0001132716-23-000020.txt : 20231114 0001132716-23-000020.hdr.sgml : 20231114 20231114101649 ACCESSION NUMBER: 0001132716-23-000020 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 EFFECTIVENESS DATE: 20231114 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: 231402410 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 X0202 13F-HR LIVE false false false 0001132716 XXXXXXXX 09-30-2023 09-30-2023 UBS OCONNOR LLC

ONE NORTH WACKER DRIVE 31ST FLOOR CHICAGO IL 60606

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679295105 8354775 102500 SH DFND 102500 0 0 OMEGA HEAL COM 681936100 9493907 286306 SH DFND 286306 0 0 ON SEMICON COM 682189105 10699567 115111 SH DFND 115111 0 0 OMNILIT AC *WEXP 68218C116 2243 47932 SH DFND 47932 0 0 ONEMAIN HL COM 68268W103 14625 32500 SH Call DFND 32500 0 0 ONEMAIN HL COM 68268W103 24622 20100 SH Put DFND 20100 0 0 OPERA LTD SPONS 68373M107 1408750 125000 SH DFND 125000 0 0 ORACLE COR COM 68389X105 521762 4926 SH DFND 4926 0 0 ORCHARD TH SPONA 68570P200 551038 71010 SH DFND 71010 0 0 ORIC PHARM COM 68622P109 285000 100000 SH Put DFND 100000 0 0 ORIC PHARM COM 68622P109 2126587 351502 SH DFND 351502 0 0 ORTHOPEDIA COM 68752L100 1799008 56219 SH DFND 56219 0 0 ORTHOFIX M COM 68752M108 1389292 108032 SH DFND 108032 0 0 OSIRIS ACQ CLA 68829A103 832288 80570 SH DFND 80570 0 0 OVID THERA COM 690469101 576000 150000 SH DFND 150000 0 0 PTC THERAP COM 69366J200 954688 42601 SH DFND 42601 0 0 PALANTIR T CLA 69608A108 600000 37500 SH DFND 37500 0 0 PALO ALTO COM 697435105 1992740 8500 SH DFND 8500 0 0 PARAGON 28 COM 69913P105 1647627 131285 SH DFND 131285 0 0 PAYPAL HLD COM 70450Y103 8915150 152500 SH DFND 152500 0 0 PELOTON IN COM 70614W100 1361188 1037500 SH Put DFND 1037500 0 0 PELOTON IN NOTE2 70614WAB6 32193764 42500000 PRN DFND 42500000 0 0 PENUMBRA I COM 70975L107 331175 1369 SH DFND 1369 0 0 PETIQ INC NOTE4 71639TAB2 19512243 20000000 PRN DFND 20000000 0 0 PHATHOM PH COM 71722W107 1216194 117280 SH DFND 117280 0 0 PDD HOLDIN SPONS 722304102 3036639 30964 SH DFND 30964 0 0 PRAXIS PRE COM 74006W108 997860 583544 SH DFND 583544 0 0 PRECISION COM 74019P108 456359 1338295 SH DFND 1338295 0 0 PROCEPT BI COM 74276L105 1152156 35116 SH DFND 35116 0 0 PROLOGIS I COM 74340W103 5896074 52545 SH DFND 52545 0 0 PROOF ACQU CLACO 74349W104 4866917 453158 SH DFND 453158 0 0 PROTALIX B NOTE7 74365AAJ0 4382000 4000000 PRN DFND 4000000 0 0 PROTAGONIS COM 74366E102 2272950 136268 SH DFND 136268 0 0 PUBLIC STO COM 74460D109 4649810 17645 SH DFND 17645 0 0 PURE STORA CLA 74624M102 4166222 116963 SH DFND 116963 0 0 QORVO INC COM 74736K101 11280258 118155 SH DFND 118155 0 0 QUALCOMM I COM 747525103 8051850 72500 SH DFND 72500 0 0 QUANTERIX COM 74766Q101 792488 29200 SH DFND 29200 0 0 RPT REALTY SHBEN 74971D101 5114451 484323 SH DFND 484323 0 0 RADIAN GRO COM 750236101 34312 54900 SH Put DFND 54900 0 0 RAPT THERA COM 75382E109 1559222 93816 SH DFND 93816 0 0 REALTY INC COM 756109104 9259026 185403 SH DFND 185403 0 0 RELAY THER COM 75943R102 40000 80000 SH Call DFND 80000 0 0 RELAY THER COM 75943R102 1234975 146846 SH DFND 146846 0 0 REPLIMUNE COM 76029N106 114600 40000 SH Call DFND 40000 0 0 RETAIL OPP COM 76131N101 341688 27600 SH DFND 27600 0 0 REVANCE TH COM 761330109 1018536 88800 SH DFND 88800 0 0 REVANCE TH NOTE1 761330AB5 16176767 20000000 PRN DFND 20000000 0 0 REXFORD IN COM 76169C100 17530897 355236 SH DFND 355236 0 0 REZOLUTE I COMNE 76200L309 735645 557307 SH DFND 557307 0 0 RHYTHM PHA COM 76243J105 49500 45000 SH Call DFND 45000 0 0 RHYTHM PHA COM 76243J105 687750 30000 SH DFND 30000 0 0 RIGEL PHAR COMNE 766559603 1243906 1151765 SH DFND 1151765 0 0 RINGCENTRA CLA 76680R206 271263 9155 SH DFND 9155 0 0 ROKU INC COMCL 77543R102 3103983 43972 SH DFND 43972 0 0 RYANAIR HO SPONS 783513203 23430818 241033 SH DFND 241033 0 0 RYMAN HOSP COM 78377T107 6736519 80890 SH DFND 80890 0 0 SBA COMMUN CLA 78410G104 13572127 67803 SH DFND 67803 0 0 SPDR S&P 5 COM 78462F103 894400 110000 SH Put DFND 110000 0 0 SPDR SER T COM 78464A870 76125 75000 SH Call DFND 75000 0 0 SABRA HEAL COM 78573L106 8536633 612384 SH DFND 612384 0 0 SANOFI SPONS 80105N105 5735779 106931 SH DFND 106931 0 0 SAREPTA TH COM 803607100 229000 10000 SH Call DFND 10000 0 0 SAVARA INC COM 805111101 1437731 380352 SH DFND 380352 0 0 SCHOLAR RO COM 80706P103 1509325 212581 SH DFND 212581 0 0 SCHRODINGE COM 80810D103 1009239 35700 SH DFND 35700 0 0 SCYNEXIS I COMNE 811292200 834523 366019 SH DFND 366019 0 0 SELECT SEC COM 81369Y209 26000 80000 SH Call DFND 80000 0 0 SERVICE PP COM 81761L102 80465 146300 SH Put DFND 146300 0 0 SERVICENOW COM 81762P102 4192200 7500 SH DFND 7500 0 0 SHOULDERUP *WEXP 82537G112 5922 288877 SH DFND 288877 0 0 SILENCE TH ADS 82686Q101 966545 98326 SH DFND 98326 0 0 SILK RD ME COM 82710M100 750 30000 SH Call DFND 30000 0 0 SILK RD ME COM 82710M100 697455 46528 SH DFND 46528 0 0 SILVERBOX COMCL 82836N107 4051448 396036 SH DFND 396036 0 0 SIZZLE ACQ COMMO 83014E109 2523634 231102 SH DFND 231102 0 0 SKYWORKS S COM 83088M102 8627217 87506 SH DFND 87506 0 0 SMARTSHEET COMCL 83200N103 4551750 112500 SH DFND 112500 0 0 SNOWFLAKE CLA 833445109 473281 3098 SH DFND 3098 0 0 SOCIAL LEV *WEXP 83363K110 7342 128141 SH DFND 128141 0 0 SONOS INC COM 83570H108 419575 32500 SH DFND 32500 0 0 SPIRIT AIR COM 848577102 1281000 450000 SH Put DFND 450000 0 0 SPIRIT AIR NOTE1 848577AB8 76516875 91500000 PRN DFND 91500000 0 0 SPLUNK INC NOTE1 848637AF1 5664000 6000000 PRN DFND 6000000 0 0 SPOTIFY US NOTE3 84921RAB6 8550000 10000000 PRN DFND 10000000 0 0 SPRINGWORK COM 85205L107 2155616 93236 SH DFND 93236 0 0 SPRINKLR I CLA 85208T107 2076000 150000 SH DFND 150000 0 0 STARWOOD P COM 85571B105 41300 101200 SH Put DFND 101200 0 0 STRUCTURE SPONS 86366E106 616032 12218 SH DFND 12218 0 0 SUN CMNTYS COM 866674104 5502928 46501 SH DFND 46501 0 0 SUTRO BIOP COM 869367102 1145100 330000 SH DFND 330000 0 0 SYNOPSYS I COM 871607107 4394638 9575 SH DFND 9575 0 0 SYNDAX PHA COM 87164F105 174000 80000 SH Call DFND 80000 0 0 SYNLOGIC I COMNE 87166L209 113940 40548 SH DFND 40548 0 0 TG VENTURE CLASS 87251T109 2444787 226579 SH DFND 226579 0 0 TAL EDUCAT SPONS 874080104 1915988 210317 SH DFND 210317 0 0 TARSUS PHA COM 87650L103 982006 55262 SH DFND 55262 0 0 TERADATA C COM 88076W103 225100 5000 SH DFND 5000 0 0 TERRENO RL COM 88146M101 9362174 164827 SH DFND 164827 0 0 TESLA INC COM 88160R101 625550 2500 SH DFND 2500 0 0 TEVA PHARM SPONS 881624209 1887000 185000 SH DFND 185000 0 0 TETRA TECH COM 88162G103 3343900 21995 SH DFND 21995 0 0 THERMO FIS COM 883556102 1493202 2950 SH DFND 2950 0 0 THESEUS PH COM 88369M101 488106 181452 SH DFND 181452 0 0 THIRD HARM COM 88427A107 798750 125000 SH DFND 125000 0 0 THOR INDS COM 885160101 211875 75000 SH Put DFND 75000 0 0 THUNDER BR *WEXP 88605T118 8919 138065 SH DFND 138065 0 0 TRAVERE TH NOTE2 89422GAA5 16144712 25000000 PRN DFND 25000000 0 0 TREACE MED COM 89455T109 2268082 173004 SH DFND 173004 0 0 TRIP COM G ADS 89677Q107 1748500 50000 SH DFND 50000 0 0 TRIPADVISO COM 896945201 580300 35000 SH DFND 35000 0 0 UDR INC COM 902653104 2691016 75442 SH DFND 75442 0 0 US BANCORP COM 902973304 157250 170000 SH Put DFND 170000 0 0 UBER TECHN COM 90353T100 1149750 25000 SH DFND 25000 0 0 UIPATH INC CLA 90364P105 1668225 97500 SH DFND 97500 0 0 ULTRAGENYX COM 90400D108 108750 95000 SH Call DFND 95000 0 0 ULTRAGENYX COM 90400D108 2742020 76915 SH DFND 76915 0 0 UNION PAC COM 907818108 7999605 39285 SH DFND 39285 0 0 UNITED AIR COM 910047109 57342 333900 SH Put DFND 333900 0 0 UNITED THE COM 91307C102 2829022 12525 SH DFND 12525 0 0 UNITY BIOT COMNE 91381U200 429792 179080 SH DFND 179080 0 0 VALE S A SPONS 91912E105 10251000 765000 SH DFND 765000 0 0 VALERO ENE COM 91913Y100 155000 40000 SH Put DFND 40000 0 0 VANECK ETF COM 92189F106 97500 500000 SH Call DFND 500000 0 0 VANECK ETF GOLDM 92189F106 1345500 50000 SH DFND 50000 0 0 VANECK ETF COM 92189F676 287250 105000 SH Put DFND 105000 0 0 VAXCYTE IN COM 92243G108 509800 10000 SH DFND 10000 0 0 VENTYX BIO COM 92332V107 112500 30000 SH Call DFND 30000 0 0 VENTYX BIO COM 92332V107 115500 35000 SH Put DFND 35000 0 0 VENTYX BIO COM 92332V107 1578930 45463 SH DFND 45463 0 0 VERASTEM I COMNE 92337C203 1267500 155904 SH DFND 155904 0 0 VERA THERA CLA 92337R101 2440257 177991 SH DFND 177991 0 0 VERONA PHA SPONS 925050106 1428336 87628 SH DFND 87628 0 0 VICI PPTYS COM 925652109 55372 32100 SH Put DFND 32100 0 0 VICI PPTYS COM 925652109 6488922 222987 SH DFND 222987 0 0 VIKING THE COM 92686J106 641008 57905 SH DFND 57905 0 0 VIR BIOTEC COM 92764N102 356060 38000 SH DFND 38000 0 0 VIRIDIAN T COM 92790C104 1301384 84836 SH DFND 84836 0 0 VISION SEN CLASS 92838J103 2773453 254212 SH DFND 254212 0 0 VIZIO HLDG CLACO 92858V101 270500 50000 SH DFND 50000 0 0 VULCAN MAT COM 929160109 8224234 40710 SH DFND 40710 0 0 ELME COMMU SHBEN 939653101 10661952 781668 SH DFND 781668 0 0 WAYFAIR IN CLA 94419L101 847980 14000 SH DFND 14000 0 0 WELLTOWER COM 95040Q104 5610127 68483 SH DFND 68483 0 0 WESTERN DI COM 958102105 63438 14500 SH Put DFND 14500 0 0 WINVEST AC *WEXP 97655B117 276 18392 SH DFND 18392 0 0 WORKDAY IN CLA 98138H101 3437600 16000 SH DFND 16000 0 0 WYNDHAM HO COM 98311A105 11951909 171871 SH DFND 171871 0 0 XPO INC COM 983793100 8268147 110744 SH DFND 110744 0 0 XENON PHAR COM 98420N105 1662772 48676 SH DFND 48676 0 0 X4 PHARMAC COM 98420X103 1700385 1559986 SH DFND 1559986 0 0 XEROX HOLD COM 98421M106 551690 248800 SH Put DFND 248800 0 0 ZTO EXPRES SPONS 98980A105 543583 22490 SH DFND 22490 0 0 ZSCALER IN COM 98980G102 4667700 30000 SH DFND 30000 0 0 ZOOM VIDEO CLA 98980L101 699400 10000 SH DFND 10000 0 0 ZYMEWORKS COM 98985Y108 2183952 344472 SH DFND 344472 0 0 ALSP ORCHI *WEXP G0231L123 2145 62909 SH DFND 62909 0 0 ALCHEMY IN UNIT1 G0232F117 1566000 150000 SH DFND 150000 0 0 AP ACQUISI CLAOR G04058106 2986767 271895 SH DFND 271895 0 0 APX ACQUIS CLASS G0440J109 2982688 271895 SH DFND 271895 0 0 APX ACQUIS *WEXP G0440J125 5239 91439 SH DFND 91439 0 0 AXALTA COA COM G0750C108 2293225 85250 SH DFND 85250 0 0 BATTERY FU CLAOR G0888J108 2465180 226579 SH DFND 226579 0 0 BIOPLUS AC CLASS G11217117 4907701 453158 SH DFND 453158 0 0 BIOPLUS AC *WEXP G11217125 12690 182071 SH DFND 182071 0 0 BLUESCAPE *WEXP G1195N113 1971 226519 SH DFND 226519 0 0 BLUERIVER *WEXP G1261Q115 2649 49521 SH DFND 49521 0 0 CAPRI HOLD COM G1890L107 110555 13900 SH Put DFND 13900 0 0 CAPRI HOLD SHS G1890L107 731279 13900 SH DFND 1661294 0 0 CARTESIAN CLASS G19305112 5768280 534100 SH DFND 534100 0 0 CC NEUBERG SHSCL G1992N100 4364044 400371 SH DFND 400371 0 0 CC NEUBERG *WEXP G1992N126 15088 73635 SH DFND 73635 0 0 CHENGHE AC CLASS G2086M107 4820249 445083 SH DFND 445083 0 0 COLISEUM A CLASS G2263T123 2435815 231102 SH DFND 231102 0 0 CSLM ACQUI CLASS G2365L101 2424395 226579 SH DFND 226579 0 0 CSLM ACQUI *WEXP G2365L119 2586 68781 SH DFND 68781 0 0 CORNER GRO *WEXP G2425N113 8754 109287 SH DFND 109287 0 0 CORNER GRO *WEXP G2426E120 16450 116665 SH DFND 116665 0 0 DISRUPTIVE *WEXP G2770Y128 4619 84138 SH DFND 84138 0 0 CONSTELLAT SHSCL G2R18K105 2518030 233367 SH DFND 233367 0 0 CONSTELLAT *WEXP G2R18K113 3909 139600 SH DFND 139600 0 0 ESTABLISHM COM G31249108 1957991 39902 SH DFND 39902 0 0 ENPHYS ACQ CLAOR G3167L109 1869346 178033 SH DFND 178033 0 0 ARES ACQUI SHSCL G33033104 2542051 247522 SH DFND 247522 0 0 FORBION EU CLASS G3619H102 1992080 181263 SH DFND 181263 0 0 FRONTIER I *WEXP G36816125 3714 32524 SH DFND 32524 0 0 GENERATION CLAOR G38258102 5579600 520000 SH DFND 520000 0 0 GENERATION *WEXP G38258128 37364 938800 SH DFND 938800 0 0 GLOBAL PAR *WEXP G3934P128 120 37521 SH DFND 37521 0 0 FINNOVATE CLASS G3R34K103 2267113 207992 SH DFND 207992 0 0 FINNOVATE *WEXP G3R34K111 5868 130406 SH DFND 130406 0 0 GRAB HOLDI CLASS G4124C109 3132900 885000 SH DFND 885000 0 0 HCM ACQUIS CLASS G4365A101 1993893 181263 SH DFND 181263 0 0 HAYMAKER A CLASS G4375F108 1525500 150000 SH DFND 150000 0 0 PEARL HOLD CLASS G44525106 2428927 226579 SH DFND 226579 0 0 HOLLYSYS A SHS G45667105 1856429 93570 SH DFND 93570 0 0 HORIZON TH SHS G46188101 886676504 7664245 SH DFND 7664245 0 0 ICON PLC SHS G4705A100 503581 2045 SH DFND 2045 0 0 INFINT ACQ *WEXP G47862126 4356 115551 SH DFND 115551 0 0 INFLECTION CLAOR G4790U102 3063000 300000 SH DFND 300000 0 0 INTEGRATED ORDSH G4828B100 1986642 181263 SH DFND 181263 0 0 INVESTCORP CLASS G4923T105 2465180 226579 SH DFND 226579 0 0 JAWS MUSTA *WEXP G50737124 6851 172581 SH DFND 172581 0 0 JAZZ PHARM SHSUS G50871105 907892 7014 SH DFND 7014 0 0 JOHNSON CT SHS G51502105 4198588 78906 SH DFND 78906 0 0 KINIKSA PH COMCL G5269C101 1848568 106423 SH DFND 106423 0 0 LEARN CW I CLAOR G54157105 4920151 462203 SH DFND 462203 0 0 LINDE PLC SHS G54950103 2531980 6800 SH DFND 6800 0 0 MEDTRONIC SHS G5960L103 4685615 59796 SH DFND 59796 0 0 APTIV PLC SHS G6095L109 6916088 70150 SH DFND 70150 0 0 MOUNTAIN & *WEXP G6301J112 20491 136155 SH DFND 136155 0 0 ALPHA PART CLASS G63290111 3913941 369763 SH DFND 369763 0 0 NABORS ENE CLA G6363K106 3563000 350000 SH DFND 350000 0 0 NORWEGIAN COM G66721104 106890 55100 SH Put DFND 55100 0 0 NORWEGIAN SHS G66721104 3922751 238031 SH DFND 238031 0 0 NOVOCURE L COM G6674U108 19375 25000 SH Call DFND 25000 0 0 NVENT ELEC SHS G6700G107 7072575 133470 SH DFND 133470 0 0 PATRIA LAT CLASS G69454109 3913176 356067 SH DFND 356067 0 0 PERCEPTION CLASS G7007D102 2141723 192601 SH DFND 192601 0 0 PERCEPTION *WEXP G7007D110 23226 231101 SH DFND 231101 0 0 PLUM ACQUI CLASS G7134L126 2488969 231102 SH DFND 231102 0 0 PYROPHYTE CLAOR G7308P101 2781941 254990 SH DFND 254990 0 0 RCF ACQUIS CLACO G7330C102 2528256 231102 SH DFND 231102 0 0 RIGEL RESO CLAOR G7573M106 5033391 462203 SH DFND 462203 0 0 ROADZEN IN *WEXP G7606H116 2600 68781 SH DFND 68781 0 0 RMG ACQUIS *WEXP G76088122 25772 184086 SH DFND 184086 0 0 ROIVANT SC SHS G76279101 1917984 164211 SH DFND 164211 0 0 ROSS ACQUI SHSCL G7641C106 4960382 461002 SH DFND 461002 0 0 SCREAMING CLASS G79407105 26070201 2492371 SH DFND 2492371 0 0 SDCL EDGE CLAOR G79471101 2449681 231102 SH DFND 231102 0 0 SDCL EDGE *WEXP G79471127 8887 71043 SH DFND 71043 0 0 SEMPER PAR *WEXP G8028L131 8994 186593 SH DFND 186593 0 0 SK GROWTH CLASS G8192N103 9564844 890167 SH DFND 890167 0 0 SLAM CORP CLASH G8210L105 2856398 264972 SH DFND 264972 0 0 STONEBRIDG *WEXP G85094129 3841 138661 SH DFND 138661 0 0 TLGY ACQUI CLASS G8656T109 2491236 226579 SH DFND 226579 0 0 TORTOISEEC SHSCL G8956E109 4843887 462203 SH DFND 462203 0 0 TRISTAR AC CLAOR G9074V106 1249768 116910 SH DFND 116910 0 0 ZURA BIO L CLASS G9TY5A101 1103302 167167 SH DFND 167167 0 0 ON HLDG AG NAMEN H5919C104 8206900 295000 SH DFND 295000 0 0 TRANSOCEAN COM H8817H100 733125 425000 SH Put DFND 425000 0 0 AFFIMED N COM N01045108 391960 820000 SH DFND 820000 0 0 ELASTIC N ORDSH N14506104 9951900 122500 SH DFND 122500 0 0 INFLARX NV COM N44821101 1162200 390000 SH DFND 390000 0 0 MERUS N V COM N5749R100 3586659 152106 SH DFND 152106 0 0 NEWAMSTERD ORDIN N62509109 416250 45000 SH DFND 45000 0 0 PROQR THRA SHSEU N71542109 246126 189328 SH DFND 189328 0 0 UNIQURE NV COM N90064101 29250 90000 SH Call DFND 90000 0 0 UNIQURE NV SHS N90064101 596955 88965 SH DFND 88965 0 0