0001132716-13-000053.txt : 20131114
0001132716-13-000053.hdr.sgml : 20131114
20131114095734
ACCESSION NUMBER: 0001132716-13-000053
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131114
DATE AS OF CHANGE: 20131114
EFFECTIVENESS DATE: 20131114
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: 131217235
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
true
false
0001132716
XXXXXXXX
09-30-2013
09-30-2013
UBS OCONNOR LLC
ONE NORTH WACKER DRIVE 32ND FLOOR
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-06327
N
Frank Pluchino
C.C.O.
212-821-6053
Frank Pluchino
Chicago
IL
11-14-2013
0
409
4636770
true
INFORMATION TABLE
2
ubsocq313infotable.xml
ACADIA R
COMSH
004239109
14155000
573555
SH
DFND
573555
0
0
ACCURAY
NOTE3
004397AB1
1052000
1000000
PRN
DFND
1000000
0
0
ADOBE SY
COM
00724F101
39734000
765000
SH
DFND
765000
0
0
ADVANCE
COM
00751Y106
3281000
39685
SH
DFND
39685
0
0
AGIOS PH
COM
00847X104
559000
20000
SH
DFND
20000
0
0
AIR PROD
COM
009158106
2677000
25124
SH
DFND
25124
0
0
AIRTRAN
NOTE5
00949PAD0
3728000
2500000
PRN
DFND
2500000
0
0
ALCOA IN
COM
013817101
1484000
182746
SH
DFND
182746
0
0
ALLIANT
COM
018802108
16352000
330000
SH
DFND
330000
0
0
ALLIANT
NOTE3
018804AK0
9176000
7000000
PRN
DFND
7000000
0
0
ALON USA
COM
020520102
2537000
248500
SH
DFND
248500
0
0
AMARIN C
COM
023111206
66000
151100
SH
Call
DFND
151100
0
0
AMARIN C
SPONS
023111206
1264000
200000
SH
DFND
200000
0
0
AMEREN C
COM
023608102
15678000
450000
SH
DFND
450000
0
0
AMERICAN
COM
024013104
12814000
420000
SH
DFND
420000
0
0
AMERICAN
COM
024835100
29315000
858424
SH
DFND
858424
0
0
AMERICAN
COM
02503Y103
9163000
666364
SH
DFND
666364
0
0
AMERICAN
COM
025537101
6249000
144151
SH
DFND
144151
0
0
AMERICAN
COM
03027X100
26042000
351304
SH
DFND
351304
0
0
AMERICAN
COM
030420103
9814000
237750
SH
DFND
237750
0
0
ANNALY C
COM
035710409
39000
343100
SH
Put
DFND
343100
0
0
ANNALY C
NOTE5
035710AB8
9141000
9000000
PRN
DFND
9000000
0
0
ANTARES
COM
036642106
1080000
266000
SH
DFND
266000
0
0
ANTHERA
COMNE
03674U201
291000
72500
SH
DFND
72500
0
0
APOLLO G
CLA
037604105
9036000
434197
SH
DFND
434197
0
0
APPLE IN
COM
037833100
5949000
12478
SH
DFND
12478
0
0
ARCHER D
COM
039483102
26525000
720000
SH
DFND
720000
0
0
ASHFORD
COMSH
044103109
6047000
490000
SH
DFND
490000
0
0
ASHLAND
COM
044209104
41457000
448279
SH
DFND
448279
0
0
ASSOCIAT
COM
045487105
6327000
408470
SH
DFND
408470
0
0
AUTOMATI
COM
053015103
4886000
67500
SH
DFND
67500
0
0
AUXILIUM
NOTE1
05334DAA5
17126000
16500000
PRN
DFND
16500000
0
0
AVALONBA
COM
053484101
6965000
54805
SH
DFND
54805
0
0
AVON PRO
COM
054303102
30000
100000
SH
Call
DFND
100000
0
0
AVON PRO
COM
054303102
32797000
1592102
SH
DFND
1592102
0
0
BAKER HU
COM
057224107
7000
20000
SH
Put
DFND
20000
0
0
BANKUNIT
COM
06652K103
11908000
381792
SH
DFND
381792
0
0
BEAZER H
UNIT9
07556Q709
26735000
913100
SH
DFND
913100
0
0
BELO COR
COMSE
080555105
4110000
300000
SH
DFND
300000
0
0
BHP BILL
SPONS
088606108
39752000
597774
SH
DFND
597774
0
0
BIOMED R
COM
09063H107
14314000
769998
SH
DFND
769998
0
0
BIOAMBER
COM
09072Q106
80000
100000
SH
Call
DFND
100000
0
0
BIOAMBER
COM
09072Q106
177000
36168
SH
DFND
36168
0
0
BOISE IN
COM
09746Y105
4537000
360111
SH
DFND
360111
0
0
BROADSOF
NOTE1
11133BAB8
1110000
1000000
PRN
DFND
1000000
0
0
CBL & AS
COM
124830100
2464000
129023
SH
DFND
129023
0
0
CBS CORP
CLB
124857202
3133000
56804
SH
DFND
56804
0
0
CMS ENER
COM
125896100
14410000
547500
SH
DFND
547500
0
0
CUI GLOB
COMNE
126576206
72000
12500
SH
DFND
12500
0
0
CVS CARE
COM
126650100
16019000
282281
SH
DFND
282281
0
0
CACI INT
CLA
127190304
5691000
82345
SH
DFND
82345
0
0
CALPINE
COMNE
131347304
6745000
347167
SH
DFND
347167
0
0
CAMDEN P
SHBEN
133131102
19855000
323166
SH
DFND
323166
0
0
CAMERON
COM
13342B105
3380000
57906
SH
DFND
57906
0
0
CAPITAL
COM
140475104
3145000
148713
SH
DFND
148713
0
0
CAPSTONE
COM
14067D102
590000
500000
SH
DFND
500000
0
0
CARNIVAL
PAIRE
143658300
2448000
75000
SH
DFND
75000
0
0
CATERPIL
COM
149123101
25664000
307837
SH
DFND
307837
0
0
CEDAR RE
COMNE
150602209
5634000
1087696
SH
DFND
1087696
0
0
CELANESE
COMSE
150870103
22455000
425365
SH
DFND
425365
0
0
CEMEX SA
SPONA
151290889
559000
50000
SH
DFND
50000
0
0
CENVEO C
NOTE7
15671BAJ0
356000
350000
PRN
DFND
350000
0
0
CHATHAM
COM
16208T102
9577000
536242
SH
DFND
536242
0
0
CHEMTURA
COMNE
163893209
3386000
147288
SH
DFND
147288
0
0
CHESAPEA
NOTE2
165167BW6
36744000
35471000
PRN
DFND
35471000
0
0
CHURCH &
COM
171340102
98000
100000
SH
Put
DFND
100000
0
0
CITIGROU
COM
172967424
195000
385000
SH
Call
DFND
385000
0
0
CITIGROU
COMNE
172967424
19938000
411004
SH
DFND
411004
0
0
CLIFFS N
COM
18683K101
4258000
207730
SH
DFND
207730
0
0
COACH IN
COM
189754104
778000
14263
SH
DFND
14263
0
0
COBALT I
COM
19075F106
708000
28486
SH
DFND
28486
0
0
COBALT I
NOTE2
19075FAA4
529000
500000
PRN
DFND
500000
0
0
COCA COL
COM
191216100
512000
1000000
SH
Call
DFND
1000000
0
0
COCA COL
COM
191216100
37733000
996108
SH
DFND
996108
0
0
COCA COL
COM
19122T109
380000
200000
SH
Call
DFND
200000
0
0
COCA COL
COM
19122T109
13872000
345001
SH
DFND
345001
0
0
COLGATE
COM
194162103
31000
100000
SH
Call
DFND
100000
0
0
COLGATE
COM
194162103
59448000
1002498
SH
DFND
1002498
0
0
COLONIAL
COMSH
195872106
15743000
699999
SH
DFND
699999
0
0
COMMERCI
COM
201723103
11905000
702363
SH
DFND
702363
0
0
CONSOLID
COM
209115104
11993000
217500
SH
DFND
217500
0
0
CONSTELL
COM
21036P108
190000
200000
SH
Call
DFND
200000
0
0
CROWN CA
COM
228227104
6938000
95000
SH
DFND
95000
0
0
CTRIP CO
AMERI
22943F100
9886000
169199
SH
DFND
169199
0
0
CYTEC IN
COM
232820100
15014000
184544
SH
DFND
184544
0
0
CYTORI T
COM
23283K105
175000
75000
SH
DFND
75000
0
0
DCT INDU
COM
233153105
19629000
2729998
SH
DFND
2729998
0
0
DFC GLOB
COM
23324T107
34000
100000
SH
Put
DFND
100000
0
0
D R HORT
COM
23331A109
1457000
75000
SH
DFND
75000
0
0
D R HORT
NOTE2
23331ABB4
10668000
7000000
PRN
DFND
7000000
0
0
DTE ENER
COM
233331107
16665000
252569
SH
DFND
252569
0
0
DEALERTR
NOTE1
242309AB8
1292000
1000000
PRN
DFND
1000000
0
0
DEAN FOO
COMNE
242370203
41852000
2168498
SH
DFND
2168498
0
0
DEERE &
COM
244199105
22000
25000
SH
Put
DFND
25000
0
0
DELL INC
COM
24702R101
6965000
505845
SH
DFND
505845
0
0
DELTA AI
COMNE
247361702
27195000
1152818
SH
DFND
1152818
0
0
DEVELOPE
NOTE1
251591AX1
15872000
14000000
PRN
DFND
14000000
0
0
DIAMOND
COM
252603105
990000
42000
SH
DFND
42000
0
0
DICKS SP
COM
253393102
145000
100000
SH
Put
DFND
100000
0
0
DICKS SP
COM
253393102
28365000
531376
SH
DFND
531376
0
0
DIGITAL
COM
253868103
2124000
40000
SH
DFND
40000
0
0
DISNEY W
COMDI
254687106
2747000
42597
SH
DFND
42597
0
0
DISCOVER
COM
254709108
58000
43200
SH
Call
DFND
43200
0
0
DISH NET
CLA
25470M109
10310000
229054
SH
DFND
229054
0
0
DOLE FOO
COM
256603101
5107000
374944
SH
DFND
374944
0
0
DOMINION
COM
25746U109
11378000
182103
SH
DFND
182103
0
0
DOUGLAS
COM
25960P109
5968000
254300
SH
DFND
254300
0
0
DU PONT
COM
263534109
5000
130000
SH
Put
DFND
130000
0
0
DUKE ENE
COMNE
26441C204
15026000
225000
SH
DFND
225000
0
0
E TRADE
COM
269246401
783000
470000
SH
Call
DFND
470000
0
0
EAST WES
COM
27579R104
7908000
247499
SH
DFND
247499
0
0
EDUCATIO
COM
28140H104
10997000
1208450
SH
DFND
1208450
0
0
ELLINGTO
COMSH
288578107
768000
50000
SH
DFND
50000
0
0
EMERALD
COMNE
29101U209
5824000
810000
SH
DFND
810000
0
0
ENERGIZE
COM
29266R108
19000
150000
SH
Call
DFND
150000
0
0
ENERGIZE
COM
29266R108
715000
7844
SH
DFND
7844
0
0
EQUINIX
COMNE
29444U502
5271000
28700
SH
DFND
28700
0
0
EQUINIX
NOTE3
29444UAG1
8657000
5200000
PRN
DFND
5200000
0
0
EQUINIX
NOTE4
29444UAH9
16889000
7500000
PRN
DFND
7500000
0
0
EQUITY L
COM
29472R108
30958000
906008
SH
DFND
906008
0
0
EVERCORE
CLASS
29977A105
2481000
50390
SH
DFND
50390
0
0
EXELIXIS
NOTE4
30161QAC8
5890000
5000000
PRN
DFND
5000000
0
0
FACEBOOK
CLA
30303M102
16331000
325050
SH
DFND
325050
0
0
FAMILY D
COM
307000109
656000
350000
SH
Put
DFND
350000
0
0
FEDERAL
SHBEN
313747206
19602000
193222
SH
DFND
193222
0
0
FIFTH ST
COM
31678A103
1029000
100000
SH
DFND
100000
0
0
FIRST HO
COM
320517105
1099000
100000
SH
DFND
100000
0
0
FIRST ME
COM
320817109
3505000
202246
SH
DFND
202246
0
0
FIRST NI
COM
33582V108
2502000
241241
SH
DFND
241241
0
0
FIRST RE
COM
33616C100
8548000
183306
SH
DFND
183306
0
0
FIRSTMER
COM
337915102
12551000
578126
SH
DFND
578126
0
0
FOOT LOC
COM
344849104
30885000
910000
SH
DFND
910000
0
0
FREEPORT
COM
35671D857
24743000
747972
SH
DFND
747972
0
0
GT ADVAN
NOTE3
36191UAA4
2614000
2000000
PRN
DFND
2000000
0
0
GALENA B
COM
363256108
793000
349400
SH
DFND
349400
0
0
GAMESTOP
CLA
36467W109
5312000
106988
SH
DFND
106988
0
0
GAP INC
COM
364760108
140000
300000
SH
Call
DFND
300000
0
0
GAP INC
COM
364760108
28295000
702462
SH
DFND
702462
0
0
GENCORP
SDCV4
368682AN0
40825000
22500000
SH
DFND
22500000
0
0
GENERAL
COM
369550108
67000
25000
SH
Put
DFND
25000
0
0
GENERAL
COM
37045V100
4257000
1010470
SH
Call
DFND
1010470
0
0
GENERAL
JRPFD
37045V209
1008000
20000
SH
DFND
20000
0
0
GILEAD S
NOTE1
375558AN3
125729000
45150000
PRN
DFND
45150000
0
0
GILEAD S
NOTE1
375558AP8
94149000
34000000
PRN
DFND
34000000
0
0
GOLDMAN
COM
38141G104
395000
50000
SH
Put
DFND
50000
0
0
GREENBRI
NOTE3
393657AH4
518000
480000
PRN
DFND
480000
0
0
GREIF IN
CLA
397624107
5708000
116417
SH
DFND
116417
0
0
HALCON R
COMNE
40537Q209
4430000
1000000
SH
DFND
1000000
0
0
HALLIBUR
COM
406216101
12000
20000
SH
Put
DFND
20000
0
0
HEALTHCA
COM
421946104
2147000
92912
SH
DFND
92912
0
0
HEALTH C
PFDPE
42217K601
434000
7500
SH
DFND
7500
0
0
HEARTLAN
COM
422347104
2359000
166223
SH
DFND
166223
0
0
HERTZ GL
COM
42805T105
4603000
207700
SH
DFND
207700
0
0
HESS COR
COM
42809H107
1838000
23760
SH
DFND
23760
0
0
HEWLETT
COM
428236103
1000
51600
SH
Call
DFND
51600
0
0
HIGHWOOD
COM
431284108
12359000
350000
SH
DFND
350000
0
0
HILLSHIR
COM
432589109
5533000
180000
SH
DFND
180000
0
0
HOME DEP
COM
437076102
169000
100000
SH
Call
DFND
100000
0
0
HOME DEP
COM
437076102
23980000
316146
SH
DFND
316146
0
0
HOME PRO
COM
437306103
8648000
149752
SH
DFND
149752
0
0
HOSPIRA
COM
441060100
36267000
924704
SH
DFND
924704
0
0
HOWARD H
COM
44267D107
12585000
111999
SH
DFND
111999
0
0
HUDSON P
COM
444097109
14674000
754458
SH
DFND
754458
0
0
HUMANA I
COM
444859102
81587000
874175
SH
DFND
874175
0
0
IHS INC
CLA
451734107
9176000
80360
SH
DFND
80360
0
0
INTEGRA
NOTE1
457985AK5
1016000
1000000
PRN
DFND
1000000
0
0
INTEL CO
COM
458140100
7449000
325000
SH
DFND
325000
0
0
INTEL CO
SDCV2
458140AD2
1085000
1000000
SH
DFND
1000000
0
0
INTERMUN
NOTE2
45884XAE3
9902000
11000000
PRN
DFND
11000000
0
0
INTERNAT
COM
459902102
5720000
302178
SH
DFND
302178
0
0
INTL PAP
COM
460146103
13000
20000
SH
Put
DFND
20000
0
0
INTERPUB
COM
460690100
3554000
206857
SH
DFND
206857
0
0
ISHARES
COM
464287432
591000
585000
SH
Call
DFND
585000
0
0
ISHARES
COM
464287739
148000
100000
SH
Call
DFND
100000
0
0
ISHARES
U.S.R
464287739
2233000
35000
SH
DFND
35000
0
0
ISHARES
COM
464288513
358000
270000
SH
Put
DFND
270000
0
0
ISHARES
IBOXX
464288513
6548000
71500
SH
DFND
71500
0
0
ISIS PHA
COM
464330109
180000
50000
SH
Put
DFND
50000
0
0
JPMORGAN
COM
46625H100
58000
300000
SH
Call
DFND
300000
0
0
JPMORGAN
COM
46625H100
32032000
619691
SH
DFND
619691
0
0
JOY GLOB
COM
481165108
6438000
126132
SH
DFND
126132
0
0
KALOBIOS
COM
48344T100
565000
125000
SH
DFND
125000
0
0
KB HOME
COM
48666K109
69000
235400
SH
Put
DFND
235400
0
0
KEYCORP
COM
493267108
10810000
948255
SH
DFND
948255
0
0
KILROY R
COM
49427F108
36565000
732025
SH
DFND
732025
0
0
KIMBERLY
COM
494368103
7000
25000
SH
Call
DFND
25000
0
0
KIMCO RL
COM
49446R109
3575000
177154
SH
DFND
177154
0
0
KINDER M
COM
49456B101
123000
25000
SH
Call
DFND
25000
0
0
KINDER M
COM
49456B101
8851000
248822
SH
DFND
248822
0
0
KRAFT FO
COM
50076Q106
36914000
703924
SH
DFND
703924
0
0
L BRANDS
COM
501797104
70000
200000
SH
Put
DFND
200000
0
0
LTC PPTY
COM
502175102
10154000
267356
SH
DFND
267356
0
0
LANDSTAR
COM
515098101
11166000
199466
SH
DFND
199466
0
0
LAUDER E
CLA
518439104
58741000
840359
SH
DFND
840359
0
0
LENNAR C
COM
526057104
107000
50000
SH
Call
DFND
50000
0
0
LENNAR C
CLA
526057104
6938000
196000
SH
DFND
196000
0
0
LEVEL 3
NOTE7
52729NBP4
11367000
9275000
PRN
DFND
9275000
0
0
LIBERTY
SHBEN
531172104
25880000
726954
SH
DFND
726954
0
0
LINEAR T
NOTE3
535678AC0
1067000
1000000
PRN
DFND
1000000
0
0
LINKEDIN
COMCL
53578A108
18682000
75925
SH
DFND
75925
0
0
LOCKHEED
COM
539830109
66000
25000
SH
Put
DFND
25000
0
0
LOUISIAN
COM
546347105
5273000
299789
SH
DFND
299789
0
0
LUCENT T
DBCV2
549463AG2
15161000
15470000
SH
DFND
15470000
0
0
MB FINAN
COM
55264U108
6911000
244717
SH
DFND
244717
0
0
MGM RESO
COM
552953101
58000
150000
SH
Put
DFND
150000
0
0
MACYS IN
COM
55616P104
265000
200000
SH
Call
DFND
200000
0
0
MACYS IN
COM
55616P104
41016000
947899
SH
DFND
947899
0
0
MANNKIND
COM
56400P201
223000
100000
SH
Call
DFND
100000
0
0
MANNKIND
COM
56400P201
0
24200
SH
Put
DFND
24200
0
0
MASCO CO
COM
574599106
4409000
207200
SH
DFND
207200
0
0
MAST THE
COM
576314108
88000
200000
SH
DFND
200000
0
0
MATTRESS
COM
57722W106
7489000
235515
SH
DFND
235515
0
0
MCDERMOT
COM
580037109
2000
20000
SH
Call
DFND
20000
0
0
MCGRAW H
COM
580645109
46645000
711160
SH
DFND
711160
0
0
MEADOWBR
COM
58319P108
5391000
829415
SH
DFND
829415
0
0
MENTOR G
SDCV4
587200AK2
14214000
10887000
SH
DFND
10887000
0
0
MERRIMAC
NOTE4
590328AA8
10001000
11000000
PRN
DFND
11000000
0
0
MERU NET
COM
59047Q103
262000
80000
SH
DFND
80000
0
0
MICROSOF
COM
594918104
64583000
1938838
SH
DFND
1938838
0
0
MICROCHI
SDCV2
595017AB0
31330000
20000000
SH
DFND
20000000
0
0
MICRON T
NOTE1
595112AH6
3812000
3000000
PRN
DFND
3000000
0
0
MICRON T
NOTE1
595112AQ6
16100000
8642000
PRN
DFND
8642000
0
0
MICRON T
NOTE2
595112AW3
15269000
8000000
PRN
DFND
8000000
0
0
MID-AMER
COM
59522J103
38508000
616133
SH
DFND
616133
0
0
MOHAWK I
COM
608190104
4266000
32749
SH
DFND
32749
0
0
MONDELEZ
COM
609207105
320000
400000
SH
Call
DFND
400000
0
0
MONDELEZ
CLA
609207105
61655000
1962274
SH
DFND
1962274
0
0
MONSANTO
COM
61166W101
3470000
33243
SH
DFND
33243
0
0
MORGAN S
COM
617446448
52000
150000
SH
Call
DFND
150000
0
0
MORGAN S
COMNE
617446448
9083000
337035
SH
DFND
337035
0
0
MYLAN IN
NOTE3
628530AJ6
101552000
35000000
PRN
DFND
35000000
0
0
MYRIAD G
COM
62855J104
25596000
1089206
SH
DFND
1089206
0
0
NRG ENER
COM
629377508
173000
105000
SH
Call
DFND
105000
0
0
NRG ENER
COMNE
629377508
9224000
337500
SH
DFND
337500
0
0
NANOSPHE
COM
63009F105
550000
275000
SH
DFND
275000
0
0
NATIONAL
CLA
633707104
6834000
332694
SH
DFND
332694
0
0
NATIONAL
COM
637071101
24000
20000
SH
Put
DFND
20000
0
0
NATIONAL
COM
637071101
33427000
427952
SH
DFND
427952
0
0
NATIONAL
COM
637417106
1591000
50000
SH
DFND
50000
0
0
NAVISTAR
NOTE3
63934EAL2
1018000
1000000
PRN
DFND
1000000
0
0
NEUROCRI
COM
64125C109
837000
73900
SH
DFND
73900
0
0
NEWELL R
COM
651229106
20017000
727876
SH
DFND
727876
0
0
NEWMONT
COM
651639106
5145000
183100
SH
DFND
183100
0
0
NEWS COR
CLA
65249B109
20044000
1248088
SH
DFND
1248088
0
0
NEXTERA
COM
65339F101
12024000
150000
SH
DFND
150000
0
0
NIKE INC
COM
654106103
31000
150000
SH
Put
DFND
150000
0
0
NOKIA CO
SPONS
654902204
5859000
900000
SH
DFND
900000
0
0
NORFOLK
COM
655844108
2518000
32558
SH
DFND
32558
0
0
NORTHEAS
COM
664397106
14976000
363049
SH
DFND
363049
0
0
NORTHROP
COM
666807102
64000
25000
SH
Put
DFND
25000
0
0
NORTHSTA
COM
66704R100
3042000
327778
SH
DFND
327778
0
0
NOVAVAX
COM
670002104
1048000
331628
SH
DFND
331628
0
0
NUANCE C
NOTE2
67020YAF7
1523000
1500000
PRN
DFND
1500000
0
0
NUCOR CO
COM
670346105
2627000
53595
SH
DFND
53595
0
0
NUVASIVE
NOTE2
670704AC9
980000
1000000
PRN
DFND
1000000
0
0
OGE ENER
COM
670837103
6334000
175500
SH
DFND
175500
0
0
NUVERRA
COM
67091K104
458000
200000
SH
DFND
200000
0
0
OFG BANC
COM
67103X102
1214000
75000
SH
DFND
75000
0
0
ONCOLYTI
COM
682310107
122000
50000
SH
DFND
50000
0
0
ONYX PHA
COM
683399109
60451000
484886
SH
DFND
484886
0
0
OWENS CO
COM
690742101
5370000
141391
SH
DFND
141391
0
0
PG&E COR
COM
69331C108
12480000
304981
SH
DFND
304981
0
0
PHH CORP
NOTE6
693320AQ6
20439000
10000000
PRN
DFND
10000000
0
0
PNC FINL
COM
693475105
128000
74900
SH
Put
DFND
74900
0
0
PVH CORP
COM
693656100
60000
100000
SH
Call
DFND
100000
0
0
PVH CORP
COM
693656100
16952000
142828
SH
DFND
142828
0
0
PACWEST
COM
695263103
17873000
520174
SH
DFND
520174
0
0
PARAGON
CLANE
69913R408
464000
80337
SH
DFND
80337
0
0
PARKWAY
COM
70159Q104
14927000
839999
SH
DFND
839999
0
0
PENN NAT
COM
707569109
4069000
73502
SH
DFND
73502
0
0
PENNEY J
COM
708160106
6615000
750000
SH
DFND
750000
0
0
PENNSYLV
SHBEN
709102107
15708000
839999
SH
DFND
839999
0
0
PEPSICO
COM
713448108
21000
200000
SH
Call
DFND
200000
0
0
PHILIP M
COM
718172109
79000
50000
SH
Call
DFND
50000
0
0
PHILIP M
COM
718172109
100000
50000
SH
Put
DFND
50000
0
0
PHILIP M
COM
718172109
88146000
1017968
SH
DFND
1017968
0
0
PINNACLE
COM
723484101
6322000
115500
SH
DFND
115500
0
0
PLURISTE
COM
72940R102
54000
175000
SH
Call
DFND
175000
0
0
POST PPT
COM
737464107
6303000
140000
SH
DFND
140000
0
0
PRAXAIR
COM
74005P104
9389000
78108
SH
DFND
78108
0
0
PROCTER
COM
742718109
280000
100000
SH
Put
DFND
100000
0
0
PROCTER
COM
742718109
19471000
257586
SH
DFND
257586
0
0
PROLOGIS
COM
74340W103
3476000
92397
SH
DFND
92397
0
0
PUBLIC S
COM
74460D109
2087000
12996
SH
DFND
12996
0
0
RLJ LODG
COM
74965L101
35705000
1519998
SH
DFND
1519998
0
0
RACKSPAC
COM
750086100
13531000
256469
SH
DFND
256469
0
0
RADIAN G
COM
750236101
3413000
245000
SH
DFND
245000
0
0
RALPH LA
CLA
751212101
15244000
92538
SH
DFND
92538
0
0
RAMCO-GE
COMSH
751452202
7191000
466666
SH
DFND
466666
0
0
RAYTHEON
COM
755111507
60000
25000
SH
Put
DFND
25000
0
0
REDWOOD
COM
758075402
34438000
1749002
SH
DFND
1749002
0
0
REGAL BE
COM
758750103
10094000
148593
SH
DFND
148593
0
0
REGENCY
COM
758849103
5003000
103477
SH
DFND
103477
0
0
REGULUS
COM
75915K101
220000
23295
SH
DFND
23295
0
0
REGIONS
COM
7591EP100
16122000
1740998
SH
DFND
1740998
0
0
REPUBLIC
COM
760759100
11725000
351480
SH
DFND
351480
0
0
RETAIL O
COM
76131N101
12092000
874999
SH
DFND
874999
0
0
RIO TINT
COM
767204100
48000
30000
SH
Put
DFND
30000
0
0
RITE AID
COM
767754104
4760000
1000000
SH
DFND
1000000
0
0
ROADRUNN
COM
76973Q105
847000
30000
SH
DFND
30000
0
0
ROCK-TEN
CLA
772739207
9532000
94122
SH
DFND
94122
0
0
ROSETTA
COM
777780107
730000
45000
SH
DFND
45000
0
0
ROSS STO
COM
778296103
755000
200000
SH
Call
DFND
200000
0
0
ROSS STO
COM
778296103
13318000
182945
SH
DFND
182945
0
0
ROYAL GO
NOTE2
780287AA6
482000
500000
PRN
DFND
500000
0
0
RYLAND G
COM
783764103
322000
158800
SH
Put
DFND
158800
0
0
RYLAND G
NOTE0
783764AS2
4525000
5000000
PRN
DFND
5000000
0
0
RYMAN HO
COM
78377T107
20492000
593800
SH
DFND
593800
0
0
SBA COMM
COM
78388J106
34045000
423131
SH
DFND
423131
0
0
SBA COMM
NOTE4
78388JAM8
26585000
10000000
PRN
DFND
10000000
0
0
SEI INVE
COM
784117103
828000
26800
SH
DFND
26800
0
0
SPDR S&P
COM
78462F103
73000
110000
SH
Put
DFND
110000
0
0
SPDR S&P
TRUNI
78462F103
19351000
115176
SH
DFND
115176
0
0
SPDR SER
COM
78464A714
10000
50000
SH
Put
DFND
50000
0
0
SPDR SER
COM
78464A730
10000
25000
SH
Put
DFND
25000
0
0
SVB FINL
COM
78486Q101
14221000
164647
SH
DFND
164647
0
0
SAFEGUAR
COMNE
786449207
4868000
310290
SH
DFND
310290
0
0
SANDISK
COM
80004C101
3767000
63303
SH
DFND
63303
0
0
SANDISK
NOTE1
80004CAD3
7934000
6000000
PRN
DFND
6000000
0
0
SANGAMO
COM
800677106
2358000
225000
SH
DFND
225000
0
0
SANOFI
RIGHT
80105N113
2430000
1203178
SH
DFND
1203178
0
0
SCHWAB C
COM
808513105
30818000
1457812
SH
DFND
1457812
0
0
SELECT S
COM
81369Y308
89000
50000
SH
Put
DFND
50000
0
0
SELECT S
COM
81369Y886
28000
120000
SH
Call
DFND
120000
0
0
SELECT S
COM
81369Y886
14000
200000
SH
Put
DFND
200000
0
0
SEMPRA E
COM
816851109
10914000
127500
SH
DFND
127500
0
0
SEQUENOM
COM
817337405
16000
50000
SH
Call
DFND
50000
0
0
SEQUENOM
COMNE
817337405
801000
300000
SH
DFND
300000
0
0
SERVICE
COM
817565104
1862000
100000
SH
DFND
100000
0
0
SHERWIN
COM
824348106
130000
33300
SH
Put
DFND
33300
0
0
SIGNATUR
COM
82669G104
12878000
140717
SH
DFND
140717
0
0
SILGAN H
COM
827048109
10491000
223211
SH
DFND
223211
0
0
SIMON PP
COM
828806109
49890000
336574
SH
DFND
336574
0
0
SMUCKER
COMNE
832696405
34431000
327787
SH
DFND
327787
0
0
SNYDERS-
COM
833551104
10066000
348906
SH
DFND
348906
0
0
SOVRAN S
COM
84610H108
25428000
335999
SH
DFND
335999
0
0
SPEED CO
COM
84764T106
656000
200000
SH
DFND
200000
0
0
SPRINT C
COMSE
85207U105
1679000
270372
SH
DFND
270372
0
0
STANLEY
COM
854502101
5437000
60034
SH
DFND
60034
0
0
STARWOOD
COM
85590A401
759000
220000
SH
Call
DFND
220000
0
0
STARWOOD
COM
85590A401
37995000
571790
SH
DFND
571790
0
0
STONE EN
NOTE1
861642AN6
547000
500000
PRN
DFND
500000
0
0
SUNSHINE
COM
86782U106
1448000
125000
SH
DFND
125000
0
0
SYNERGY
COMNE
871639308
324000
70936
SH
DFND
70936
0
0
TAIWAN S
SPONS
874039100
45125000
2660700
SH
DFND
2660700
0
0
TELEFLEX
NOTE3
879369AA4
49375000
35000000
PRN
DFND
35000000
0
0
TERADYNE
NOTE4
880770AE2
101418000
33500000
PRN
DFND
33500000
0
0
TEREX CO
COM
880779103
521000
15516
SH
DFND
15516
0
0
TERRENO
COM
88146M101
2984000
168000
SH
DFND
168000
0
0
TESLA MT
NOTE1
88160RAA9
59223000
35000000
PRN
DFND
35000000
0
0
THERAPEU
COM
88338N107
293000
100000
SH
DFND
100000
0
0
THOMPSON
COM
884768102
8000
30000
SH
Call
DFND
30000
0
0
THOMPSON
UNIT9
884768300
17343000
924544
SH
DFND
924544
0
0
TIBCO SO
NOTE2
88632QAB9
944000
925000
PRN
DFND
925000
0
0
TIME WAR
COM
88732J207
9685000
86786
SH
DFND
86786
0
0
TOLL BRO
COM
889478103
12447000
383812
SH
DFND
383812
0
0
TOWERSTR
COM
892000100
421000
147100
SH
DFND
147100
0
0
TRULIA I
COM
897888103
4779000
101608
SH
DFND
101608
0
0
UIL HLDG
COM
902748102
2788000
75000
SH
DFND
75000
0
0
US BANCO
COMNE
902973304
3658000
100000
SH
DFND
100000
0
0
UNS ENER
COM
903119105
8741000
187500
SH
DFND
187500
0
0
U S AIRW
COM
90341W108
34693000
1829825
SH
DFND
1829825
0
0
UNDER AR
COM
904311107
102000
400000
SH
Put
DFND
400000
0
0
UNITED C
COM
90984P303
4773000
318170
SH
DFND
318170
0
0
UNITED R
COM
911363109
10582000
181546
SH
DFND
181546
0
0
UNITED S
COM
912909108
3423000
166222
SH
DFND
166222
0
0
UNITED S
NOTE4
912909AE8
1028000
1000000
PRN
DFND
1000000
0
0
UNITED T
NOTE1
91307CAF9
18701000
11000000
PRN
DFND
11000000
0
0
VENTAS I
COM
92276F100
38831000
631392
SH
DFND
631392
0
0
VERISIGN
SDCV3
92343EAD4
51674000
33000000
SH
DFND
33000000
0
0
VERIZON
COM
92343V104
6815000
146055
SH
DFND
146055
0
0
VIACOM I
CLB
92553P201
17299000
206976
SH
DFND
206976
0
0
VIROPHAR
NOTE2
928241AH1
12869000
6000000
PRN
DFND
6000000
0
0
VODAFONE
SPONS
92857W209
22665000
644248
SH
DFND
644248
0
0
VORNADO
SHBEN
929042109
5146000
61214
SH
DFND
61214
0
0
WCI CMNT
COMPA
92923C807
2416000
140000
SH
DFND
140000
0
0
WAL-MART
COM
931142103
116000
100000
SH
Call
DFND
100000
0
0
WAL-MART
COM
931142103
41718000
564058
SH
DFND
564058
0
0
WALGREEN
COM
931422109
428000
200000
SH
Put
DFND
200000
0
0
WALTER I
NOTE4
93317WAA0
5253000
5000000
PRN
DFND
5000000
0
0
WASHINGT
SHBEN
939653101
2246000
88889
SH
DFND
88889
0
0
WEBMD HE
NOTE2
94770VAF9
947000
1000000
PRN
DFND
1000000
0
0
WELLS FA
COM
949746101
7400000
179086
SH
DFND
179086
0
0
WERNER E
COM
950755108
7377000
316190
SH
DFND
316190
0
0
WESCO IN
DBCV6
95082PAH8
37100000
13500000
SH
DFND
13500000
0
0
WESTAR E
COM
95709T100
13379000
436500
SH
DFND
436500
0
0
WESTERN
COM
959319104
1936000
64431
SH
DFND
64431
0
0
WESTPORT
COMNE
960908309
1451000
60000
SH
DFND
60000
0
0
WEYERHAE
COM
962166104
188000
175000
SH
Call
DFND
175000
0
0
WHITEWAV
COMCL
966244105
41226000
2064413
SH
DFND
2064413
0
0
WILLIAMS
COM
969904101
380000
200000
SH
Put
DFND
200000
0
0
WINTHROP
SHBEN
976391300
474000
42500
SH
DFND
42500
0
0
WRIGHT M
COM
98235T107
50000
50000
SH
Call
DFND
50000
0
0
WRIGHT M
NOTE2
98235TAC1
8580000
7000000
PRN
DFND
7000000
0
0
XPO LOGI
NOTE4
983793AA8
16044000
11000000
PRN
DFND
11000000
0
0
YAMANA G
COM
98462Y100
140000
13464
SH
DFND
13464
0
0
ZIONS BA
COM
989701107
4411000
160885
SH
DFND
160885
0
0
ACCENTUR
SHSCL
G1151C101
1834000
24900
SH
DFND
24900
0
0
HERBALIF
COMUS
G4412G101
5233000
75000
SH
DFND
75000
0
0
MAIDEN H
SHS
G5753U112
4429000
374999
SH
DFND
374999
0
0
SIGNET J
SHS
G81276100
2073000
28931
SH
DFND
28931
0
0
WARNER C
SHSA
G94368100
9140000
400000
SH
DFND
400000
0
0
NOBLE CO
COM
H5833N103
6000
25000
SH
Call
DFND
25000
0
0
NOBLE CO
NAMEN
H5833N103
45702000
1210000
SH
DFND
1210000
0
0
TYCO INT
SHS
H89128104
14797000
423009
SH
DFND
423009
0
0
INTERXIO
SHS
N47279109
9563000
429998
SH
DFND
429998
0
0
NIELSEN
COM
N63218106
53794000
1475842
SH
DFND
1475842
0
0
BALTIC T
COM
Y0553W103
367000
75000
SH
DFND
75000
0
0