FIREEYE COM 31816Q101 456000 30000 SH DFND 30000 0 0 FIREEYE NOTE1 31816QAD3 12295000 13500000 PRN DFND 13500000 0 0 FIRST IN COMCL 32055Y201 4318000 116080 SH DFND 116080 0 0 FLOTEK I COM 343389102 1804000 201831 SH DFND 201831 0 0 FOGO DE COM 344177100 1214000 87334 SH DFND 87334 0 0 FORD MTR COMPA 345370860 13428000 1200000 SH DFND 1200000 0 0 FORTINET COM 34959E109 2246000 60000 SH DFND 60000 0 0 FORTIVE COM 34959J108 28622000 451806 SH DFND 451806 0 0 FORTUNE COM 34964C106 4893000 75000 SH DFND 75000 0 0 FREEPORT CLB 35671D857 1368000 113900 SH DFND 113900 0 0 FRESHPET COM 358039105 8466000 510000 SH DFND 510000 0 0 FRONTIER PFDCO 35906A207 26722000 918600 SH DFND 918600 0 0 GCP APPL COM 36164Y101 2745000 90000 SH DFND 90000 0 0 GSV CAP NOTE5 36191JAB7 2597000 2650000 PRN DFND 2650000 0 0 GMS INC COM 36251C103 5612000 199706 SH DFND 199706 0 0 GAMING & COM 36467J108 32936000 874334 SH DFND 874334 0 0 GAP INC COM 364760108 2199000 100000 SH DFND 100000 0 0 GENERAL COM 369604103 27955000 1034996 SH DFND 1034996 0 0 GENERAL COM 37045V100 46966000 1344576 SH DFND 1344576 0 0 GOGO INC COM 38046C109 7881000 683550 SH DFND 683550 0 0 GOGO INC NOTE3 38046CAB5 910000 1000000 PRN DFND 1000000 0 0 GOODRICH DEBT1 382410AR9 2381000 4875000 SH DFND 4875000 0 0 GOPRO IN CLA 38268T103 528000 65000 SH DFND 65000 0 0 GRACE W COM 38388F108 12528000 173974 SH DFND 173974 0 0 GROUPON COM 399473107 1629000 424284 SH DFND 424284 0 0 GRUBHUB COM 400110102 304000 6983 SH DFND 6983 0 0 GULFPORT COMNE 402635304 64868000 4397850 SH DFND 4397850 0 0 HD SUPPL COM 40416M105 11486000 375000 SH DFND 375000 0 0 HAIN CEL COM 405217100 10676000 275000 SH DFND 275000 0 0 HALCON R COMPA 40537Q605 5092000 1121539 SH DFND 1121539 0 0 HEARTLAN COM 422347104 10930000 525000 SH DFND 525000 0 0 HESS COR COM 42809H107 42000 191700 SH Call DFND 191700 0 0 HEXCEL C COM 428291108 7127000 135000 SH DFND 135000 0 0 HOME DEP COM 437076102 3375000 22000 SH DFND 22000 0 0 HONEYWEL COM 438516106 55982000 420000 SH DFND 420000 0 0 IAC INTE COM 44919P508 8859000 85809 SH DFND 85809 0 0 ILLUMINA NOTE6 452327AF6 1015000 1000000 PRN DFND 1000000 0 0 INTERCEP NOTE3 45845PAA6 978000 1000000 PRN DFND 1000000 0 0 INTERNAP COMPA 45885A300 15025000 4093950 SH DFND 4093950 0 0 INTRAWES COM 46090K109 245000 10319 SH DFND 10319 0 0 ISHARES COM 464287234 225000 750000 SH Put DFND 750000 0 0 ISHARES IBOXX 464287242 6026000 50000 SH DFND 50000 0 0 ISHARES COM 464287432 332000 200600 SH Call DFND 200600 0 0 ISHARES COM 464287655 715000 500000 SH Put DFND 500000 0 0 ISHARES COM 464288513 146000 220000 SH Call DFND 220000 0 0 ISHARES COM 464288513 115000 1000000 SH Put DFND 1000000 0 0 J JILL I COM 46620W102 1844000 150000 SH DFND 150000 0 0 JACK IN COM 466367109 4705000 47765 SH DFND 47765 0 0 JAGGED P COM 47009K107 4919000 368476 SH DFND 368476 0 0 JONES EN COMCL 48019R108 1829000 1142895 SH DFND 1142895 0 0 JUNIPER COM 48203R104 2091000 75000 SH DFND 75000 0 0 KAPSTONE COM 48562P103 9067000 439500 SH DFND 439500 0 0 KATE SPA COM 485865109 186000 10059 SH DFND 10059 0 0 KELLOGG COM 487836108 31855000 458607 SH DFND 458607 0 0 KRAFT HE COM 500754106 98411000 1149127 SH DFND 1149127 0 0 LA QUINT COM 50420D108 961000 65038 SH DFND 65038 0 0 LAMB WES COM 513272104 7535000 171097 SH DFND 171097 0 0 LEGG MAS COM 524901105 13055000 342100 SH DFND 342100 0 0 LIBERTY COMSE 530307305 1476000 17014 SH DFND 17014 0 0 LIBERTY QVCGP 53071M104 23462000 956078 SH DFND 956078 0 0 LIBERTY COMSE 531229854 2059000 56239 SH DFND 56239 0 0 LIBERTY NOTE1 531229AB8 1189000 1000000 PRN DFND 1000000 0 0 LIGAND P NOTE0 53220KAD0 12427000 7500000 PRN DFND 7500000 0 0 LIONS GA CLAVT 535919401 5691000 201682 SH DFND 201682 0 0 LIONS GA CLBNO 535919500 19269000 733212 SH DFND 733212 0 0 LIVE NAT COM 538034109 7535000 216202 SH DFND 216202 0 0 LULULEMO COM 550021109 28272000 473801 SH DFND 473801 0 0 MRC GLOB COM 55345K103 19405000 1174667 SH DFND 1174667 0 0 MACERICH COM 554382101 4884000 84119 SH DFND 84119 0 0 MACYS IN COM 55616P104 1162000 50000 SH DFND 50000 0 0 MAMMOTH COM 56155L108 6050000 325243 SH DFND 325243 0 0 MCDONALD COM 580135101 19789000 129205 SH DFND 129205 0 0 MELCO RE ADR 585464100 14834000 660748 SH DFND 660748 0 0 MERCK & COM 58933Y105 2708000 42252 SH DFND 42252 0 0 MICRON T COM 595112103 1493000 50000 SH DFND 50000 0 0 MOLSON C CLB 60871R209 94214000 1091196 SH DFND 1091196 0 0 MONDELEZ COM 609207105 49000 200000 SH Call DFND 200000 0 0 MONDELEZ CLA 609207105 8638000 200000 SH DFND 200000 0 0 MONSTER COM 61174X109 7833000 157669 SH DFND 157669 0 0 NAVISTAR NOTE4 63934EAS7 3924000 4000000 PRN DFND 4000000 0 0 NEW RELI COM 64829B100 6758000 157133 SH DFND 157133 0 0 NEWELL B COM 651229106 16086000 300000 SH DFND 300000 0 0 NEXSTAR CLA 65336K103 16913000 282830 SH DFND 282830 0 0 NUANCE C DBCV1 67020YAK6 969000 1000000 SH DFND 1000000 0 0 NUCOR CO COM 670346105 6229000 107639 SH DFND 107639 0 0 NUTANIX CLA 67059N108 3756000 186400 SH DFND 186400 0 0 OASIS PE COM 674215108 4064000 504784 SH DFND 504784 0 0 OCEANEER COM 675232102 4888000 214000 SH DFND 214000 0 0 OKTA INC CLA 679295105 1710000 75000 SH DFND 75000 0 0 OREXIGEN COMNE 686164302 0 33333 SH DFND 33333 0 0 OREXIGEN NOTE2 686164AB0 3000000 7500000 PRN DFND 7500000 0 0 OREXIGEN NOTE2 686164AC8 3000000 7500000 PRN DFND 7500000 0 0 OSHKOSH COM 688239201 16531000 240000 SH DFND 240000 0 0 PPG INDS COM 693506107 49800000 452894 SH DFND 452894 0 0 PVH CORP COM 693656100 2519000 22000 SH DFND 22000 0 0 PACCAR I COM 693718108 14852000 224900 SH DFND 224900 0 0 PALO ALT COM 697435105 6021000 45000 SH DFND 45000 0 0 PANDORA COM 698354107 10108000 1133227 SH DFND 1133227 0 0 PANDORA NOTE1 698354AB3 32394000 34000000 PRN DFND 34000000 0 0 PANERA B CLA 69840W108 25401000 80729 SH DFND 80729 0 0 PAREXEL COM 699462107 26393000 303687 SH DFND 303687 0 0 PARSLEY CLA 701877102 1967000 70896 SH DFND 70896 0 0 PARTY CI COM 702149105 1174000 75000 SH DFND 75000 0 0 PAYPAL H COM 70450Y103 56354000 1050000 SH DFND 1050000 0 0 PENN NAT COM 707569109 3533000 165077 SH DFND 165077 0 0 PENNEY J COM 708160106 4655000 1001013 SH DFND 1001013 0 0 PHILIP M COM 718172109 4299000 36600 SH DFND 36600 0 0 PHILLIPS COM 718546104 5788000 70000 SH DFND 70000 0 0 PHYSICIA COM 71943U104 21057000 1045532 SH DFND 1045532 0 0 PINNACLE COM 72348P104 580000 210900 SH Put DFND 210900 0 0 PINNACLE COM 72348P104 29700000 500000 SH DFND 500000 0 0 POST HLD COM 737446104 112679000 1451116 SH DFND 1451116 0 0 POWERSHA COM 73935A104 812000 295000 SH Put DFND 295000 0 0 POWERSHA SENIO 73936Q769 23649000 1022000 SH DFND 1022000 0 0 PRICELIN COMNE 741503403 7585000 4055 SH DFND 4055 0 0 PRICELIN NOTE0 741503AX4 1148000 1000000 PRN DFND 1000000 0 0 PROCTER COM 742718109 2614000 30000 SH DFND 30000 0 0 PROPETRO COM 74347M108 1559000 111678 SH DFND 111678 0 0 PROTALIX COM 74365A101 272000 324479 SH DFND 324479 0 0 PROTALIX NOTE7 74365AAD3 5263000 6579000 PRN DFND 6579000 0 0 PURE STO CLA 74624M102 13130000 1025000 SH DFND 1025000 0 0 RLJ LODG COM 74965L101 11200000 563654 SH DFND 563654 0 0 RANGE RE COM 75281A109 52680000 2273650 SH DFND 2273650 0 0 RAPID7 I COM 753422104 3575000 212400 SH DFND 212400 0 0 RAYONIER COM 754907103 4786000 166353 SH DFND 166353 0 0 REALPAGE COM 75606N109 1599000 44470 SH DFND 44470 0 0 RED HAT COM 756577102 18180000 189869 SH DFND 189869 0 0 RED ROBI COM 75689M101 4850000 74330 SH DFND 74330 0 0 RESTAURA COM 76131D103 41649000 665953 SH DFND 665953 0 0 REYNOLDS COM 761713106 376796000 5793303 SH DFND 5793303 0 0 ROSS STO COM 778296103 1443000 25000 SH DFND 25000 0 0 SPDR S&P COM 78462F103 932000 1265000 SH Call DFND 1265000 0 0 SPDR S&P COM 78462F103 1247000 400900 SH Put DFND 400900 0 0 SPDR S&P TRUNI 78462F103 1040000 4300 SH DFND 4300 0 0 SPDR GOL GOLDS 78463V107 7435000 63000 SH DFND 63000 0 0 SPDR SER S&PRE 78464A698 7016000 127680 SH DFND 127680 0 0 SPDR SER S&POI 78464A730 5746000 180000 SH DFND 180000 0 0 SALESFOR COM 79466L302 22732000 262500 SH DFND 262500 0 0 SANOFI RIGHT 80105N113 470000 1238077 SH DFND 1238077 0 0 SCHWAB C COM 808513105 14346000 333936 SH DFND 333936 0 0 SCRIPPS CLACO 811065101 1511000 22120 SH DFND 22120 0 0 SELECT S COM 81369Y605 148000 400000 SH Call DFND 400000 0 0 SELECT S COM 81369Y704 21000 300000 SH Put DFND 300000 0 0 SELECT E CLACO 81617J301 563000 46342 SH DFND 46342 0 0 SHAKE SH CLA 819047101 5525000 158413 SH DFND 158413 0 0 SINCLAIR CLA 829226109 20648000 627599 SH DFND 627599 0 0 SIRIUS X COM 82968B103 274000 50000 SH DFND 50000 0 0 SNAP ON COM 833034101 29625000 187500 SH DFND 187500 0 0 SNYDERS- COM 833551104 19214000 555000 SH DFND 555000 0 0 SOLARIS COMCL 83418M103 334000 28999 SH DFND 28999 0 0 SOUTHERN COM 843380106 2599000 80558 SH DFND 80558 0 0 SOUTHWES COM 844741108 21465000 345432 SH DFND 345432 0 0 SOUTHWES COM 845467109 3526000 580000 SH DFND 580000 0 0 SPIRIT A COM 848577102 13306000 257613 SH DFND 257613 0 0 STANDARD NOTE1 85375CBC4 15000000 15000000 PRN DFND 15000000 0 0 STARBUCK COM 855244109 4950000 84886 SH DFND 84886 0 0 STATOIL SPONS 85771P102 2040000 123392 SH DFND 123392 0 0 SUCAMPO DBCV3 864909AA4 26388000 27000000 SH DFND 27000000 0 0 SUNPOWER DBCV4 867652AL3 6525000 7500000 SH DFND 7500000 0 0 SYNACOR COM 871561106 373000 102125 SH DFND 102125 0 0 SYNTHETI COM 87164U102 424000 749848 SH DFND 749848 0 0 TJX COS COM 872540109 2887000 40000 SH DFND 40000 0 0 TABLEAU CLA 87336U105 9526000 155483 SH DFND 155483 0 0 TAIWAN S SPONS 874039100 11242000 321569 SH DFND 321569 0 0 TECK RES CLB 878742204 16118000 930046 SH DFND 930046 0 0 TENET HE COMNE 88033G407 7889000 407889 SH DFND 407889 0 0 TESLA IN NOTE2 88160RAD3 37717000 30000000 PRN DFND 30000000 0 0 THE TRAD COMCL 88339J105 17501000 349245 SH DFND 349245 0 0 TIME WAR COM 887317303 78000 1735500 SH Put DFND 1735500 0 0 TINTRI I COM 88770Q105 1454000 200000 SH DFND 200000 0 0 TRANSENT COMNE 89366M201 390000 549390 SH DFND 549390 0 0 TRINITY COM 896522109 3111000 111000 SH DFND 111000 0 0 TRIPADVI COM 896945201 3056000 80000 SH DFND 80000 0 0 TRUECAR COM 89785L107 1579000 79213 SH DFND 79213 0 0 TURNING COM 90041L105 1783000 116211 SH DFND 116211 0 0 TWENTY F CLA 90130A101 2830000 99873 SH DFND 99873 0 0 TWITTER NOTE0 90184LAB8 949000 1000000 PRN DFND 1000000 0 0 UNION PA COM 907818108 8985000 82500 SH DFND 82500 0 0 UNISYS C NOTE5 909214BS6 29378000 19250000 PRN DFND 19250000 0 0 UNITED R COM 911363109 11835000 105000 SH DFND 105000 0 0 US FOODS COM 912008109 2357000 86600 SH DFND 86600 0 0 UNITED S COM 91232N108 4000 724000 SH Call DFND 724000 0 0 UNITED S COM 91232N108 9000 100000 SH Put DFND 100000 0 0 UNITED S COM 912909108 564000 250000 SH Call DFND 250000 0 0 UPLAND S COM 91544A109 1449000 65910 SH DFND 65910 0 0 VALVOLIN COM 92047W101 1400000 59041 SH DFND 59041 0 0 VANECK V COM 92189F106 456000 988000 SH Call DFND 988000 0 0 VANECK V COM 92189F106 279000 303200 SH Put DFND 303200 0 0 VANECK V GOLDM 92189F106 4617000 209085 SH DFND 209085 0 0 VERIZON COM 92343V104 10000 956800 SH Call DFND 956800 0 0 VERIZON COM 92343V104 4688000 956800 SH Put DFND 956800 0 0 VERIZON COM 92343V104 40560000 908200 SH DFND 908200 0 0 VERITONE COM 92347M100 586000 50000 SH DFND 50000 0 0 VIACOM I CLB 92553P201 17679000 526619 SH DFND 526619 0 0 VITAL TH COM 92847R104 545000 188000 SH DFND 188000 0 0 VMWARE I CLACO 928563402 874000 10000 SH DFND 10000 0 0 VULCAN M COM 929160109 9246000 72987 SH DFND 72987 0 0 WEBMD HE COM 94770V102 61000 45500 SH Call DFND 45500 0 0 WEBMD HE NOTE1 94770VAK8 28563000 22500000 PRN DFND 22500000 0 0 WELLS FA COM 949746101 36571000 660000 SH DFND 660000 0 0 WESTERN COM 958102105 1746000 19709 SH DFND 19709 0 0 WESTROCK COM 96145D105 46579000 822082 SH DFND 822082 0 0 WHITESTO COM 966084204 768000 62704 SH DFND 62704 0 0 WHITING COM 966387102 5192000 942304 SH DFND 942304 0 0 WILDHORS COM 96812T102 773000 62525 SH DFND 62525 0 0 WORLD WR COM 98156Q108 3000 133300 SH Call DFND 133300 0 0 YELP INC CLA 985817105 6004000 200000 SH DFND 200000 0 0 YUM CHIN COM 98850P109 577000 14640 SH DFND 14640 0 0 ZAYO GRO COM 98919V105 2526000 81738 SH DFND 81738 0 0 ZYNGA IN CLA 98986T108 8755000 2405242 SH DFND 2405242 0 0 EURONAV SHS B38564108 2666000 337486 SH DFND 337486 0 0 ALLERGAN SHS G0177J108 924000 3800 SH DFND 3800 0 0 AMDOCS L SHS G02602103 30869000 478892 SH DFND 478892 0 0 ARRIS IN SHS G0551A103 1401000 50000 SH DFND 50000 0 0 COCA COL SHS G25839104 21465000 527791 SH DFND 527791 0 0 EATON CO SHS G29183103 23349000 300000 SH DFND 300000 0 0 ENSCO PL SHSCL G3157S106 1962000 380137 SH DFND 380137 0 0 HERBALIF COMUS G4412G101 75767000 1062200 SH DFND 1062200 0 0 INTERNAT SHSUS G4863A108 5490000 300000 SH DFND 300000 0 0 JOHNSON SHS G51502105 35062000 808626 SH DFND 808626 0 0 LIBERTY SHSCL G5480U104 16408000 510846 SH DFND 510846 0 0 NIELSEN SHSEU G6518L108 37068000 958818 SH DFND 958818 0 0 NOBLE CO SHSUS G65431101 2016000 556812 SH DFND 556812 0 0 NORDIC A SHS G65772108 298000 238060 SH DFND 238060 0 0 ROWAN CO SHSCL G7665A101 2246000 219309 SH DFND 219309 0 0 TPG PACE UNIT9 G89827102 10260000 1000000 SH DFND 1000000 0 0 TRAVELPO SHS G9019D104 23392000 1700000 SH DFND 1700000 0 0 WILLIS T SHS G96629103 87276000 600000 SH DFND 600000 0 0 AURIS ME COM H03579101 575000 804187 SH DFND 804187 0 0 OBSEVA S COM H5861P103 783000 91545 SH DFND 91545 0 0 TRANSOCE REGSH H8817H100 2971000 361017 SH DFND 361017 0 0 ASML HOL NYREG N07059210 6063000 46530 SH DFND 46530 0 0 CIMPRESS SHSEU N20146101 34599000 366015 SH DFND 366015 0 0 INTERXIO SHS N47279109 1531000 33435 SH DFND 33435 0 0 PLAYA HO SHS N70544106 4984000 417060 SH DFND 417060 0 0 YANDEX N SHSCL N97284108 5896000 224700 SH DFND 224700 0 0 ROYAL CA COM V7780T103 2856000 26147 SH DFND 26147 0 0 ARDMORE COM Y0207T100 842000 103367 SH DFND 103367 0 0 GENER8 M COM Y26889108 4927000 865821 SH DFND 865821 0 0 SCORPIO SHS Y7542C106 6181000 1556863 SH DFND 1556863 0 0 TEEKAY T CLA Y8565N102 1987000 1057111 SH DFND 1057111 0 0