0001140361-17-042554.txt : 20171114 0001140361-17-042554.hdr.sgml : 20171114 20171114125347 ACCESSION NUMBER: 0001140361-17-042554 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171114 DATE AS OF CHANGE: 20171114 EFFECTIVENESS DATE: 20171114 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: 171199926 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 09-30-2017 09-30-2017 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 11-14-2017 1 208 1406661 false 1 0001615423 028-16235 Compagnie Lombard Odier SCmA
INFORMATION TABLE 2 form13fInfoTable.xml WHIRLPOOL CORP COM 963320106 553 3000 SH Put DFND 3000 0 0 BARD C R INC COM 067383109 1603 5000 SH DFND 5000 0 0 LANDAUER INC COM 51476K103 337 5000 SH DFND 5000 0 0 WHIRLPOOL CORP COM 963320106 1107 6000 SH DFND 6000 0 0 WHIRLPOOL CORP COM 963320106 1273 6900 SH Call DFND 6900 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 1445 8000 SH DFND 8000 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 1445 8000 SH Put DFND 8000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 692 9000 SH DFND 9000 0 0 AETNA INC NEW COM 00817Y108 1590 10000 SH DFND 10000 0 0 BOB EVANS FARMS INC COM 096761101 775 10000 SH DFND 10000 0 0 KITE PHARMA INC COM 49803L109 1798 10000 SH Put DFND 10000 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 161 10000 SH DFND 10000 0 0 POSCO SPONSORED ADR 693483109 694 10000 SH DFND 10000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1216 10000 SH Call DFND 10000 0 0 WEST CORP COM 952355204 235 10000 SH Put DFND 10000 0 0 HUMANA INC COM 444859102 2680 11000 SH DFND 11000 0 0 SIRIUS XM HLDGS INC COM 82968B103 61 11058 SH DFND 11058 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2889 11500 SH Call DFND 11500 0 0 BARD C R INC COM 067383109 4006 12500 SH Put DFND 12500 0 0 CYBERARK SOFTWARE LTD SHS M2682V108 581 14174 SH DFND 14174 0 0 BIO RAD LABS INC CL A 090572207 3333 15000 SH DFND 15000 0 0 GENERAL MTRS CO COM 37045V100 606 15000 SH Call DFND 15000 0 0 MOLSON COORS BREWING CO CL B 60871R209 1225 15000 SH Call DFND 15000 0 0 MONSANTO CO NEW COM 61166W101 1797 15000 SH DFND 15000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 963 15000 SH Call DFND 15000 0 0 QUALCOMM INC COM 747525103 778 15000 SH DFND 15000 0 0 ROCKWELL COLLINS INC COM 774341101 1961 15000 SH DFND 15000 0 0 TRIBUNE MEDIA CO CL A 896047503 613 15000 SH DFND 15000 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 123 16000 SH Call DFND 16000 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 312 19000 SH Call DFND 19000 0 0 EDGEWELL PERS CARE CO COM 28035Q102 1419 19500 SH Call DFND 19500 0 0 AMAZON COM INC COM 023135106 19227 20000 SH DFND 20000 0 0 CHARLES RIV LABS INTL INC COM 159864107 2160 20000 SH DFND 20000 0 0 COOPER COS INC COM NEW 216648402 4742 20000 SH DFND 20000 0 0 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 1718 20000 SH DFND 20000 0 0 ANADARKO PETE CORP COM 032511107 1124 23000 SH Call DFND 23000 0 0 ACCELERATE DIAGNOSTICS INC COM 00430H102 561 25000 SH DFND 25000 0 0 EXA CORP COM 300614500 605 25000 SH DFND 25000 0 0 PHARMERICA CORP COM 71714F104 733 25000 SH DFND 25000 0 0 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 2147 25000 SH Put DFND 25000 0 0 TRIBUNE MEDIA CO CL A 896047503 1022 25000 SH Put DFND 25000 0 0 TRIPADVISOR INC COM 896945201 1013 25000 SH Call DFND 25000 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 769 25000 SH DFND 25000 0 0 CISCO SYS INC COM 17275R102 921 27400 SH DFND 27400 0 0 QUALCOMM INC COM 747525103 1452 28000 SH Call DFND 28000 0 0 AKORN INC COM 009728106 996 30000 SH DFND 30000 0 0 ALERE INC COM 01449J105 1530 30000 SH Put DFND 30000 0 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 384 30000 SH DFND 30000 0 0 IDEXX LABS INC COM 45168D104 5442 35000 SH DFND 35000 0 0 KINDER MORGAN INC DEL COM 49456B101 671 35000 SH DFND 35000 0 0 SCHEIN HENRY INC COM 806407102 2870 35000 SH DFND 35000 0 0 TESLA INC COM 88160R101 11939 35000 SH Put DFND 35000 0 0 CIT GROUP INC COM NEW 125581801 1863 37977 SH DFND 37977 0 0 NETEASE INC SPONSORED ADR 64110W102 10420 39500 SH DFND 39500 0 0 DOWDUPONT INC COM 26078J100 2740 39581 SH DFND 39581 0 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 478 40000 SH DFND 40000 0 0 CALPINE CORP COM NEW 131347304 590 40000 SH DFND 40000 0 0 CLEVELAND CLIFFS INC COM 185899101 286 40000 SH DFND 40000 0 0 MEDTRONIC PLC SHS G5960L103 3111 40000 SH DFND 40000 0 0 TIFFANY & CO NEW COM 886547108 3677 40067 SH DFND 40067 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 1082 41500 SH DFND 41500 0 0 ULTIMATE SOFTWARE GROUP INC COM 90385D107 7895 41639 SH DFND 41639 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 706 43000 SH Put DFND 43000 0 0 BIOSCRIP INC COM 09069N108 128 46677 SH DFND 46677 0 0 KRATON CORPORATION COM 50077C106 2022 50000 SH Call DFND 50000 0 0 MONEYGRAM INTL INC COM NEW 60935Y208 806 50000 SH Put DFND 50000 0 0 SABRA HEALTH CARE REIT INC COM 78573L106 1101 50193 SH DFND 50193 0 0 PATTERSON COMPANIES INC COM 703395103 2048 53000 SH DFND 53000 0 0 LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 531229607 2229 53234 SH DFND 53234 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 887 54000 SH DFND 54000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 8705 60000 SH Call DFND 60000 0 0 RIO TINTO PLC SPONSORED ADR 767204100 2831 60000 SH DFND 60000 0 0 APPLE INC COM 037833100 9633 62500 SH DFND 62500 0 0 BAXTER INTL INC COM 071813109 4393 70000 SH DFND 70000 0 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 837 70000 SH Put DFND 70000 0 0 DIAMONDBACK ENERGY INC COM 25278X109 6859 70018 SH DFND 70018 0 0 BHP BILLITON PLC SPONSORED ADR 05545E209 2616 73808 SH DFND 73808 0 0 AKORN INC COM 009728106 2489 75000 SH Put DFND 75000 0 0 CALPINE CORP COM NEW 131347304 1106 75000 SH Put DFND 75000 0 0 DIPLOMAT PHARMACY INC COM 25456K101 1553 75000 SH DFND 75000 0 0 HOWARD HUGHES CORP COM 44267D107 8855 75083 SH DFND 75083 0 0 TERNIUM SA SPON ADR 880890108 2351 76000 SH DFND 76000 0 0 BRASKEM S A SP ADR PFD A 105532105 2059 77000 SH DFND 77000 0 0 ABERCROMBIE & FITCH CO CL A 002896207 1116 77318 SH DFND 77318 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 11287 77800 SH DFND 77800 0 0 C&J ENERGY SVCS INC NEW COM 12674R100 2398 80000 SH DFND 80000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 9047 80000 SH DFND 80000 0 0 TIME WARNER INC COM NEW 887317303 8688 84800 SH Put DFND 84800 0 0 NETFLIX INC COM 64110L106 15415 85000 SH DFND 85000 0 0 LUMENTUM HLDGS INC COM 55024U109 4690 86297 SH DFND 86297 0 0 PTC INC COM 69370C100 4896 87000 SH DFND 87000 0 0 ILG INC COM 44967H101 2327 87073 SH DFND 87073 0 0 TIFFANY & CO NEW COM 886547108 8077 88000 SH Put DFND 88000 0 0 CISCO SYS INC COM 17275R102 2970 88300 SH Call DFND 88300 0 0 NXP SEMICONDUCTORS N V COM N6596X109 10178 90000 SH Put DFND 90000 0 0 DRIL-QUIP INC COM 262037104 4194 95000 SH DFND 95000 0 0 COMMERCIAL METALS CO COM 201723103 1846 97000 SH DFND 97000 0 0 ALCOA CORP COM 013872106 4545 97500 SH Call DFND 97500 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 17271 100000 SH DFND 100000 0 0 COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 203668116 1 100000 SH DFND 100000 0 0 GREENHILL & CO INC COM 395259104 1660 100000 SH Put DFND 100000 0 0 HARLEY DAVIDSON INC COM 412822108 4821 100000 SH Put DFND 100000 0 0 MBIA INC COM 55262C100 870 100000 SH Call DFND 100000 0 0 REPLIGEN CORP COM 759916109 3832 100000 SH DFND 100000 0 0 WYNN RESORTS LTD COM 983134107 14892 100000 SH DFND 100000 0 0 ASSURED GUARANTY LTD COM G0585R106 3775 100000 SH Put DFND 100000 0 0 NABORS INDUSTRIES LTD SHS G6359F103 807 100000 SH Call DFND 100000 0 0 CONSTELLIUM NV CL A N22035104 1025 100000 SH Call DFND 100000 0 0 SERVICE CORP INTL COM 817565104 3461 100317 SH DFND 100317 0 0 COTT CORP QUE COM 22163N106 1538 102497 SH DFND 102497 0 0 LAUDER ESTEE COS INC CL A 518439104 11237 104200 SH Call DFND 104200 0 0 MICROSEMI CORP COM 595137100 5490 106634 SH DFND 106634 0 0 NXP SEMICONDUCTORS N V COM N6596X109 12440 110000 SH Call DFND 110000 0 0 INTERACTIVE BROKERS GROUP IN COM 45841N107 5147 114270 SH DFND 114270 0 0 PIONEER NAT RES CO COM 723787107 17237 116830 SH DFND 116830 0 0 ALCOA CORP COM 013872106 5553 119110 SH DFND 119110 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 2713 120000 SH Call DFND 120000 0 0 LULULEMON ATHLETICA INC COM 550021109 8179 131387 SH DFND 131387 0 0 PDC ENERGY INC COM 69327R101 6619 135000 SH DFND 135000 0 0 KROGER CO COM 501044101 2808 140000 SH Call DFND 140000 0 0 OIL STS INTL INC COM 678026105 3803 150000 SH DFND 150000 0 0 SCHLUMBERGER LTD COM 806857108 10464 150000 SH DFND 150000 0 0 TARGET CORP COM 87612E106 8852 150000 SH Call DFND 150000 0 0 CIMAREX ENERGY CO COM 171798101 17158 150948 SH DFND 150948 0 0 NABORS INDUSTRIES LTD SHS G6359F103 1235 153000 SH DFND 153000 0 0 CATALENT INC COM 148806102 6201 155346 SH DFND 155346 0 0 GLAUKOS CORP COM 377322102 5227 158387 SH DFND 158387 0 0 THOR INDS INC COM 885160101 20146 160000 SH DFND 160000 0 0 ALTABA INC COM 021346101 10826 163435 SH DFND 163435 0 0 VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 3142 168543 SH DFND 168543 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 24490 168800 SH Put DFND 168800 0 0 ENERGEN CORP COM 29265N108 9374 171440 SH DFND 171440 0 0 U S SILICA HLDGS INC COM 90346E103 5338 171800 SH DFND 171800 0 0 ALTABA INC COM 021346101 11400 172100 SH Put DFND 172100 0 0 AUTODESK INC COM 052769106 19646 175000 SH DFND 175000 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 18447 175000 SH DFND 175000 0 0 THE TRADE DESK INC COM CL A 88339J105 10817 175863 SH DFND 175863 0 0 TIME WARNER INC COM NEW 887317303 18665 182191 SH DFND 182191 0 0 NORDSTROM INC COM 655664100 8723 185000 SH Call DFND 185000 0 0 ASSURED GUARANTY LTD COM G0585R106 7028 186184 SH DFND 186184 0 0 CENTENNIAL RESOURCE DEV INC CL A 15136A102 3515 195614 SH DFND 195614 0 0 RSP PERMIAN INC COM 74978Q105 6913 199849 SH DFND 199849 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 29636 200000 SH Put DFND 200000 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 17652 200000 SH DFND 200000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 20446 200000 SH DFND 200000 0 0 ASSURED GUARANTY LTD COM G0585R106 7550 200000 SH Call DFND 200000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS UNIT 99/99/9999 G8250R111 2110 200000 SH DFND 200000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 9893 203068 SH DFND 203068 0 0 HYATT HOTELS CORP COM CL A 448579102 12593 203800 SH Call DFND 203800 0 0 YANDEX N V SHS CLASS A N97284108 6755 205000 SH DFND 205000 0 0 FOSSIL GROUP INC COM 34988V106 1919 205700 SH DFND 205700 0 0 FOSSIL GROUP INC COM 34988V106 1919 205700 SH Put DFND 205700 0 0 RENT A CTR INC NEW COM 76009N100 2371 206500 SH Call DFND 206500 0 0 TRIPADVISOR INC COM 896945201 8533 210544 SH DFND 210544 0 0 KRATON CORPORATION COM 50077C106 9032 223337 SH DFND 223337 0 0 BAYTEX ENERGY CORP COM 07317Q105 753 250000 SH DFND 250000 0 0 PAYPAL HLDGS INC COM 70450Y103 16008 250000 SH DFND 250000 0 0 PARSLEY ENERGY INC CL A 701877102 6824 259077 SH DFND 259077 0 0 CARVANA CO CL A 146869102 3956 269457 SH DFND 269457 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 14616 300000 SH Call DFND 300000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 1290 300000 SH Put DFND 300000 0 0 EVOLENT HEALTH INC CL A 30050B101 5340 300000 SH DFND 300000 0 0 NQ MOBILE INC ADR REPSTG CL A 64118U108 1050 300000 SH Call DFND 300000 0 0 LIBERTY GLOBAL PLC LILAC SHS CL A G5480U138 7128 300000 SH Call DFND 300000 0 0 SRC ENERGY INC COM 78470V108 2929 302930 SH DFND 302930 0 0 GRAN TIERRA ENERGY INC COM 38500T101 718 315000 SH DFND 315000 0 0 CALLON PETE CO DEL COM 13123X102 3554 316176 SH DFND 316176 0 0 UNITED STATES STL CORP NEW COM 912909108 8211 320000 SH Put DFND 320000 0 0 HALCON RES CORP COM PAR NEW 40537Q605 2312 340000 SH DFND 340000 0 0 MBIA INC COM 55262C100 3080 354073 SH DFND 354073 0 0 RETROPHIN INC COM 761299106 9462 380169 SH DFND 380169 0 0 COMMSCOPE HLDG CO INC COM 20337X109 13013 391853 SH DFND 391853 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 8944 400000 SH Put DFND 400000 0 0 NEOPHOTONICS CORP COM 64051T100 2224 400000 SH Call DFND 400000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 100492 400000 SH Put DFND 400000 0 0 CONTINENTAL RESOURCES INC COM 212015101 15521 402000 SH DFND 402000 0 0 GOGO INC COM 38046C109 5115 433071 SH DFND 433071 0 0 CLEVELAND CLIFFS INC COM 185899101 3218 450000 SH Put DFND 450000 0 0 SIRIUS XM HLDGS INC COM 82968B103 2658 481600 SH Put DFND 481600 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06746L422 14031 499975 SH Put DFND 499975 0 0 IGNYTA INC COM 451731103 6175 500000 SH DFND 500000 0 0 SEAWORLD ENTMT INC COM 81282V100 6495 500000 SH Call DFND 500000 0 0 SPROUTS FMRS MKT INC COM 85208M102 9385 500000 SH Call DFND 500000 0 0 CYMABAY THERAPEUTICS INC COM 23257D103 4232 525000 SH DFND 525000 0 0 PIERIS PHARMACEUTICALS INC COM 720795103 3877 673078 SH DFND 673078 0 0 LIBERTY GLOBAL PLC LILAC SHS CL A G5480U138 16012 673916 SH DFND 673916 0 0 LAUREATE EDUCATION INC CL A 518613203 10913 750000 SH DFND 750000 0 0 CONSTELLIUM NV CL A N22035104 7917 772392 SH DFND 772392 0 0 QEP RES INC COM 74733V100 7713 900000 SH DFND 900000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 49291 1100000 SH Call DFND 1100000 0 0 MARATHON OIL CORP COM 565849106 15933 1175000 SH DFND 1175000 0 0 NQ MOBILE INC ADR REPSTG CL A 64118U108 4143 1183672 SH DFND 1183672 0 0 ZOSANO PHARMA CORP COM 98979H103 1152 1400000 SH DFND 1400000 0 0 NEOPHOTONICS CORP COM 64051T100 8242 1482349 SH DFND 1482349 0 0 ENDOLOGIX INC COM 29266S106 7136 1600000 SH DFND 1600000 0 0 AK STL CORP NOTE 5.000%11/1 001546AP5 4024 3000000 PRN DFND 3000000 0 0 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 2731 3500000 PRN DFND 3500000 0 0 BOTTOMLINE TECH DEL INC NOTE 1.500%12/0 101388AA4 7182 6750000 PRN DFND 6750000 0 0 ARBOR RLTY TR INC NOTE 6.500%10/0 038923AA6 8649 8066000 PRN DFND 8066000 0 0 APOLLO COML REAL EST FIN INC NOTE 5.500% 3/1 03762UAA3 11011 10152000 PRN DFND 10152000 0 0 LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 6110 11058000 PRN DFND 11058000 0 0 VECTOR GROUP LTD FRNT 4/1 92240MBC1 20629 18000000 PRN DFND 18000000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 17450 18975000 PRN DFND 18975000 0 0 SHIP FINANCE INTERNATIONAL L NOTE 3.250% 2/0 G81075AE6 21519 19500000 PRN DFND 19500000 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 61866 19873000 PRN DFND 19873000 0 0 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 23282 20000000 PRN DFND 20000000 0 0 INTEL CORP SDCV 2.950%12/1 458140AD2 28448 20000000 PRN DFND 20000000 0 0 YUME INC COM 98872B104 1175 326000 SH DFND 326000 0 0