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