0001132716-20-000012.txt : 20200813 0001132716-20-000012.hdr.sgml : 20200813 20200813172103 ACCESSION NUMBER: 0001132716-20-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200813 DATE AS OF CHANGE: 20200813 EFFECTIVENESS DATE: 20200813 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: 201100318 BUSINESS ADDRESS: STREET 1: ONE NORTH WACKER DRIVE 31ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3125256000 MAIL ADDRESS: STREET 1: ONE NORTH WACKER DRIVE 31ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001132716 XXXXXXXX 06-30-2020 06-30-2020 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 31ST FLOOR CHICAGO IL 60606

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98138J206 2906000 167114 SH DFND 167114 0 0 WW INTL COM 98262P101 171000 120000 SH Put DFND 120000 0 0 XERIS PH NOTE5 98422LAA5 2000000 2000000 PRN DFND 2000000 0 0 ZENDESK COM 98936J101 3665000 41400 SH DFND 41400 0 0 ZTO EXPR SPONS 98980A105 2006000 54645 SH DFND 54645 0 0 ZOOMINFO COMCL 98980F104 1457000 28550 SH DFND 28550 0 0 ZSCALER COM 98980G102 3394000 31000 SH DFND 31000 0 0 AFYA LTD CLACO G01125106 1701000 72574 SH DFND 72574 0 0 ALUSSA E COM G0232J101 46000 85120 SH Call DFND 85120 0 0 ALUSSA E SHSCL G0232J101 14333000 1455115 SH DFND 1455115 0 0 AXALTA C COM G0750C108 3721000 165000 SH DFND 165000 0 0 BROOGE E COM G1611B107 97000 194303 SH Call DFND 194303 0 0 BUNGE LI COM G16962105 5141000 125000 SH DFND 125000 0 0 CITIC CA COM G21513109 437000 602284 SH Call DFND 602284 0 0 CITIC CA COMCL G21513109 11829000 1204570 SH DFND 1204570 0 0 COLLIER COM G22707106 996000 313720 SH Call DFND 313720 0 0 COLLIER COMCL G22707106 9761000 712500 SH DFND 712500 0 0 EAST STO SHS G2911D108 5620000 570000 SH DFND 570000 0 0 EAST STO RIGHT G2911D132 108000 563825 SH DFND 563825 0 0 EATON CO SHS G29183103 3280000 37500 SH DFND 37500 0 0 ENDO INT COM G30401106 551000 450000 SH Put DFND 450000 0 0 ENDO INT SHS G30401106 206000 60009 SH DFND 60009 0 0 ARYA SCI UNIT0 G31655114 1102000 95000 SH DFND 95000 0 0 GALILEO SHS G3770A102 3766000 380000 SH DFND 380000 0 0 JAWS ACQ UNIT9 G50744120 20808000 1995000 SH DFND 1995000 0 0 JOHNSON SHS G51502105 2262000 66250 SH DFND 66250 0 0 LEO HOLD COMCL G5463L105 9880000 950000 SH DFND 950000 0 0 LIV CAP COM G5510C108 17000 44114 SH Call DFND 44114 0 0 LIV CAP CLA G5510C108 3981000 403750 SH DFND 403750 0 0 MALLINCK COM G5785G107 481000 38600 SH Put DFND 38600 0 0 APTIV PL SHS G6095L109 3701000 47500 SH DFND 47500 0 0 ITERUM T SHS G6333L101 105000 88009 SH DFND 88009 0 0 NETFIN A SHSCL G6455A107 8170000 760000 SH DFND 760000 0 0 NEW FRON ORDSH G6461G106 12032000 1453196 SH DFND 1453196 0 0 NIELSEN COM G6518L108 218000 20800 SH Put DFND 20800 0 0 OAKTREE SHSCL G67145105 8236000 809875 SH DFND 809875 0 0 REPLAY A COM G75130107 12112000 1187500 SH DFND 1187500 0 0 SC HEALT COM G78516203 100000 95000 SH Call DFND 95000 0 0 SC HEALT COMCL G78516203 12486000 1235000 SH DFND 1235000 0 0 SCVX COR COM G79448208 581000 570000 SH Call DFND 570000 0 0 SCVX COR COM G79448208 11354000 1140000 SH DFND 1140000 0 0 SILVER S COM G8136L106 177000 358382 SH Call DFND 358382 0 0 SILVER S CLASH G8136L106 19775000 1951860 SH DFND 1951860 0 0 SOCIAL C COM G8251K107 2826000 950000 SH Call DFND 950000 0 0 SOCIAL C COMCL G8251K107 31863000 2850000 SH DFND 2850000 0 0 SUSTAINA COM G8598Y109 797000 855000 SH Call DFND 855000 0 0 SUSTAINA ORDSH G8598Y109 16587000 1710000 SH DFND 1710000 0 0 THUNDER COM G8857S116 35000 23750 SH Call DFND 23750 0 0 THUNDER CLASH G8857S116 19028000 1883915 SH DFND 1883915 0 0 TRANE TE SHS G8994E103 2892000 32500 SH DFND 32500 0 0 UNION AC COM G9402Q100 133000 336395 SH Call DFND 336395 0 0 UNION AC SHS G9402Q100 7600000 760000 SH DFND 760000 0 0 ALCON AG ORDSH H01301128 14617000 255000 SH DFND 255000 0 0 TRANSOCE COM H8817H100 2952000 1005000 SH Put DFND 1005000 0 0 TRANSOCE REGSH H8817H100 229000 125000 SH DFND 125000 0 0