0001132716-17-000018.txt : 20170831
0001132716-17-000018.hdr.sgml : 20170831
20170831140126
ACCESSION NUMBER: 0001132716-17-000018
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170630
FILED AS OF DATE: 20170831
DATE AS OF CHANGE: 20170831
EFFECTIVENESS DATE: 20170831
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: 171063019
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
06-30-2017
06-30-2017
true
1
RESTATEMENT
UBS OCONNOR LLC
ONE NORTH WACKER DRIVE 32ND FLOOR
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-06327
N
Sal DiGangi
CCO
212-821-6206
Sal DiGangi
New York City
NY
08-29-2017
0
366
4475351
true
INFORMATION TABLE
2
ubsocq217a1infotable.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
SUPERVAL
COM
868536103
21362000
6493097
SH
DFND
6493097
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