0001132716-19-000001.txt : 20190215
0001132716-19-000001.hdr.sgml : 20190215
20190214204802
ACCESSION NUMBER: 0001132716-19-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190215
DATE AS OF CHANGE: 20190214
EFFECTIVENESS DATE: 20190215
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: 19609531
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
12-31-2018
12-31-2018
UBS OCONNOR LLC
ONE NORTH WACKER DRIVE 32ND FLOOR
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-06327
N
Sal DiGangi
CCO
2128216206
Sal DiGangi
New York
NY
02-14-2019
0
206
1584655
true
INFORMATION TABLE
2
ubsocq418infotable.xml
ADT INC
COM
00090Q103
541000
90000
SH
DFND
90000
0
0
AT&T INC
COM
00206R102
4674000
163774
SH
DFND
163774
0
0
ACORDA T
NOTE1
00484MAA4
8365000
10000000
PRN
DFND
10000000
0
0
ADESTO T
COM
00687D101
127000
28783
SH
DFND
28783
0
0
AEGERION
NOTE2
00767EAB8
17305000
22000000
PRN
DFND
22000000
0
0
AGREE RE
COM
008492100
1336000
22600
SH
DFND
22600
0
0
AIR PROD
COM
009158106
51216000
320000
SH
DFND
320000
0
0
AKOUSTIS
COM
00973N102
1138000
229000
SH
DFND
229000
0
0
ALIBABA
SPONS
01609W102
6854000
50000
SH
DFND
50000
0
0
ALLSCRIP
NOTE1
01988PAD0
23147000
24000000
PRN
DFND
24000000
0
0
ALPHABET
CAPST
02079K305
1567000
1500
SH
DFND
1500
0
0
AMAZON C
COM
023135106
17032000
11340
SH
DFND
11340
0
0
AMERICAN
CLA
02665T306
2747000
138400
SH
DFND
138400
0
0
AMERICOL
COM
03064D108
3645000
142736
SH
DFND
142736
0
0
APPLIED
COM
038222105
7453000
227650
SH
DFND
227650
0
0
AQUA MET
COM
03837J101
1006000
552916
SH
DFND
552916
0
0
ARDELYX
COM
039697107
462000
258105
SH
DFND
258105
0
0
AUTOHOME
SPADR
05278C107
508000
6500
SH
DFND
6500
0
0
AUTOMATI
COM
053015103
22290000
170000
SH
DFND
170000
0
0
BAIDU IN
SPONA
056752108
3172000
20000
SH
DFND
20000
0
0
BEASLEY
CLA
074014101
527000
140638
SH
DFND
140638
0
0
BECTON D
COM
075887109
11266000
50000
SH
DFND
50000
0
0
BLACKBER
COM
09228F103
711000
100000
SH
DFND
100000
0
0
BOOKING
COM
09857L108
14641000
8500
SH
DFND
8500
0
0
BRANDYWI
SHBEN
105368203
1725000
134000
SH
DFND
134000
0
0
BRINKS C
COM
109696104
20688000
320000
SH
DFND
320000
0
0
CDK GLOB
COM
12508E101
16758000
350000
SH
DFND
350000
0
0
CIGNA CO
COM
125523100
87363000
460000
SH
DFND
460000
0
0
CALIFORN
COM
13057Q206
1235000
117000
SH
Put
DFND
117000
0
0
CAMDEN P
SHBEN
133131102
3408000
38700
SH
DFND
38700
0
0
CANADA G
SHSSU
135086106
18144000
415000
SH
DFND
415000
0
0
CARDLYTI
COM
14161W105
1624000
150000
SH
DFND
150000
0
0
CARETRUS
COM
14174T107
5972000
323500
SH
DFND
323500
0
0
CERIDIAN
COM
15677J108
1400000
40598
SH
DFND
40598
0
0
CHARAH S
COM
15957P105
2840000
340083
SH
DFND
340083
0
0
CHESAPEA
NOTE5
165167CY1
807000
1000000
PRN
DFND
1000000
0
0
CLEMENTI
COM
185575107
463000
39339
SH
DFND
39339
0
0
CLOUDERA
COM
18914U100
2378000
215000
SH
DFND
215000
0
0
CLOVIS O
NOTE1
189464AC4
3526000
5000000
PRN
DFND
5000000
0
0
COGNIZAN
CLA
192446102
22218000
350000
SH
DFND
350000
0
0
COUSINS
COM
222795106
4479000
567000
SH
DFND
567000
0
0
CROWN CA
COM
22822V101
2455000
22600
SH
DFND
22600
0
0
CTRIP CO
AMERI
22943F100
6175000
228199
SH
DFND
228199
0
0
CUBESMAR
COM
229663109
574000
20000
SH
DFND
20000
0
0
D R HORT
COM
23331A109
2076000
59900
SH
DFND
59900
0
0
DSW INC
COM
23334L102
120000
400000
SH
Put
DFND
400000
0
0
DSW INC
CLA
23334L102
16055000
650000
SH
DFND
650000
0
0
DERMIRA
NOTE3
24983LAB0
25145000
33000000
PRN
DFND
33000000
0
0
ASSERTIO
NOTE2
249908AA2
32300000
47500000
PRN
DFND
47500000
0
0
DISNEY W
COMDI
254687106
55690000
507889
SH
DFND
507889
0
0
DISH NET
COM
25470M109
4000
86000
SH
Call
DFND
86000
0
0
DISH NET
CLA
25470M109
2497000
100000
SH
DFND
100000
0
0
DISH NET
NOTE3
25470MAB5
4088000
5000000
PRN
DFND
5000000
0
0
DISH NET
NOTE2
25470MAD1
800000
1000000
PRN
DFND
1000000
0
0
DOCUSIGN
COM
256163106
2180000
54403
SH
DFND
54403
0
0
DOMO INC
COMCL
257554105
1674000
85291
SH
DFND
85291
0
0
DOUGLAS
COM
25960P109
3502000
102600
SH
DFND
102600
0
0
DROPBOX
CLA
26210C104
2043000
100000
SH
DFND
100000
0
0
DUKE REA
COMNE
264411505
4097000
158200
SH
DFND
158200
0
0
EASTGROU
COM
277276101
1238000
13500
SH
DFND
13500
0
0
ELECTRAM
COM
284849205
114000
350000
SH
Call
DFND
350000
0
0
ELECTRAM
COMNE
284849205
251000
232803
SH
DFND
232803
0
0
ELECTRON
COM
285512109
6172000
78215
SH
DFND
78215
0
0
ENSCO JE
NOTE3
29359WAB1
664000
1000000
PRN
DFND
1000000
0
0
EQUIFAX
COM
294429105
28870000
310000
SH
DFND
310000
0
0
EQUINIX
COMPA
29444U700
564000
1600
SH
DFND
1600
0
0
EQUITY L
COM
29472R108
4186000
43100
SH
DFND
43100
0
0
ESSENTIA
COM
29670E107
4318000
312000
SH
DFND
312000
0
0
EVERSPIN
COM
30041T104
843000
150310
SH
DFND
150310
0
0
EXTRA SP
COM
30225T102
4352000
48100
SH
DFND
48100
0
0
FACEBOOK
CLA
30303M102
62399000
476000
SH
DFND
476000
0
0
FEDERAL
SHBEN
313747206
496000
4200
SH
DFND
4200
0
0
58 COM I
SPONA
31680Q104
573000
10562
SH
DFND
10562
0
0
FINISAR
NOTE0
31787AAP6
952000
1000000
PRN
DFND
1000000
0
0
FIRST IN
COM
32054K103
5013000
173700
SH
DFND
173700
0
0
FLEXSHOP
COM
33939J303
44000
200000
SH
Call
DFND
200000
0
0
FLEXSHOP
COMNE
33939J303
92000
120612
SH
DFND
120612
0
0
FORD MTR
COM
345370860
14000
100000
SH
Call
DFND
100000
0
0
FOUR COR
COM
35086T109
3204000
122300
SH
DFND
122300
0
0
FRONTIER
COM
35906A306
891000
469000
SH
Put
DFND
469000
0
0
GAMING &
COM
36467J108
7150000
221300
SH
DFND
221300
0
0
GARDNER
COM
36555P107
2203000
107746
SH
DFND
107746
0
0
GENERAL
COM
369604103
220000
2000000
SH
Put
DFND
2000000
0
0
GODADDY
CLA
380237107
3377000
51465
SH
DFND
51465
0
0
GOODRICH
DEBT1
382410AR9
4200000
4000000
SH
DFND
4000000
0
0
GOPRO IN
CLA
38268T103
4222000
995872
SH
DFND
995872
0
0
GRAFTECH
COM
384313508
5481000
479070
SH
DFND
479070
0
0
GREENSKY
CLA
39572G100
24790000
2590400
SH
DFND
2590400
0
0
H & E EQ
COM
404030108
2042000
100000
SH
DFND
100000
0
0
HALLIBUR
COM
406216101
6094000
229253
SH
DFND
229253
0
0
HARLEY D
COM
412822108
299000
50000
SH
Put
DFND
50000
0
0
HEALTHCA
CLANE
42225P501
886000
35000
SH
DFND
35000
0
0
HERTZ GL
COM
42806J106
420000
134500
SH
Put
DFND
134500
0
0
HIGHWOOD
COM
431284108
4759000
123000
SH
DFND
123000
0
0
HORNBECK
COM
440543106
1410000
500000
SH
Put
DFND
500000
0
0
IAC INTE
COM
44919P508
8717000
47625
SH
DFND
47625
0
0
ISHARES
COM
464288513
1469000
1800000
SH
Put
DFND
1800000
0
0
KNOWLES
COM
49926D109
133000
10000
SH
DFND
10000
0
0
LTC PPTY
COM
502175102
2284000
54800
SH
DFND
54800
0
0
LAMAR AD
CLA
512816109
1930000
27900
SH
DFND
27900
0
0
LEISURE
UNIT9
52539T206
4288000
420365
SH
DFND
420365
0
0
LUMENTUM
COM
55024U109
1470000
35000
SH
DFND
35000
0
0
MGM GROW
CLACO
55303A105
1941000
73500
SH
DFND
73500
0
0
MACQUARI
NOTE2
55608BAB1
868000
1000000
PRN
DFND
1000000
0
0
MATCH GR
COM
57665R106
1787000
41772
SH
DFND
41772
0
0
MATTEL I
COM
577081102
7000
25000
SH
Call
DFND
25000
0
0
MATTEL I
COM
577081102
2256000
917000
SH
Put
DFND
917000
0
0
MEDICINE
NOTE2
584688AG0
25397000
33500000
PRN
DFND
33500000
0
0
MICROSOF
COM
594918104
12101000
119143
SH
DFND
119143
0
0
MICRON T
COM
595112103
1560000
49172
SH
DFND
49172
0
0
NVR INC
COM
62944T105
4557000
1870
SH
DFND
1870
0
0
NABORS I
NOTE0
62957HAB1
10625000
17000000
PRN
DFND
17000000
0
0
NATIONAL
COM
63633D104
5341000
70700
SH
DFND
70700
0
0
NATIONAL
COM
637417106
1785000
36800
SH
DFND
36800
0
0
NETFLIX
COM
64110L106
589000
10000
SH
Put
DFND
10000
0
0
NETFLIX
COM
64110L106
2877000
10750
SH
DFND
10750
0
0
NETEASE
SPONS
64110W102
4875000
20710
SH
DFND
20710
0
0
NEW RELI
COM
64829B100
14777000
182500
SH
DFND
182500
0
0
NEXPOINT
COM
65341D102
433000
12351
SH
DFND
12351
0
0
NUANCE C
DBCV1
67020YAK6
871000
1000000
SH
DFND
1000000
0
0
OCCIDENT
COM
674599105
4604000
75000
SH
DFND
75000
0
0
OPIANT P
COM
683750103
352000
24373
SH
DFND
24373
0
0
PGT INNO
COM
69336V101
2352000
148416
SH
DFND
148416
0
0
PS BUSIN
COM
69360J107
4415000
33700
SH
DFND
33700
0
0
PALO ALT
COM
697435105
8476000
45000
SH
DFND
45000
0
0
PANDORA
NOTE1
698354AB3
949000
1000000
PRN
DFND
1000000
0
0
PHYSICIA
COM
71943U104
3382000
211000
SH
DFND
211000
0
0
POST HLD
COM
737446104
36543000
410000
SH
DFND
410000
0
0
PROLOGIS
COM
74340W103
1735000
29553
SH
DFND
29553
0
0
PROTALIX
NOTE7
74365AAD3
7360000
8000000
PRN
DFND
8000000
0
0
PROTEOST
COM
74373B109
262000
80903
SH
DFND
80903
0
0
PUBLIC S
COM
74460D109
3461000
17100
SH
DFND
17100
0
0
PURE STO
CLA
74624M102
3216000
200000
SH
DFND
200000
0
0
QUALCOMM
COM
747525103
31300000
550000
SH
DFND
550000
0
0
RPM INTL
COM
749685103
32329000
550000
SH
DFND
550000
0
0
RTI INTL
NOTE1
74973WAB3
26000000
26000000
PRN
DFND
26000000
0
0
REALTY I
COM
756109104
630000
10000
SH
DFND
10000
0
0
REATA PH
CLA
75615P103
964000
17178
SH
DFND
17178
0
0
REGENCY
COM
758849103
3163000
53900
SH
DFND
53900
0
0
REPLIMUN
COM
76029N106
685000
68531
SH
DFND
68531
0
0
RESTAURA
COM
76131D103
42363000
810000
SH
DFND
810000
0
0
RETAIL P
CLA
76131V202
1769000
163000
SH
DFND
163000
0
0
REXFORD
COM
76169C100
2063000
70000
SH
DFND
70000
0
0
SBA COMM
CLA
78410G104
2331000
14400
SH
DFND
14400
0
0
SPDR S&P
COM
78462F103
2075000
1200000
SH
Call
DFND
1200000
0
0
SPDR S&P
TRUNI
78462F103
2499000
10000
SH
DFND
10000
0
0
SPDR GOL
COM
78463V107
254000
110000
SH
Call
DFND
110000
0
0
SPDR SER
COM
78464A417
575000
1000000
SH
Put
DFND
1000000
0
0
SPDR SER
COM
78464A755
322000
250000
SH
Put
DFND
250000
0
0
SAILPOIN
COM
78781P105
3054000
130000
SH
DFND
130000
0
0
SALESFOR
COM
79466L302
12327000
90000
SH
DFND
90000
0
0
SEAWORLD
COM
81282V100
12150000
550000
SH
DFND
550000
0
0
SELECT S
SBIHE
81369Y209
19897000
230000
SH
DFND
230000
0
0
SELECT S
SBIIN
81369Y605
19056000
800000
SH
DFND
800000
0
0
SENSEONI
NOTE5
81727UAA3
10306000
9500000
PRN
DFND
9500000
0
0
SERVICEN
COM
81762P102
3263000
18326
SH
DFND
18326
0
0
SKYWORKS
COM
83088M102
7707000
115000
SH
DFND
115000
0
0
SOLARWIN
COM
83417Q105
2412000
174412
SH
DFND
174412
0
0
SPERO TH
COM
84833T103
1033000
168018
SH
DFND
168018
0
0
SPIRIT M
COMSH
84861U105
870000
122000
SH
DFND
122000
0
0
SQUARE I
CLA
852234103
2472000
44064
SH
DFND
44064
0
0
STORE CA
COM
862121100
2426000
85693
SH
DFND
85693
0
0
SUN CMNT
COM
866674104
5116000
50300
SH
DFND
50300
0
0
T MOBILE
COM
872590104
1907000
29981
SH
DFND
29981
0
0
TAKE-TWO
COM
874054109
3259000
31655
SH
DFND
31655
0
0
TELIGENT
NOTE4
87960WAA2
6695000
9000000
PRN
DFND
9000000
0
0
TERADATA
COM
88076W103
8823000
230000
SH
DFND
230000
0
0
TESARO I
NOTE3
881569AA5
54411000
25000000
PRN
DFND
25000000
0
0
TESLA IN
COM
88160R101
1211000
72600
SH
Put
DFND
72600
0
0
TESLA IN
COM
88160R101
4992000
15000
SH
DFND
15000
0
0
TESLA IN
NOTE0
88160RAB7
107274000
103000000
PRN
DFND
103000000
0
0
TRANSDIG
COM
893641100
97000
19300
SH
Put
DFND
19300
0
0
UNITED R
COM
911363109
2051000
20000
SH
DFND
20000
0
0
UNITED S
COM
91232N108
605000
2000000
SH
Put
DFND
2000000
0
0
UNIVAR I
COM
91336L107
5322000
300000
SH
DFND
300000
0
0
URBAN ED
COM
91704F104
1728000
104000
SH
DFND
104000
0
0
VANECK V
SEMIC
92189F676
17456000
200000
SH
DFND
200000
0
0
VERIZON
COM
92343V104
16962000
301700
SH
DFND
301700
0
0
VERU INC
COM
92536C103
545000
389606
SH
DFND
389606
0
0
VICI PPT
COM
925652109
4733000
252000
SH
DFND
252000
0
0
VIKING T
COM
92686J106
787000
102842
SH
DFND
102842
0
0
WAYFAIR
CLA
94419L101
11485000
127500
SH
DFND
127500
0
0
WEIGHT W
COM
948626106
1753000
82500
SH
Put
DFND
82500
0
0
WEINGART
SHBEN
948741103
4223000
170221
SH
DFND
170221
0
0
WEX INC
COM
96208T104
18208000
130000
SH
DFND
130000
0
0
YEXT INC
COM
98585N106
371000
25000
SH
DFND
25000
0
0
ZYNERBA
COM
98986X109
189000
63614
SH
DFND
63614
0
0
ARCO PLA
COMCL
G04553106
999000
45181
SH
DFND
45181
0
0
ENDO INT
COM
G30401106
3265000
2575500
SH
Put
DFND
2575500
0
0
HERBALIF
COMSH
G4412G101
29475000
500000
SH
DFND
500000
0
0
WEATHERF
ORDSH
G48833100
140000
250000
SH
DFND
250000
0
0
ITERUM T
SHS
G6333L101
496000
99012
SH
DFND
99012
0
0
PAGSEGUR
COMCL
G68707101
2140000
114268
SH
DFND
114268
0
0
STONECO
COMCL
G85158106
2632000
142715
SH
DFND
142715
0
0
TPG PACE
UNIT9
G89827102
8659000
831000
SH
DFND
831000
0
0
VENATOR
SHS
G9329Z100
1257000
300000
SH
DFND
300000
0
0
WILLIS T
SHS
G96629103
56188000
370000
SH
DFND
370000
0
0
CRISPR T
NAMEN
H17182108
638000
22319
SH
DFND
22319
0
0
TRANSOCE
COM
H8817H100
2218000
670500
SH
Put
DFND
670500
0
0
FOAMIX P
SHS
M46135105
274000
76454
SH
DFND
76454
0
0
GALMED P
SHS
M47238106
726000
106300
SH
DFND
106300
0
0
UROGEN P
COM
M96088105
700000
16250
SH
DFND
16250
0
0
ASML HOL
NYREG
N07059210
1204000
7736
SH
DFND
7736
0
0
CORE LAB
COM
N22717107
2983000
50000
SH
DFND
50000
0
0
INTERXIO
SHS
N47279109
1137000
21000
SH
DFND
21000
0
0
TRONOX L
SHSCL
Q9235V101
1945000
250000
SH
DFND
250000
0
0