Authorized Signatory

0001140361-16-076732.txt : 20160815 0001140361-16-076732.hdr.sgml : 20160815 20160815164918 ACCESSION NUMBER: 0001140361-16-076732 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160815 DATE AS OF CHANGE: 20160815 EFFECTIVENESS DATE: 20160815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lombard Odier Asset Management (USA) Corp CENTRAL INDEX KEY: 0001491719 IRS NUMBER: 061603711 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13939 FILM NUMBER: 161833499 BUSINESS ADDRESS: STREET 1: 452 FIFTH AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-295-6200 MAIL ADDRESS: STREET 1: 452 FIFTH AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001491719 XXXXXXXX 06-30-2016 06-30-2016 Lombard Odier Asset Management (USA) Corp

452 FIFTH AVENUE, 25TH FLOOR NEW YORK NY 10018

13F HOLDINGS REPORT 028-13939 N Laura Keeler Authorized Signatory 212-295-6145 /s/ Laura Keeler New York NY 08-15-2016 1 209 825641 false 1 0001615423 028-16235 Compagnie Lombard Odier SCmA INFORMATION TABLE 2 form13fInfoTable.xml AGL RES INC COM 001204106 1649 25000 SH Put DFND Compagnie Lombard Odier SCmA 25000 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 2435 75000 SH DFND Compagnie Lombard Odier SCmA 75000 0 0 AIR PRODS & CHEMS INC COM 009158106 2254 15871 SH DFND Compagnie Lombard Odier SCmA 15871 0 0 AMAZON COM INC COM 023135106 16933 23662 SH DFND Compagnie Lombard Odier SCmA 23662 0 0 APPLE INC COM 037833100 5734 59976 SH DFND Compagnie Lombard Odier SCmA 59976 0 0 BAIDU INC SPON ADR REP A 056752108 2147 13000 SH DFND Compagnie Lombard Odier SCmA 13000 0 0 BAKER HUGHES INC COM 057224107 2015 44646 SH DFND Compagnie Lombard Odier SCmA 44646 0 0 B/E AEROSPACE INC COM 073302101 543 11770 SH DFND Compagnie Lombard Odier SCmA 11770 0 0 BEACON ROOFING SUPPLY INC COM 073685109 455 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0 0 MARATHON OIL CORP COM 565849106 3172 211329 SH DFND Compagnie Lombard Odier SCmA 211329 0 0 MARTIN MARIETTA MATLS INC COM 573284106 1800 9377 SH DFND Compagnie Lombard Odier SCmA 9377 0 0 MASCO CORP COM 574599106 1475 47670 SH DFND Compagnie Lombard Odier SCmA 47670 0 0 MOHAWK INDS INC COM 608190104 1765 9303 SH DFND Compagnie Lombard Odier SCmA 9303 0 0 MORGAN STANLEY COM NEW 617446448 2096 80663 SH DFND Compagnie Lombard Odier SCmA 80663 0 0 MUELLER WTR PRODS INC COM SER A 624758108 1651 144591 SH DFND Compagnie Lombard Odier SCmA 144591 0 0 NOBLE ENERGY INC COM 655044105 16303 454498 SH DFND Compagnie Lombard Odier SCmA 454498 0 0 NORTHROP GRUMMAN CORP COM 666807102 1317 5927 SH DFND Compagnie Lombard Odier SCmA 5927 0 0 PACCAR INC COM 693718108 964 18586 SH DFND Compagnie Lombard Odier SCmA 18586 0 0 PANDORA MEDIA INC COM 698354107 1617 129864 SH DFND Compagnie Lombard Odier SCmA 129864 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 2782 200000 SH DFND Compagnie Lombard Odier SCmA 200000 0 0 PARSLEY ENERGY INC CL A 701877102 5359 198039 SH DFND Compagnie Lombard Odier SCmA 198039 0 0 PIERIS PHARMACEUTICALS INC COM 720795103 5099 3166915 SH DFND Compagnie Lombard Odier SCmA 3166915 0 0 PIONEER NAT RES CO COM 723787107 16318 107919 SH DFND Compagnie Lombard Odier SCmA 107919 0 0 PRICELINE GRP INC COM NEW 741503403 874 700 SH DFND Compagnie Lombard Odier SCmA 700 0 0 PRIVATEBANCORP INC COM 742962103 6605 150000 SH DFND Compagnie Lombard Odier SCmA 150000 0 0 QLOGIC CORP COM 747277101 147 10000 SH DFND Compagnie Lombard Odier SCmA 10000 0 0 QUESTAR CORP COM 748356102 695 27400 SH Put DFND Compagnie Lombard Odier SCmA 27400 0 0 RPC INC COM 749660106 2295 147751 SH DFND Compagnie Lombard Odier SCmA 147751 0 0 RETROPHIN INC COM 761299106 1781 100000 SH Call DFND Compagnie Lombard Odier SCmA 100000 0 0 RETROPHIN INC COM 761299106 19281 1082572 SH DFND Compagnie Lombard Odier SCmA 1082572 0 0 REVANCE THERAPEUTICS INC COM 761330109 306 22515 SH DFND Compagnie Lombard Odier SCmA 22515 0 0 RICE ENERGY INC COM 762760106 4604 208876 SH DFND Compagnie Lombard Odier SCmA 208876 0 0 RITE AID CORP COM 767754104 749 100000 SH Put DFND Compagnie Lombard Odier SCmA 100000 0 0 RITE AID CORP COM 767754104 749 100000 SH DFND Compagnie Lombard Odier SCmA 100000 0 0 ROCKWELL AUTOMATION INC COM 773903109 1407 12253 SH DFND Compagnie Lombard Odier SCmA 12253 0 0 ST JUDE MED INC COM 790849103 4914 63000 SH Put DFND Compagnie Lombard Odier SCmA 63000 0 0 ST JUDE MED INC COM 790849103 4875 62500 SH DFND Compagnie Lombard Odier SCmA 62500 0 0 SCHLUMBERGER LTD COM 806857108 8496 107438 SH DFND Compagnie Lombard Odier SCmA 107438 0 0 SERVICE CORP INTL COM 817565104 11370 420506 SH DFND Compagnie Lombard Odier SCmA 420506 0 0 SMITH A O COM 831865209 895 10161 SH DFND Compagnie Lombard Odier SCmA 10161 0 0 SOUTHWESTERN ENERGY CO COM 845467109 1371 109000 SH Put DFND Compagnie Lombard Odier SCmA 109000 0 0 STARBUCKS CORP COM 855244109 9213 161300 SH Call DFND Compagnie Lombard Odier SCmA 161300 0 0 STARBUCKS CORP COM 855244109 16314 285607 SH DFND Compagnie Lombard Odier SCmA 285607 0 0 STEEL DYNAMICS INC COM 858119100 3594 146675 SH DFND Compagnie Lombard Odier SCmA 146675 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 4943 268481 SH DFND Compagnie Lombard Odier SCmA 268481 0 0 TENNECO INC COM 880349105 979 21002 SH DFND Compagnie Lombard Odier SCmA 21002 0 0 TERNIUM SA SPON ADR 880890108 330 17303 SH DFND Compagnie Lombard Odier SCmA 17303 0 0 TRIPADVISOR INC COM 896945201 2186 34000 SH DFND Compagnie Lombard Odier SCmA 34000 0 0 UNION PAC CORP COM 907818108 4103 47022 SH DFND Compagnie Lombard Odier SCmA 47022 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2372 22024 SH DFND Compagnie Lombard Odier SCmA 22024 0 0 UNITED TECHNOLOGIES CORP COM 913017109 2884 28126 SH DFND Compagnie Lombard Odier SCmA 28126 0 0 VALSPAR CORP COM 920355104 151 1400 SH Put DFND Compagnie Lombard Odier SCmA 1400 0 0 VALSPAR CORP COM 920355104 4861 45000 SH DFND Compagnie Lombard Odier SCmA 45000 0 0 VULCAN MATLS CO COM 929160109 1921 15963 SH DFND Compagnie Lombard Odier SCmA 15963 0 0 WESTERN DIGITAL CORP COM 958102105 1182 25000 SH DFND Compagnie Lombard Odier SCmA 25000 0 0 YAHOO INC COM 984332106 1878 50000 SH DFND Compagnie Lombard Odier SCmA 50000 0 0 ZEBRA TECHNOLOGIES CORP CL A 989207105 2375 47405 SH DFND Compagnie Lombard Odier SCmA 47405 0 0 U S SILICA HLDGS INC COM 90346E103 3772 109425 SH DFND Compagnie Lombard Odier SCmA 109425 0 0 BHP BILLITON PLC SPONSORED ADR 05545E209 3392 133655 SH DFND Compagnie Lombard Odier SCmA 133655 0 0 ACUITY BRANDS INC COM 00508Y102 248 1000 SH DFND Compagnie Lombard Odier SCmA 1000 0 0 ADOBE SYS INC COM 00724F101 10303 107554 SH DFND Compagnie Lombard Odier SCmA 107554 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 11299 69908 SH DFND Compagnie Lombard Odier SCmA 69908 0 0 ADVANTAGE OIL & GAS LTD COM 00765F101 612 109572 SH DFND Compagnie Lombard Odier SCmA 109572 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 3213 57443 SH DFND Compagnie Lombard Odier SCmA 57443 0 0 ALERE INC COM 01449J105 1042 25000 SH Put DFND Compagnie Lombard Odier SCmA 25000 0 0 ALERE INC COM 01449J105 208 5000 SH DFND Compagnie Lombard Odier SCmA 5000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 283 102294 SH DFND Compagnie Lombard Odier SCmA 102294 0 0 AXIALL CORP COM 05463D100 1706 52300 SH Put DFND Compagnie Lombard Odier SCmA 52300 0 0 AXIALL CORP COM 05463D100 2609 80000 SH DFND Compagnie Lombard Odier SCmA 80000 0 0 AXSOME THERAPEUTICS INC COM 05464T104 2577 341790 SH DFND Compagnie Lombard Odier SCmA 341790 0 0 CALLON PETE CO DEL COM 13123X102 3465 308544 SH DFND Compagnie Lombard Odier SCmA 308544 0 0 CANADIAN PAC RY LTD COM 13645T100 644 5000 SH DFND Compagnie Lombard Odier SCmA 5000 0 0 COMMSCOPE HLDG CO INC COM 20337X109 5378 173310 SH DFND Compagnie Lombard Odier SCmA 173310 0 0 COMSCORE INC COM 20564W105 2448 102494 SH DFND Compagnie Lombard Odier SCmA 102494 0 0 CONCHO RES INC COM 20605P101 16237 136140 SH DFND Compagnie Lombard Odier SCmA 136140 0 0 CONSTELLATION BRANDS INC CL A 21036P108 10673 64530 SH DFND Compagnie Lombard Odier SCmA 64530 0 0 COTIVITI HLDGS INC COM 22164K101 1690 80000 SH DFND Compagnie Lombard Odier SCmA 80000 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 11078 268882 SH DFND Compagnie Lombard Odier SCmA 268882 0 0 CYMABAY THERAPEUTICS INC COM 23257D103 1137 653216 SH DFND Compagnie Lombard Odier SCmA 653216 0 0 DEMANDWARE INC COM 24802Y105 749 10000 SH DFND Compagnie Lombard Odier SCmA 10000 0 0 DERMIRA INC COM 24983L104 7865 268878 SH DFND Compagnie Lombard Odier SCmA 268878 0 0 DIPEXIUM PHARMACEUTICALS INC COM 25456J104 1507 152065 SH DFND Compagnie Lombard Odier SCmA 152065 0 0 DOMINOS PIZZA INC COM 25754A201 17758 135164 SH DFND Compagnie Lombard Odier SCmA 135164 0 0 DREAMWORKS ANIMATION SKG INC CL A 26153C103 8174 200000 SH Put DFND Compagnie Lombard Odier SCmA 200000 0 0 DREAMWORKS ANIMATION SKG INC CL A 26153C103 6131 150000 SH DFND Compagnie Lombard Odier SCmA 150000 0 0 EHI CAR SVCS LTD SPON ADS CL A 26853A100 790 78125 SH DFND Compagnie Lombard Odier SCmA 78125 0 0 EAGLE MATERIALS INC COM 26969P108 2925 37913 SH DFND Compagnie Lombard Odier SCmA 37913 0 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 2847 143638 SH DFND Compagnie Lombard Odier SCmA 143638 0 0 EXTERRAN CORP COM 30227H106 1113 86590 SH DFND Compagnie Lombard Odier SCmA 86590 0 0 FEI CO COM 30241L109 3741 35000 SH DFND Compagnie Lombard Odier SCmA 35000 0 0 FATE THERAPEUTICS INC COM 31189P102 436 256426 SH DFND Compagnie Lombard Odier SCmA 256426 0 0 GOGO INC COM 38046C109 2815 335552 SH DFND Compagnie Lombard Odier SCmA 335552 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1997 13443 SH DFND Compagnie Lombard Odier SCmA 13443 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 8188 948803 SH DFND Compagnie Lombard Odier SCmA 948803 0 0 HENNESSY CAP ACQUISITION COR COM 42588J100 9627 990458 SH DFND Compagnie Lombard Odier SCmA 990458 0 0 HENNESSY CAP ACQUISITION COR *W EXP 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Lombard Odier SCmA 80000 0 0 LIPOCINE INC NEW COM 53630X104 293 96300 SH Call DFND Compagnie Lombard Odier SCmA 96300 0 0 MARKETO INC COM 57063L107 696 20000 SH DFND Compagnie Lombard Odier SCmA 20000 0 0 MAXLINEAR INC CL A 57776J100 2174 120931 SH DFND Compagnie Lombard Odier SCmA 120931 0 0 MEDIVATION INC COM 58501N101 1809 30000 SH Put DFND Compagnie Lombard Odier SCmA 30000 0 0 MEDIVATION INC COM 58501N101 1206 20000 SH DFND Compagnie Lombard Odier SCmA 20000 0 0 MONSANTO CO NEW COM 61166W101 414 4000 SH DFND Compagnie Lombard Odier SCmA 4000 0 0 NETFLIX INC COM 64110L106 14758 161327 SH DFND Compagnie Lombard Odier SCmA 161327 0 0 NETSCOUT SYS INC COM 64115T104 2120 95288 SH DFND Compagnie Lombard Odier SCmA 95288 0 0 NQ MOBILE INC ADR REPSTG CL A 64118U108 2262 611285 SH DFND Compagnie Lombard Odier SCmA 611285 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 1398 30755 SH DFND Compagnie Lombard Odier SCmA 30755 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 587 851370 SH DFND Compagnie Lombard Odier SCmA 851370 0 0 PDC ENERGY INC COM 69327R101 4681 81256 SH DFND Compagnie Lombard Odier SCmA 81256 0 0 PTC INC COM 69370C100 1033 27494 SH DFND Compagnie Lombard Odier SCmA 27494 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 984 139900 SH Call DFND Compagnie Lombard Odier SCmA 139900 0 0 PROS HOLDINGS INC COM 74346Y103 1468 84197 SH DFND Compagnie Lombard Odier SCmA 84197 0 0 PSIVIDA CORP COM 74440J101 1742 615596 SH DFND Compagnie Lombard Odier SCmA 615596 0 0 QEP RES INC COM 74733V100 3196 181298 SH DFND Compagnie Lombard Odier SCmA 181298 0 0 RSP PERMIAN INC COM 74978Q105 5285 151462 SH DFND Compagnie Lombard Odier SCmA 151462 0 0 REXNORD CORP NEW COM 76169B102 317 16132 SH DFND Compagnie Lombard Odier SCmA 16132 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 18971 150000 SH Call DFND Compagnie Lombard Odier SCmA 150000 0 0 SALESFORCE COM INC COM 79466L302 8541 107551 SH DFND Compagnie Lombard Odier SCmA 107551 0 0 SITEONE LANDSCAPE SUPPLY INC COM 82982L103 340 10000 SH DFND Compagnie Lombard Odier SCmA 10000 0 0 SWIFT TRANSN CO CL A 87074U101 366 23777 SH DFND Compagnie Lombard Odier SCmA 23777 0 0 SYNAPTICS INC COM 87157D109 4558 84797 SH DFND Compagnie Lombard Odier SCmA 84797 0 0 SYNGENTA AG SPONSORED ADR 87160A100 6381 83100 SH Put DFND Compagnie Lombard Odier SCmA 83100 0 0 SYNGENTA AG SPONSORED ADR 87160A100 5913 77000 SH DFND Compagnie Lombard Odier SCmA 77000 0 0 SYNCHRONY FINL COM 87165B103 14190 561300 SH Call DFND Compagnie Lombard Odier SCmA 561300 0 0 SYNCHRONY FINL COM 87165B103 2857 113008 SH DFND Compagnie Lombard Odier SCmA 113008 0 0 TALEN ENERGY CORP COM 87422J105 339 25000 SH DFND Compagnie Lombard Odier SCmA 25000 0 0 TEMPUR SEALY INTL INC COM 88023U101 24826 448768 SH DFND Compagnie Lombard Odier SCmA 448768 0 0 TETRA TECHNOLOGIES INC DEL COM 88162F105 1883 295660 SH DFND Compagnie Lombard Odier SCmA 295660 0 0 3M CO COM 88579Y101 1401 8000 SH DFND Compagnie Lombard Odier SCmA 8000 0 0 VERIFONE SYS INC COM 92342Y109 3806 205300 SH DFND Compagnie Lombard Odier SCmA 205300 0 0 VIRGIN AMER INC COM VTG 92765X208 3148 56000 SH Put DFND Compagnie Lombard Odier SCmA 56000 0 0 VIRGIN AMER INC COM VTG 92765X208 2529 45000 SH DFND Compagnie Lombard Odier SCmA 45000 0 0 VISA INC COM CL A 92826C839 9944 134065 SH DFND Compagnie Lombard Odier SCmA 134065 0 0 WABCO HLDGS INC COM 92927K102 886 9680 SH DFND Compagnie Lombard Odier SCmA 9680 0 0 WESCO INTL INC COM 95082P105 2375 46132 SH DFND Compagnie Lombard Odier SCmA 46132 0 0 XENOPORT INC COM 98411C100 1408 200000 SH Put DFND Compagnie Lombard Odier SCmA 200000 0 0 XENOPORT INC COM 98411C100 704 100000 SH DFND Compagnie Lombard Odier SCmA 100000 0 0 XYLEM INC COM 98419M100 480 10755 SH DFND Compagnie Lombard Odier SCmA 10755 0 0 ZOGENIX INC COM NEW 98978L204 5244 651418 SH DFND Compagnie Lombard Odier SCmA 651418 0 0 ZOSANO PHARMA CORP COM 98979H103 630 477272 SH DFND Compagnie Lombard Odier SCmA 477272 0 0 ALLERGAN PLC SHS G0177J108 6008 26000 SH DFND Compagnie Lombard Odier SCmA 26000 0 0 ASSURED GUARANTY LTD COM G0585R106 6456 254458 SH DFND Compagnie Lombard Odier SCmA 254458 0 0 HORIZON PHARMA PLC SHS G4617B105 5340 324200 SH Call DFND Compagnie Lombard Odier SCmA 324200 0 0 HORIZON PHARMA PLC SHS G4617B105 5765 350000 SH DFND Compagnie Lombard Odier SCmA 350000 0 0 INGERSOLL-RAND PLC SHS G47791101 2490 39107 SH DFND Compagnie Lombard Odier SCmA 39107 0 0 LIBERTY GLOBAL PLC SHS CL A G5480U104 10036 345358 SH DFND Compagnie Lombard Odier SCmA 345358 0 0 LIBERTY GLOBAL PLC LILAC SHS CL A G5480U138 557 17257 SH DFND Compagnie Lombard Odier SCmA 17257 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 2481 260361 SH DFND Compagnie Lombard Odier SCmA 260361 0 0 NABORS INDUSTRIES LTD SHS G6359F103 3258 324137 SH DFND Compagnie Lombard Odier SCmA 324137 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 1136 46631 SH DFND Compagnie Lombard Odier SCmA 46631 0 0 PENTAIR PLC SHS G7S00T104 1649 28288 SH DFND Compagnie Lombard Odier SCmA 28288 0 0 TYCO INTL PLC SHS G91442106 1057 24805 SH DFND Compagnie Lombard Odier SCmA 24805 0 0 AFFIMED N V COM N01045108 907 365677 SH DFND Compagnie Lombard Odier SCmA 365677 0 0 CNH INDL N V SHS N20944109 522 73021 SH DFND Compagnie Lombard Odier SCmA 73021 0 0 BROADCOM LTD SHS Y09827109 1307 8408 SH DFND Compagnie Lombard Odier SCmA 8408 0 0 DHT HOLDINGS INC SHS NEW Y2065G121 1071 212894 SH DFND Compagnie Lombard Odier SCmA 212894 0 0 SEASPAN CORP SHS Y75638109 1025 73398 SH DFND Compagnie Lombard Odier SCmA 73398 0 0