0001132716-18-000012.txt : 20180814
0001132716-18-000012.hdr.sgml : 20180814
20180814164355
ACCESSION NUMBER: 0001132716-18-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20180814
DATE AS OF CHANGE: 20180814
EFFECTIVENESS DATE: 20180814
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: 181018372
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
06-30-2018
06-30-2018
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
08-14-2018
0
242
2258097
true
INFORMATION TABLE
2
ubsocq218infotable.xml
ADT INC
COM
00090Q103
778000
90000
SH
DFND
90000
0
0
ANGI HOM
COMCL
00183L102
3647000
237120
SH
DFND
237120
0
0
ACHAOGEN
COM
004449104
866000
100000
SH
DFND
100000
0
0
ACTIVISI
COM
00507V109
13696000
179460
SH
DFND
179460
0
0
AEGERION
NOTE2
00767EAB8
15406000
22000000
PRN
DFND
22000000
0
0
AGREE RE
COM
008492100
1937000
36700
SH
DFND
36700
0
0
AIR PROD
COM
009158106
65407000
420000
SH
DFND
420000
0
0
ALBEMARL
COM
012653101
1981000
21000
SH
DFND
21000
0
0
ALEXANDR
COM
015271109
3312000
26250
SH
DFND
26250
0
0
ALIBABA
SPONS
01609W102
261000
1409
SH
DFND
1409
0
0
ALLSCRIP
NOTE1
01988PAD0
27809000
27500000
PRN
DFND
27500000
0
0
ALPHABET
CAPST
02079K305
11412000
10106
SH
DFND
10106
0
0
AMAZON C
COM
023135106
11724000
6897
SH
DFND
6897
0
0
AMERICAN
COM
025816109
3920000
40000
SH
DFND
40000
0
0
AMERICAN
CLA
02665T306
5330000
240300
SH
DFND
240300
0
0
AMERIPRI
COM
03076C106
6994000
50000
SH
DFND
50000
0
0
AMPHENOL
CLA
032095101
2806000
32202
SH
DFND
32202
0
0
APARTMEN
CLA
03748R101
1303000
30800
SH
DFND
30800
0
0
APPIAN C
CLA
03782L101
595000
16461
SH
DFND
16461
0
0
APPLE IN
COM
037833100
13762000
74347
SH
DFND
74347
0
0
APPLIED
COM
038222105
462000
10000
SH
DFND
10000
0
0
APTINYX
COM
03836N103
1450000
60000
SH
DFND
60000
0
0
AQUA MET
COM
03837J101
1743000
605051
SH
DFND
605051
0
0
ARDELYX
COM
039697107
2220000
600000
SH
DFND
600000
0
0
ASHLAND
COM
044186104
17981000
230000
SH
DFND
230000
0
0
AUTODESK
COM
052769106
1966000
15000
SH
DFND
15000
0
0
AUTOMATI
COM
053015103
34876000
260000
SH
DFND
260000
0
0
AVALONBA
COM
053484101
4899000
28500
SH
DFND
28500
0
0
AZUL S A
SPONS
05501U106
30025000
1835242
SH
DFND
1835242
0
0
BAIDU IN
SPONA
056752108
28556000
117513
SH
DFND
117513
0
0
BIOMARIN
NOTE0
09061GAH4
1002000
1000000
PRN
DFND
1000000
0
0
BOSTON P
COM
101121101
1856000
14800
SH
DFND
14800
0
0
BOX INC
COM
10316T104
10000
100000
SH
Call
DFND
100000
0
0
BRISTOW
COM
110394103
1445000
102400
SH
DFND
102400
0
0
CDK GLOB
COM
12508E101
26020000
400000
SH
DFND
400000
0
0
CIGNA CO
COM
125509109
67980000
400000
SH
DFND
400000
0
0
CSX CORP
COM
126408103
18177000
285000
SH
DFND
285000
0
0
CALAMP C
NOTE1
128126AB5
17527000
16500000
PRN
DFND
16500000
0
0
CAMDEN P
SHBEN
133131102
1258000
13800
SH
DFND
13800
0
0
CAPITAL
COM
14040H105
12866000
140000
SH
DFND
140000
0
0
CAVIUM I
COM
14964U108
52650000
608670
SH
DFND
608670
0
0
CHARAH S
COM
15957P105
3556000
325000
SH
DFND
325000
0
0
CHESAPEA
NOTE5
165167CY1
31620000
31000000
PRN
DFND
31000000
0
0
CHOICE H
COM
169905106
4589000
60700
SH
DFND
60700
0
0
CIRCOR I
COM
17273K109
3142000
85000
SH
DFND
85000
0
0
CITIZENS
COM
174610105
7002000
180000
SH
DFND
180000
0
0
COGNIZAN
CLA
192446102
39495000
500000
SH
DFND
500000
0
0
COHERUS
COM
19249H103
1540000
110000
SH
DFND
110000
0
0
COLUMBIA
COMNE
198287203
1757000
77350
SH
DFND
77350
0
0
COMERICA
COM
200340107
10001000
110000
SH
DFND
110000
0
0
COMMUNIT
RIGHT
203668116
47000
4741911
SH
DFND
4741911
0
0
CONVERGE
COMCL
212481105
4808000
512050
SH
DFND
512050
0
0
COREPOIN
COM
21872L104
11648000
449733
SH
DFND
449733
0
0
CORPORAT
SHBEN
22002T108
638000
22000
SH
DFND
22000
0
0
CROWN CA
COM
22822V101
1283000
11900
SH
DFND
11900
0
0
CTRIP CO
AMERI
22943F100
9450000
198413
SH
DFND
198413
0
0
CUBESMAR
COM
229663109
1289000
40000
SH
DFND
40000
0
0
CURO GRO
COM
23131L107
1487000
59616
SH
DFND
59616
0
0
CYPRESS
COM
232806109
6203000
398121
SH
DFND
398121
0
0
D R HORT
COM
23331A109
3452000
84200
SH
DFND
84200
0
0
DASEKE I
COM
23753F107
2002000
201565
SH
DFND
201565
0
0
DERMIRA
NOTE3
24983LAB0
27682000
33500000
PRN
DFND
33500000
0
0
DEPOMED
NOTE2
249908AA2
29590000
36000000
PRN
DFND
36000000
0
0
DIGITAL
COM
253868103
1250000
11200
SH
DFND
11200
0
0
DISNEY W
COMDI
254687106
5255000
50142
SH
DFND
50142
0
0
DISCOVER
COM
254709108
5281000
75000
SH
DFND
75000
0
0
DISCOVER
COMSE
25470F104
7177000
260986
SH
DFND
260986
0
0
DISH NET
COM
25470M109
19000
101000
SH
Call
DFND
101000
0
0
DISH NET
CLA
25470M109
3361000
100000
SH
DFND
100000
0
0
DISH NET
NOTE3
25470MAB5
4825000
5000000
PRN
DFND
5000000
0
0
DISH NET
NOTE2
25470MAD1
22907000
26000000
PRN
DFND
26000000
0
0
EBAY INC
COM
278642103
54390000
1500000
SH
DFND
1500000
0
0
ELECTRON
COM
285512109
793000
938600
SH
Call
DFND
938600
0
0
ELECTRON
COM
285512109
17489000
124018
SH
DFND
124018
0
0
ELECTRON
NOTE0
286082AC6
992000
1000000
PRN
DFND
1000000
0
0
EMPIRE S
CLA
292104106
617000
36100
SH
DFND
36100
0
0
ENSCO JE
NOTE3
29359WAB1
845000
1000000
PRN
DFND
1000000
0
0
EQUIFAX
COM
294429105
22520000
180000
SH
DFND
180000
0
0
EQUINIX
COMPA
29444U700
4815000
11200
SH
DFND
11200
0
0
EQUITY L
COM
29472R108
2143000
23318
SH
DFND
23318
0
0
ESSEX PP
COM
297178105
1219000
5100
SH
DFND
5100
0
0
EVERSPIN
COM
30041T104
1339000
150098
SH
DFND
150098
0
0
FCB FINL
CLA
30255G103
1470000
25000
SH
DFND
25000
0
0
FB FINL
COM
30257X104
3006000
73832
SH
DFND
73832
0
0
FACEBOOK
CLA
30303M102
60239000
310000
SH
DFND
310000
0
0
FEDERAL
SHBEN
313747206
3093000
24440
SH
DFND
24440
0
0
58 COM I
SPONA
31680Q104
2150000
31000
SH
DFND
31000
0
0
FINISAR
NOTE0
31787AAP6
909000
1000000
PRN
DFND
1000000
0
0
FIRST HO
COM
320517105
9483000
531543
SH
DFND
531543
0
0
FLAGSTAR
COMPA
337930705
3482000
101637
SH
DFND
101637
0
0
FOUR COR
COM
35086T109
1813000
73600
SH
DFND
73600
0
0
FRONTIER
COM
35906A306
783000
405000
SH
Put
DFND
405000
0
0
GSV CAP
COM
36191J101
1029000
150000
SH
DFND
150000
0
0
GAMING &
COM
36467J108
1697000
47400
SH
DFND
47400
0
0
GEMPHIRE
COM
36870A108
265000
26000
SH
DFND
26000
0
0
GODADDY
CLA
380237107
4785000
67775
SH
DFND
67775
0
0
GOLDMAN
COM
38141G104
6617000
30000
SH
DFND
30000
0
0
GOODRICH
DEBT1
382410AR9
4200000
4000000
SH
DFND
4000000
0
0
GOPRO IN
CLA
38268T103
644000
100000
SH
DFND
100000
0
0
GREEN BR
COM
392709101
2450000
250000
SH
DFND
250000
0
0
GRIFFON
COM
398433102
740000
41595
SH
DFND
41595
0
0
HARLEY D
COM
412822108
110000
100000
SH
Put
DFND
100000
0
0
HEALTHCA
COM
421946104
1309000
45000
SH
DFND
45000
0
0
HEALTHCA
CLANE
42225P501
4068000
150900
SH
DFND
150900
0
0
HERTZ GL
COM
42806J106
245000
84500
SH
Put
DFND
84500
0
0
HIGHWOOD
COM
431284108
3373000
66498
SH
DFND
66498
0
0
HOST HOT
COM
44107P104
520000
400000
SH
Put
DFND
400000
0
0
HUNTINGT
COM
446150104
11808000
800000
SH
DFND
800000
0
0
IMMUNOME
COM
452907108
2367000
100000
SH
DFND
100000
0
0
INTEGRAT
COM
458118106
10102000
316869
SH
DFND
316869
0
0
INTEL CO
COM
458140100
4474000
90000
SH
DFND
90000
0
0
INTERACT
COM
45841N107
12238000
190000
SH
DFND
190000
0
0
INTERNAT
COM
459200101
17812000
127500
SH
DFND
127500
0
0
ISHARES
COM
464287234
14000
30000
SH
Call
DFND
30000
0
0
ISHARES
COM
464287739
44000
125800
SH
Put
DFND
125800
0
0
ISHARES
COM
464288513
1042000
1500000
SH
Put
DFND
1500000
0
0
JUNIPER
COM
48203R104
411000
15000
SH
DFND
15000
0
0
KINDRED
COM
494577109
1065000
100000
SH
DFND
100000
0
0
KURA ONC
COM
50127T109
1204000
66157
SH
DFND
66157
0
0
LADDER C
COM
505743104
6000
35000
SH
Put
DFND
35000
0
0
LEISURE
UNIT9
52539T206
4220000
420365
SH
DFND
420365
0
0
LIBERTY
SHBEN
531172104
5594000
126200
SH
DFND
126200
0
0
LIBERTY
NOTE1
531229AF9
1178000
1000000
PRN
DFND
1000000
0
0
LUMENTUM
COM
55024U109
3764000
65000
SH
DFND
65000
0
0
MACERICH
COM
554382101
1216000
21400
SH
DFND
21400
0
0
MACQUARI
NOTE2
55608BAB1
890000
1000000
PRN
DFND
1000000
0
0
MADRIGAL
COM
558868105
4145000
14821
SH
DFND
14821
0
0
MAGENTA
COM
55910K108
810000
60000
SH
DFND
60000
0
0
MASTERCA
CLA
57636Q104
1965000
10000
SH
DFND
10000
0
0
MATCH GR
COM
57665R106
5952000
153635
SH
DFND
153635
0
0
MATTEL I
COM
577081102
242000
304500
SH
Put
DFND
304500
0
0
MEDICINE
NOTE2
584688AG0
31030000
31000000
PRN
DFND
31000000
0
0
MERCADOL
COM
58733R102
448000
1500
SH
DFND
1500
0
0
MERITAGE
COM
59001A102
1239000
28200
SH
DFND
28200
0
0
MINDBODY
COMCL
60255W105
10654000
276000
SH
DFND
276000
0
0
MORGAN S
COMNE
617446448
4740000
100000
SH
DFND
100000
0
0
MYERS IN
COM
628464109
1536000
80000
SH
DFND
80000
0
0
NVR INC
COM
62944T105
594000
200
SH
DFND
200
0
0
NATIONAL
COM
63633D104
3632000
49300
SH
DFND
49300
0
0
NATIONAL
COM
637417106
3134000
71300
SH
DFND
71300
0
0
NAVISTAR
NOTE4
63934EAS7
15492000
15000000
PRN
DFND
15000000
0
0
NETAPP I
COM
64110D104
7068000
90000
SH
DFND
90000
0
0
NEW ORIE
SPONA
647581107
1893000
19999
SH
DFND
19999
0
0
NIGHTSTA
ADR
65413A101
448000
27978
SH
DFND
27978
0
0
NORTHERN
COM
665859104
6173000
60000
SH
DFND
60000
0
0
NUANCE C
DBCV1
67020YAK6
899000
1000000
SH
DFND
1000000
0
0
NUTANIX
CLA
67059N108
258000
5000
SH
DFND
5000
0
0
OKTA INC
CLA
679295105
1889000
37500
SH
DFND
37500
0
0
PNC FINL
COM
693475105
4323000
32000
SH
DFND
32000
0
0
PS BUSIN
COM
69360J107
3534000
27500
SH
DFND
27500
0
0
PTC INC
COM
69370C100
1407000
15000
SH
DFND
15000
0
0
PANDORA
NOTE1
698354AB3
955000
1000000
PRN
DFND
1000000
0
0
PAPA JOH
COM
698813102
4565000
90000
SH
DFND
90000
0
0
PAYPAL H
COM
70450Y103
2290000
27500
SH
DFND
27500
0
0
POST HLD
COM
737446104
44730000
520000
SH
DFND
520000
0
0
PROTALIX
NOTE7
74365AAD3
7200000
8000000
PRN
DFND
8000000
0
0
QUALCOMM
COM
747525103
25254000
450000
SH
DFND
450000
0
0
RPM INTL
COM
749685103
7920000
135810
SH
DFND
135810
0
0
RTI INTL
NOTE1
74973WAB3
26162000
26000000
PRN
DFND
26000000
0
0
RSP PERM
COM
74978Q105
57903000
1315370
SH
DFND
1315370
0
0
RAMBUS I
NOTE1
750917AE6
18180000
17000000
PRN
DFND
17000000
0
0
REALPAGE
NOTE1
75606NAB5
21287000
15000000
PRN
DFND
15000000
0
0
REGENCY
COM
758849103
4513000
72700
SH
DFND
72700
0
0
RESTAURA
COM
76131D103
46431000
770000
SH
DFND
770000
0
0
RESTORBI
COM
76133L103
276000
30173
SH
DFND
30173
0
0
RIGEL PH
COMNE
766559603
1274000
450000
SH
DFND
450000
0
0
RITE AID
COM
767754104
1730000
1000000
SH
DFND
1000000
0
0
ROCKET P
COM
77313F106
1276000
65000
SH
DFND
65000
0
0
SPDR S&P
COM
78462F103
530000
6500000
SH
Call
DFND
6500000
0
0
SPDR S&P
COM
78462F103
295000
150000
SH
Put
DFND
150000
0
0
SPDR S&P
TRUNI
78462F103
5426000
20000
SH
DFND
20000
0
0
SABRA HE
COM
78573L106
1897000
87300
SH
DFND
87300
0
0
SAILPOIN
COM
78781P105
1227000
50000
SH
DFND
50000
0
0
SALESFOR
COM
79466L302
11052000
81028
SH
DFND
81028
0
0
SANOFI
RIGHT
80105N113
581000
1162096
SH
DFND
1162096
0
0
SEAWORLD
COM
81282V100
3273000
150000
SH
DFND
150000
0
0
SELECT S
SBIHE
81369Y209
25038000
300000
SH
DFND
300000
0
0
SELECT S
COM
81369Y308
38000
100000
SH
Call
DFND
100000
0
0
SELECT S
SBIIN
81369Y605
34567000
1300000
SH
DFND
1300000
0
0
SELECT S
COM
81369Y704
112000
105000
SH
Put
DFND
105000
0
0
SELECT S
SBIIN
81369Y886
12990000
250000
SH
DFND
250000
0
0
SENSEONI
NOTE5
81727UAA3
9217000
6500000
PRN
DFND
6500000
0
0
SERVICEN
COM
81762P102
2317000
13436
SH
DFND
13436
0
0
SIGNATUR
COM
82669G104
4476000
35000
SH
DFND
35000
0
0
SIMPLY G
COM
82900L102
1127000
270000
SH
Call
DFND
270000
0
0
SPIRIT R
COM
84860W102
2810000
350000
SH
DFND
350000
0
0
SQUARE I
CLA
852234103
2380000
38605
SH
DFND
38605
0
0
STARS GR
COM
85570W100
2178000
60000
SH
DFND
60000
0
0
STORE CA
COM
862121100
3620000
132100
SH
DFND
132100
0
0
SUN CMNT
COM
866674104
2535000
25900
SH
DFND
25900
0
0
SYMANTEC
COM
871503108
516000
25000
SH
DFND
25000
0
0
SYNOVUS
COMNE
87161C501
7924000
150000
SH
DFND
150000
0
0
T MOBILE
COM
872590104
2011000
33654
SH
DFND
33654
0
0
TAIWAN S
SPONS
874039100
3688000
100883
SH
DFND
100883
0
0
TAL ED G
SPONS
874080104
491000
13331
SH
DFND
13331
0
0
TANGER F
COM
875465106
1027000
43700
SH
DFND
43700
0
0
TELIGENT
NOTE4
87960WAA2
10150000
10000000
PRN
DFND
10000000
0
0
TERADATA
COM
88076W103
15913000
396349
SH
DFND
396349
0
0
TESARO I
NOTE3
881569AA5
22448000
15000000
PRN
DFND
15000000
0
0
TESLA IN
COM
88160R101
867000
32200
SH
Put
DFND
32200
0
0
TESLA IN
NOTE0
88160RAB7
63316000
57500000
PRN
DFND
57500000
0
0
TESLA IN
NOTE2
88160RAD3
24300000
20000000
PRN
DFND
20000000
0
0
TEVA PHA
SPONS
881624209
535000
22000
SH
DFND
22000
0
0
TOTAL SY
COM
891906109
8452000
100000
SH
DFND
100000
0
0
TRANSDIG
COM
893641100
83000
14300
SH
Put
DFND
14300
0
0
TWENTY F
COM
90130A101
20668000
2087700
SH
Call
DFND
2087700
0
0
TWITTER
COM
90184L102
11380000
260600
SH
DFND
260600
0
0
TWITTER
NOTE0
90184LAB8
970000
1000000
PRN
DFND
1000000
0
0
US XPRES
COMCL
90338N202
9467000
625306
SH
DFND
625306
0
0
ULTA BEA
COM
90384S303
35019000
150000
SH
DFND
150000
0
0
UNIVAR I
COM
91336L107
3936000
150000
SH
DFND
150000
0
0
URBAN ED
COM
91704F104
3979000
174000
SH
DFND
174000
0
0
VERIZON
COM
92343V104
17608000
350000
SH
DFND
350000
0
0
VERICEL
COM
92346J108
913000
94150
SH
DFND
94150
0
0
VISA INC
COMCL
92826C839
2649000
20000
SH
DFND
20000
0
0
WEIGHT W
COM
948626106
114000
64000
SH
Put
DFND
64000
0
0
WORKDAY
CLA
98138H101
4239000
35000
SH
DFND
35000
0
0
WYNDHAM
COM
98311A105
588000
10000
SH
DFND
10000
0
0
YAHOO IN
NOTE1
984332AF3
47872000
35000000
PRN
DFND
35000000
0
0
YELP INC
CLA
985817105
4310000
110000
SH
DFND
110000
0
0
YEXT INC
COM
98585N106
4168000
215498
SH
DFND
215498
0
0
ZILLOW G
CLCCA
98954M200
5770000
97700
SH
DFND
97700
0
0
ZIONS BA
COM
989701107
9221000
175000
SH
DFND
175000
0
0
BRIGHTSP
SHS
G1644T109
1426000
100000
SH
DFND
100000
0
0
CISION L
SHS
G1992S109
3738000
250000
SH
DFND
250000
0
0
ENDO INT
COM
G30401106
1224000
2020500
SH
Put
DFND
2020500
0
0
HERBALIF
COMSH
G4412G101
32232000
600000
SH
DFND
600000
0
0
LIBERTY
SHSCL
G5480U104
18548000
673500
SH
DFND
673500
0
0
ITERUM T
SHS
G6333L101
1089000
100000
SH
DFND
100000
0
0
PAGSEGUR
COMCL
G68707101
4856000
175000
SH
DFND
175000
0
0
TPG PACE
UNIT9
G89827102
8726000
831000
SH
DFND
831000
0
0
TRAVELPO
SHS
G9019D104
8343000
450000
SH
DFND
450000
0
0
VALIDUS
COMSH
G9319H102
144142000
2132282
SH
DFND
2132282
0
0
WILLIS T
SHS
G96629103
75800000
500000
SH
DFND
500000
0
0
YATRA ON
ORDSH
G98338109
1632000
304498
SH
DFND
304498
0
0
TRANSOCE
COM
H8817H100
495000
480500
SH
Put
DFND
480500
0
0
SPOTIFY
SHS
L8681T102
5625000
33437
SH
DFND
33437
0
0
GALMED P
SHS
M47238106
1488000
125000
SH
DFND
125000
0
0
UROGEN P
COM
M96088105
1128000
22659
SH
DFND
22659
0
0
WIX COM
SHS
M98068105
1484000
14800
SH
DFND
14800
0
0
ASML HOL
NYREG
N07059210
4496000
22708
SH
DFND
22708
0
0
INTERXIO
SHS
N47279109
3670000
58801
SH
DFND
58801
0
0
NXP SEMI
COM
N6596X109
18000
715500
SH
Put
DFND
715500
0
0
YANDEX N
SHSCL
N97284108
4846000
135000
SH
DFND
135000
0
0