0001132716-19-000012.txt : 20190814
0001132716-19-000012.hdr.sgml : 20190814
20190814165036
ACCESSION NUMBER: 0001132716-19-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20190814
DATE AS OF CHANGE: 20190814
EFFECTIVENESS DATE: 20190814
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: 191027266
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
06-30-2019
06-30-2019
UBS OCONNOR LLC
ONE NORTH WACKER DRIVE 32ND FLOOR
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-06327
N
Michael Esposito
CCO
3125254009
Michael Esposito
Chicago
IL
08-14-2019
0
237
3846089
true
INFORMATION TABLE
2
ubsocQ2_19infotable.xml
ADT INC
COM
00090Q103
40000
51800
SH
Put
DFND
51800
0
0
ADT INC
COM
00090Q103
551000
90000
SH
DFND
90000
0
0
AMAG PHA
NOTE3
00163UAD8
23854000
30000000
PRN
DFND
30000000
0
0
ANGI HOM
COMCL
00183L102
1008000
77500
SH
DFND
77500
0
0
ACORDA T
NOTE1
00484MAA4
34444000
40000000
PRN
DFND
40000000
0
0
AGREE RE
COM
008492100
2596000
40525
SH
DFND
40525
0
0
AIR PROD
COM
009158106
9055000
40000
SH
DFND
40000
0
0
ALEXANDR
COM
015271109
7337000
52000
SH
DFND
52000
0
0
ALLEGHEN
COM
01741R102
58000
50000
SH
Put
DFND
50000
0
0
ALLSCRIP
NOTE1
01988PAD0
30000000
30000000
PRN
DFND
30000000
0
0
ALPHABET
CAPST
02079K305
4311000
3981
SH
DFND
3981
0
0
ALTABA I
COM
021346101
161308000
2325333
SH
DFND
2325333
0
0
ALTICE U
CLA
02156K103
2612000
107288
SH
DFND
107288
0
0
AMAZON C
COM
023135106
5397000
2850
SH
DFND
2850
0
0
AMERICAN
COM
024835100
1590000
34450
SH
DFND
34450
0
0
AMERICAN
CLA
02665T306
5287000
217471
SH
DFND
217471
0
0
AMERICOL
COM
03064D108
11917000
367570
SH
DFND
367570
0
0
AMPHENOL
CLA
032095101
1891000
19714
SH
DFND
19714
0
0
ARRAY BI
COM
04269X105
22254000
480344
SH
DFND
480344
0
0
BHP GROU
SPONS
05545E209
17239000
337285
SH
DFND
337285
0
0
BEASLEY
CLA
074014101
238000
73905
SH
DFND
73905
0
0
BECTON D
COM
075887109
27721000
110000
SH
DFND
110000
0
0
BRINKS C
COM
109696104
24354000
300000
SH
DFND
300000
0
0
CDK GLOB
COM
12508E101
12360000
250000
SH
DFND
250000
0
0
CIGNA CO
COM
125523100
128000
100000
SH
Call
DFND
100000
0
0
CIGNA CO
COM
125523100
45563000
289200
SH
DFND
289200
0
0
CNX RESO
COM
12653C108
72000
51800
SH
Put
DFND
51800
0
0
CAESARS
NOTE5
127686AA1
60408000
35162000
PRN
DFND
35162000
0
0
CALIFORN
COM
13057Q206
4754000
1455000
SH
Put
DFND
1455000
0
0
CALIFORN
COMNE
13057Q206
854000
43400
SH
DFND
43400
0
0
CAMDEN P
SHBEN
133131102
1284000
12300
SH
DFND
12300
0
0
CARDLYTI
COM
14161W105
8946000
344354
SH
DFND
344354
0
0
CARETRUS
COM
14174T107
9643000
405500
SH
DFND
405500
0
0
CARVANA
CLA
146869102
20029000
320000
SH
DFND
320000
0
0
CENTURYL
COM
156700106
265000
1000000
SH
Call
DFND
1000000
0
0
CENTURYL
COM
156700106
5880000
500000
SH
DFND
500000
0
0
CERIDIAN
COM
15677J108
1541000
30700
SH
DFND
30700
0
0
CHESAPEA
NOTE5
165167CY1
801000
1000000
PRN
DFND
1000000
0
0
CHEWY IN
CLA
16679L109
2054000
58679
SH
DFND
58679
0
0
CHOICE H
COM
169905106
9623000
110600
SH
DFND
110600
0
0
CLEAR CH
COM
18453H106
2723000
577000
SH
DFND
577000
0
0
CLOUDERA
COM
18914U100
9784000
1860000
SH
DFND
1860000
0
0
CLOVIS O
NOTE1
189464AC4
18578000
30000000
PRN
DFND
30000000
0
0
COGNIZAN
CLA
192446102
9508000
150000
SH
DFND
150000
0
0
CONAGRA
COM
205887102
26520000
1000000
SH
DFND
1000000
0
0
CORNERST
COM
21925D109
2624000
450000
SH
DFND
450000
0
0
CORNING
COM
219350105
1246000
37500
SH
DFND
37500
0
0
COUPA SO
COM
22266L106
4165000
32900
SH
DFND
32900
0
0
COUSINS
COMNE
222795502
9214000
254750
SH
DFND
254750
0
0
CRAY INC
COMNE
225223304
4353000
125000
SH
DFND
429612
0
0
CROWDSTR
CLA
22788C105
2957000
43300
SH
DFND
43300
0
0
CTRIP CO
SPONS
22943F100
738000
20000
SH
DFND
20000
0
0
CUBESMAR
COM
229663109
3780000
113027
SH
DFND
113027
0
0
D R HORT
COM
23331A109
6728000
156000
SH
DFND
156000
0
0
DAVITA I
COM
23918K108
30000
100000
SH
Put
DFND
100000
0
0
DERMIRA
NOTE3
24983LAB0
20007000
23200000
PRN
DFND
23200000
0
0
ASSERTIO
NOTE2
249908AA2
34360000
47500000
PRN
DFND
47500000
0
0
DISNEY W
COMDI
254687106
81521000
583791
SH
DFND
583791
0
0
DISCOVER
COMSE
25470F104
1288000
41944
SH
DFND
41944
0
0
DISH NET
NOTE3
25470MAB5
4875000
5000000
PRN
DFND
5000000
0
0
DISH NET
NOTE2
25470MAD1
34348000
37000000
PRN
DFND
37000000
0
0
DOCUSIGN
COM
256163106
994000
20000
SH
DFND
20000
0
0
DOMO INC
COMCL
257554105
1065000
38974
SH
DFND
38974
0
0
DROPBOX
CLA
26210C104
12525000
500000
SH
DFND
500000
0
0
DUKE REA
COMNE
264411505
2624000
83000
SH
DFND
83000
0
0
EPR PPTY
COMSH
26884U109
2379000
31900
SH
DFND
31900
0
0
EASTGROU
COM
277276101
10113000
87200
SH
DFND
87200
0
0
EBAY INC
COM
278642103
18565000
470000
SH
DFND
470000
0
0
ELECTRAM
COM
284849205
166000
350000
SH
Call
DFND
350000
0
0
ELECTRON
COM
285512109
3602000
35571
SH
DFND
35571
0
0
ELECTRON
COM
286082102
14140000
383090
SH
DFND
383090
0
0
ENSCO JE
NOTE3
29359WAB1
782000
1000000
PRN
DFND
1000000
0
0
EQUINIX
COM
29444U700
3530000
7000
SH
DFND
7000
0
0
EQUITY L
COM
29472R108
7632000
62900
SH
DFND
62900
0
0
ESSENTIA
COM
29670E107
6875000
343067
SH
DFND
343067
0
0
ESSEX PP
COM
297178105
1839000
6300
SH
DFND
6300
0
0
EXTRA SP
COM
30225T102
9544000
89950
SH
DFND
89950
0
0
FACEBOOK
CLA
30303M102
78612000
407315
SH
DFND
407315
0
0
FASTLY I
CLA
31188V100
3051000
150435
SH
DFND
150435
0
0
FEDERAL
SHBEN
313747206
8987000
69800
SH
DFND
69800
0
0
FINISAR
NOTE0
31787AAP6
977000
1000000
PRN
DFND
1000000
0
0
FIRST DA
COMCL
32008D106
521914000
19280163
SH
DFND
19280163
0
0
FIRST IN
COM
32054K103
2355000
64100
SH
DFND
64100
0
0
FISERV I
COM
337738108
20055000
220000
SH
DFND
220000
0
0
FLEXSHOP
COM
33939J303
72000
200000
SH
Call
DFND
200000
0
0
FORD MTR
COM
345370860
17000
100000
SH
Call
DFND
100000
0
0
FOUR COR
COM
35086T109
9210000
337000
SH
DFND
337000
0
0
FRONTIER
COM
35906A306
1100000
469000
SH
Put
DFND
469000
0
0
GEO GROU
COM
36162J106
30000
27700
SH
Put
DFND
27700
0
0
GTY TECH
COM
362409104
494000
650000
SH
Call
DFND
650000
0
0
GTY TECH
COM
362409104
11213000
1636903
SH
DFND
1636903
0
0
GAMING &
COM
36467J108
13015000
333900
SH
DFND
333900
0
0
GAMESTOP
COM
36467W109
730000
230000
SH
Put
DFND
230000
0
0
GAMESTOP
CLA
36467W109
4549000
831700
SH
DFND
831700
0
0
GENOCEA
COM
372427401
20000
1750000
SH
Call
DFND
1750000
0
0
GENOCEA
COMNE
372427401
76000
19460
SH
DFND
19460
0
0
GLOBAL B
COM
37890U108
1883000
35800
SH
DFND
35800
0
0
GLU MOBI
COM
379890106
526000
73238
SH
DFND
73238
0
0
GODADDY
CLA
380237107
557000
7944
SH
DFND
7944
0
0
GOODRICH
COMPA
382410843
1948000
150000
SH
DFND
150000
0
0
GRAFTECH
COM
384313508
2212000
192342
SH
DFND
192342
0
0
GREENSKY
CLA
39572G100
5770000
469494
SH
DFND
469494
0
0
GRUBHUB
COM
400110102
390000
5000
SH
DFND
5000
0
0
HCA HEAL
COM
40412C101
3379000
25000
SH
DFND
25000
0
0
HCP INC
COM
40414L109
2840000
88800
SH
DFND
88800
0
0
HARLEY D
COM
412822108
126000
100000
SH
Put
DFND
100000
0
0
HEALTHCA
CLANE
42225P501
6345000
231300
SH
DFND
231300
0
0
HERON TH
COM
427746102
1859000
100000
SH
DFND
100000
0
0
HOPE BAN
NOTE2
43940TAB5
19576000
21500000
PRN
DFND
21500000
0
0
HORNBECK
COM
440543106
152000
184400
SH
Put
DFND
184400
0
0
HORNBECK
COM
440543106
130000
104369
SH
DFND
104369
0
0
IAC INTE
COM
44919P508
1156000
5313
SH
DFND
5313
0
0
ISTAR IN
COM
45031U101
17000
135300
SH
Put
DFND
135300
0
0
IMPINJ I
COM
453204109
1431000
50000
SH
DFND
50000
0
0
INFINERA
NOTE2
45667GAC7
10234000
15000000
PRN
DFND
15000000
0
0
INSMED I
COMPA
457669307
1024000
40000
SH
DFND
40000
0
0
INVESCO
COM
46138G508
175000
1000000
SH
Put
DFND
1000000
0
0
INVITATI
COM
46187W107
468000
17490
SH
DFND
17490
0
0
ISHARES
COM
464287184
73000
240000
SH
Put
DFND
240000
0
0
ISHARES
COM
464288513
1460000
5000000
SH
Put
DFND
5000000
0
0
KNOWLES
COM
49926D109
916000
50000
SH
DFND
50000
0
0
KOSMOS E
COM
500688106
1951000
311221
SH
DFND
311221
0
0
LTC PPTY
COM
502175102
1288000
28200
SH
DFND
28200
0
0
L3 TECHN
COM
502413107
404279000
1648973
SH
DFND
1648973
0
0
LEISURE
UNIT9
52539T206
4380000
420365
SH
DFND
420365
0
0
LENNAR C
COM
526057104
12000
20000
SH
Put
DFND
20000
0
0
LIBERTY
NOTE1
531229AF9
17039000
14500000
PRN
DFND
14500000
0
0
LIFE STO
COM
53223X107
5049000
53100
SH
DFND
53100
0
0
MGM GROW
CLACO
55303A105
9195000
300000
SH
DFND
300000
0
0
MACQUARI
NOTE2
55608BAB1
884000
1000000
PRN
DFND
1000000
0
0
MARTIN M
COM
573331105
54000
45600
SH
Put
DFND
45600
0
0
MATCH GR
COM
57665R106
911000
13549
SH
DFND
13549
0
0
MATTEL I
COM
577081102
13000
42500
SH
Call
DFND
42500
0
0
MATTEL I
COM
577081102
1293000
1017500
SH
Put
DFND
1017500
0
0
MEDICINE
NOTE2
584688AG0
39542000
40000000
PRN
DFND
40000000
0
0
MID AMER
COM
59522J103
10799000
91700
SH
DFND
91700
0
0
NABORS I
NOTE0
62957HAB1
12112000
17000000
PRN
DFND
17000000
0
0
NATIONAL
COM
63633D104
8751000
112150
SH
DFND
112150
0
0
NATIONAL
COM
637417106
1293000
24400
SH
DFND
24400
0
0
NATIONAL
COM
63845R107
9219000
300000
SH
DFND
300000
0
0
NAVIENT
COM
63938C108
31000
84100
SH
Put
DFND
84100
0
0
NEOGENOM
COMNE
64049M209
1508000
68750
SH
DFND
68750
0
0
NETFLIX
COM
64110L106
410000
30000
SH
Put
DFND
30000
0
0
NETFLIX
COM
64110L106
3958000
10775
SH
DFND
10775
0
0
NUANCE C
DBCV1
67020YAK6
944000
1000000
SH
DFND
1000000
0
0
OSI SYST
NOTE1
671044AD7
2369000
2000000
PRN
DFND
2000000
0
0
OUTFRONT
COM
69007J106
11216000
434900
SH
DFND
434900
0
0
PG&E COR
COM
69331C108
90000
399900
SH
Put
DFND
399900
0
0
PGT INNO
COM
69336V101
1672000
100000
SH
DFND
100000
0
0
PS BUSIN
COM
69360J107
9261000
54950
SH
DFND
54950
0
0
PAGERDUT
COM
69553P100
1045000
22200
SH
DFND
22200
0
0
PARATEK
NOTE4
699374AB0
19526000
27750000
PRN
DFND
27750000
0
0
PARSONS
COM
70202L102
2179000
59103
SH
DFND
59103
0
0
PEBBLEBR
COM
70509V100
2996000
106300
SH
DFND
106300
0
0
PETROLEO
SPONS
71654V408
3892000
250000
SH
DFND
250000
0
0
PITNEY B
COM
724479100
102000
61600
SH
Put
DFND
61600
0
0
POST HLD
COM
737446104
51985000
500000
SH
DFND
500000
0
0
PROLOGIS
COM
74340W103
5435000
67853
SH
DFND
67853
0
0
PROTALIX
NOTE7
74365AAD3
7628000
8000000
PRN
DFND
8000000
0
0
PURE STO
CLA
74624M102
4047000
265000
SH
DFND
265000
0
0
PURE STO
NOTE0
74624MAB8
962000
1000000
PRN
DFND
1000000
0
0
QEP RES
COM
74733V100
161000
93600
SH
Put
DFND
93600
0
0
Q2 HLDGS
COM
74736L109
1451000
19000
SH
DFND
19000
0
0
PYXUS IN
COM
74737V106
701000
94800
SH
Put
DFND
94800
0
0
QUALCOMM
COM
747525103
173000
200000
SH
Call
DFND
200000
0
0
QUALCOMM
COM
747525103
4339000
57045
SH
DFND
57045
0
0
RPM INTL
COM
749685103
26277000
430000
SH
DFND
430000
0
0
RANGE RE
COM
75281A109
127000
54600
SH
Put
DFND
54600
0
0
REALTY I
COM
756109104
3412000
49465
SH
DFND
49465
0
0
RED HAT
COM
756577102
554771000
2954679
SH
DFND
2954679
0
0
RENT A C
COM
76009N100
63000
316400
SH
Put
DFND
316400
0
0
REPLIMUN
COM
76029N106
413000
28200
SH
DFND
28200
0
0
RESTAURA
COM
76131D103
40333000
580000
SH
DFND
580000
0
0
REVLON I
COM
761525609
78000
62500
SH
Put
DFND
62500
0
0
REVOLVE
CLA
76156B107
2598000
75300
SH
DFND
75300
0
0
REXFORD
COM
76169C100
3819000
94600
SH
DFND
94600
0
0
RYMAN HO
COM
78377T107
7704000
95000
SH
DFND
95000
0
0
SPDR S&P
COM
78462F103
1498000
5500000
SH
Call
DFND
5500000
0
0
SPDR S&P
COM
78462F103
229000
750000
SH
Put
DFND
750000
0
0
SPDR GOL
GOLDS
78463V107
2160000
16217
SH
DFND
16217
0
0
SPDR SER
COM
78468R622
338000
1500000
SH
Put
DFND
1500000
0
0
SABRE CO
COM
78573M104
8880000
400000
SH
DFND
400000
0
0
SANOFI
RIGHT
80105N113
604000
1162096
SH
DFND
1162096
0
0
SELECT S
SBIHE
81369Y209
20381000
220000
SH
DFND
220000
0
0
SELECT S
COM
81369Y605
102000
1000000
SH
Put
DFND
1000000
0
0
SELECT S
SBIIN
81369Y605
15180000
550000
SH
DFND
550000
0
0
SENSEONI
NOTE5
81727UAA3
10223000
10000000
PRN
DFND
10000000
0
0
SERVICEN
COM
81762P102
3555000
12947
SH
DFND
12947
0
0
SHOPIFY
CLA
82509L107
488000
1625
SH
DFND
1625
0
0
SKYWORKS
COM
83088M102
11784000
152500
SH
DFND
152500
0
0
SO YOUNG
SPONS
83356Q108
3183000
229165
SH
DFND
229165
0
0
SQUARE I
CLA
852234103
532000
7341
SH
DFND
7341
0
0
STARWOOD
COM
85571B105
10000
60000
SH
Put
DFND
60000
0
0
STORE CA
COM
862121100
5589000
168393
SH
DFND
168393
0
0
SUN CMNT
COM
866674104
19725000
153871
SH
DFND
153871
0
0
TABLEAU
CLA
87336U105
104418000
628950
SH
DFND
628950
0
0
TALEND S
ADS
874224207
579000
15000
SH
DFND
15000
0
0
TELIGENT
NOTE4
87960WAA2
4329000
8000000
PRN
DFND
8000000
0
0
TERRENO
COM
88146M101
9779000
199400
SH
DFND
199400
0
0
TESLA IN
COM
88160R101
4065000
91700
SH
Put
DFND
91700
0
0
TESLA IN
COM
88160R101
14525000
65000
SH
DFND
65000
0
0
TESLA IN
NOTE1
88160RAC5
21850000
23000000
PRN
DFND
23000000
0
0
TESLA IN
NOTE2
88160RAG6
67301000
68500000
PRN
DFND
68500000
0
0
360 FINA
ADS
88557W101
1481000
126050
SH
DFND
126050
0
0
TWITTER
NOTE0
90184LAF9
979000
1000000
PRN
DFND
1000000
0
0
UNITED S
COM
91232N108
14000
710000
SH
Put
DFND
710000
0
0
UNITED S
COM
912909108
90000
1000000
SH
Put
DFND
1000000
0
0
UNITEDHE
COM
91324P102
14641000
60000
SH
DFND
60000
0
0
VERIZON
COM
92343V104
31422000
550000
SH
DFND
550000
0
0
VICI PPT
COM
925652109
12622000
572700
SH
DFND
572700
0
0
VISA INC
COMCL
92826C839
469000
2703
SH
DFND
2703
0
0
VONAGE H
COM
92886T201
835000
73700
SH
DFND
73700
0
0
WEIGHT W
COM
948626106
21000
125000
SH
Call
DFND
125000
0
0
WEIGHT W
COM
948626106
1644000
295000
SH
Put
DFND
295000
0
0
WORLDPAY
CLA
981558109
333539000
2721653
SH
DFND
2721653
0
0
WYNDHAM
COM
98311A105
6561000
117700
SH
DFND
117700
0
0
ZAYO GRO
COM
98919V105
40000
30000
SH
Put
DFND
30000
0
0
ZAYO GRO
COM
98919V105
6582000
200000
SH
DFND
1580575
0
0
ZOOM VID
CLA
98980L101
2401000
27038
SH
DFND
27038
0
0
ZYNGA IN
CLA
98986T108
2281000
372100
SH
DFND
372100
0
0
AXALTA C
COM
G0750C108
138000
100000
SH
Put
DFND
100000
0
0
AXALTA C
COM
G0750C108
5582000
187500
SH
DFND
187500
0
0
ENDO INT
COM
G30401106
260000
1100000
SH
Call
DFND
1100000
0
0
ENDO INT
COM
G30401106
4047000
2165000
SH
Put
DFND
2165000
0
0
ENDO INT
SHS
G30401106
494000
120000
SH
DFND
120000
0
0
HERBALIF
COM
G4412G101
118000
300000
SH
Call
DFND
300000
0
0
HERBALIF
COMSH
G4412G101
7055000
165000
SH
DFND
165000
0
0
MALLINCK
COM
G5785G107
961000
323600
SH
Put
DFND
323600
0
0
ITERUM T
SHS
G6333L101
610000
88689
SH
DFND
88689
0
0
NABORS I
COM
G6359F103
68000
62000
SH
Put
DFND
62000
0
0
NIELSEN
COM
G6518L108
100000
20800
SH
Put
DFND
20800
0
0
TPG PACE
UNIT9
G89827102
9008000
831000
SH
DFND
831000
0
0
VENATOR
SHS
G9329Z100
3968000
750000
SH
DFND
750000
0
0
WILLIS T
SHS
G96629103
47885000
250000
SH
DFND
250000
0
0
TRANSOCE
COM
H8817H100
1727000
1240000
SH
Put
DFND
1240000
0
0
FIVERR I
ORDSH
M4R82T106
1354000
45600
SH
DFND
45600
0
0
INTERXIO
SHS
N47279109
13932000
183100
SH
DFND
183100
0
0