0001132716-24-000030.txt : 20240814 0001132716-24-000030.hdr.sgml : 20240814 20240814095326 ACCESSION NUMBER: 0001132716-24-000030 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240630 FILED AS OF DATE: 20240814 DATE AS OF CHANGE: 20240814 EFFECTIVENESS DATE: 20240814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OCONNOR, A Distinct Business Unit of UBS ASSET MANAGEMENT AMERICAS (LLC) CENTRAL INDEX KEY: 0001132716 ORGANIZATION NAME: 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: 241204771 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 FORMER COMPANY: FORMER CONFORMED NAME: UBS OCONNOR LLC DATE OF NAME CHANGE: 20010118 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001132716 XXXXXXXX 06-30-2024 06-30-2024 OCONNOR, A Distinct Business Unit of UBS ASSET MANAGEMENT AMERICAS (LLC)

ONE NORTH WACKER DRIVE 31ST FLOOR CHICAGO IL 60606

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COMNE 74006W207 1477751 35729 SH DFND 35729 0 0 PRECISION COMNE 74019P207 112343 11546 SH DFND 11546 0 0 PROLOGIS I COM 74340W103 1715984 15279 SH DFND 15279 0 0 PROTALIX B NOTE7 74365AAJ0 4000000 4000000 PRN DFND 4000000 0 0 PROTAGONIS COM 74366E102 2364204 68231 SH DFND 68231 0 0 PUBLIC SVC COM 744573106 10067420 136600 SH DFND 136600 0 0 PUBLIC STO COM 74460D109 3232898 11239 SH DFND 11239 0 0 Q32 BIO IN COM 746964105 215400 12000 SH DFND 12000 0 0 QORVO INC COM 74736K101 14214900 122500 SH DFND 122500 0 0 QUALCOMM I COM 747525103 1394260 7000 SH DFND 7000 0 0 RANGE RES COM 75281A109 4446078 132600 SH DFND 132600 0 0 RAPT THERA COM 75382E109 9375 25000 SH Call DFND 25000 0 0 REALTY INC COM 756109104 755326 14300 SH DFND 14300 0 0 REGENXBIO COM 75901B107 821328 70199 SH DFND 70199 0 0 REPLIMUNE COM 76029N106 1857924 206436 SH DFND 206436 0 0 RETAIL OPP COM 76131N101 4224907 339896 SH DFND 339896 0 0 REVANCE TH COM 761330109 3000 120000 SH Call DFND 120000 0 0 REVANCE TH COM 761330109 836057 325314 SH DFND 325314 0 0 REVANCE TH NOTE1 761330AB5 26331446 40000000 PRN DFND 40000000 0 0 REXFORD IN COM 76169C100 4015196 90047 SH DFND 90047 0 0 REZOLUTE I COMNE 76200L309 1968269 457737 SH DFND 457737 0 0 RIGEL PHAR COM 766559702 759923 92448 SH DFND 92448 0 0 ROKU INC COMCL 77543R102 419510 7000 SH DFND 7000 0 0 RYANAIR HO SPONS 783513203 23106004 198437 SH DFND 198437 0 0 RYMAN HOSP COM 78377T107 3886651 38921 SH DFND 38921 0 0 SBA COMMUN CLA 78410G104 3926000 20000 SH DFND 20000 0 0 SPDR S&P 5 COM 78462F103 226500 100000 SH Put DFND 100000 0 0 SPDR SER T COM 78464A755 152105 104900 SH Put DFND 104900 0 0 SPDR SER T COM 78464A870 64200 60000 SH Call DFND 60000 0 0 SABRA HEAL COM 78573L106 5509042 357730 SH DFND 357730 0 0 SABRE CORP COM 78573M104 543994 688600 SH Put DFND 688600 0 0 SALESFORCE COM 79466L302 5142000 20000 SH DFND 20000 0 0 SANOFI COM 80105N105 22500 30000 SH Call DFND 30000 0 0 SANOFI SPONS 80105N105 3219302 66350 SH DFND 66350 0 0 SAREPTA TH COM 803607100 40500 15000 SH Call DFND 15000 0 0 SAREPTA TH COM 803607100 5625 15000 SH Put DFND 15000 0 0 SAREPTA TH COM 803607100 316000 2000 SH DFND 2000 0 0 SAVARA INC COM 805111101 177231 43978 SH DFND 43978 0 0 SCHRODINGE COM 80810D103 33500 70000 SH Call DFND 70000 0 0 SCHRODINGE COM 80810D103 387013 20011 SH DFND 20011 0 0 SCYNEXIS I COMNE 811292200 290566 145283 SH DFND 145283 0 0 SELECT SEC COM 81369Y209 23400 45000 SH Call DFND 45000 0 0 SHERWIN WI COM 824348106 10228688 34275 SH DFND 34275 0 0 SHOPIFY IN CLA 82509L107 858650 13000 SH DFND 13000 0 0 SILENCE TH ADS 82686Q101 1459960 76840 SH DFND 76840 0 0 SILVERBOW COM 82836G102 18359580 485318 SH DFND 485318 0 0 SILVERBOX COMCL 82836N107 2896217 273228 SH DFND 273228 0 0 SILVERBOX *WEXP 82836N115 13206 91076 SH DFND 91076 0 0 SINCLAIR I COM 829242106 79315 109400 SH Put DFND 109400 0 0 SKILLSOFT CLA 83066P309 576600 41692 SH DFND 41692 0 0 SMARTSHEET COMCL 83200N103 988097 22416 SH DFND 22416 0 0 SNAP INC CLA 83304A106 290675 17500 SH DFND 17500 0 0 SOLENO THE COM 834203309 612000 15000 SH DFND 15000 0 0 SONOS INC COM 83570H108 811800 55000 SH DFND 55000 0 0 SOUTHERN C COM 842587107 14761571 190300 SH DFND 190300 0 0 SOUTHWEST COM 844741108 5012472 175200 SH DFND 175200 0 0 SPECTAIRE *WEXP 84753T117 10423 231101 SH DFND 231101 0 0 SPIRIT AIR NOTE1 848577AB8 38429820 77636000 PRN DFND 77636000 0 0 SPOTIFY US NOTE3 84921RAB6 9425000 10000000 PRN DFND 10000000 0 0 SPRINGWORK COM 85205L107 24000 20000 SH Call DFND 20000 0 0 SPRINGWORK COM 85205L107 1213501 32214 SH DFND 32214 0 0 SPROUT SOC COMCL 85209W109 356800 10000 SH DFND 10000 0 0 STARWOOD P COM 85571B105 252852 138100 SH Put DFND 138100 0 0 SUN CMNTYS COM 866674104 7812834 64923 SH DFND 64923 0 0 SUNSTONE H COM 867892101 3797670 363066 SH DFND 363066 0 0 SUTRO BIOP COM 869367102 805917 275057 SH DFND 275057 0 0 SYNDAX PHA COM 87164F105 2267621 110454 SH DFND 110454 0 0 SYNCHRONY COM 87165B103 123735 21900 SH Put DFND 21900 0 0 SYNTEC OPT *WEXP 87169M113 4382 33069 SH DFND 33069 0 0 SYROS PHAR COMNE 87184Q206 1435011 278103 SH DFND 278103 0 0 TRI POINTE COM 87265H109 50635 24700 SH Put DFND 24700 0 0 TAIWAN SEM SPONS 874039100 11123840 64000 SH DFND 64000 0 0 TANGER INC COM 875465106 65340 24200 SH Put DFND 24200 0 0 TECK RESOU CLB 878742204 11467260 239400 SH DFND 239400 0 0 TELEFLEX I COM 879369106 841320 4000 SH DFND 4000 0 0 TERADYNE I COM 880770102 1482900 10000 SH DFND 10000 0 0 TERRENO RL COM 88146M101 5996532 101327 SH DFND 101327 0 0 TESLA INC COM 88160R101 1929330 9750 SH DFND 9750 0 0 TEVA PHARM SPONS 881624209 827060 50896 SH DFND 50896 0 0 TEVOGEN BI *WEXP 88165K119 3745 185416 SH DFND 185416 0 0 TG THERAPE COM 88322Q108 57750 70000 SH Call DFND 70000 0 0 THIRD HARM COM 88427A107 640263 49251 SH DFND 49251 0 0 TRAVERE TH NOTE2 89422GAA5 17724806 27500000 PRN DFND 27500000 0 0 TREACE MED COM 89455T109 1416290 212976 SH DFND 212976 0 0 TRIP COM G ADS 89677Q107 822500 17500 SH DFND 17500 0 0 TUTOR PERI COM 901109108 12625 90000 SH Put DFND 90000 0 0 TWILIO INC CLA 90138F102 284050 5000 SH DFND 5000 0 0 UGI CORP N COM 902681105 73492 71700 SH Put DFND 71700 0 0 UMH PPTYS COM 903002103 2107482 131800 SH DFND 131800 0 0 UBER TECHN COM 90353T100 71250 19000 SH Put DFND 19000 0 0 ULTRAGENYX COM 90400D108 37000 40000 SH Call DFND 40000 0 0 ULTRAGENYX COM 90400D108 1443761 35128 SH DFND 35128 0 0 UNION PAC COM 907818108 24227921 107080 SH DFND 107080 0 0 UNITED AIR COM 910047109 2024256 41600 SH DFND 41600 0 0 UNITED STA COM 912909108 2645999 70000 SH DFND 3589358 0 0 UNITED THE COM 91307C102 718012 2254 SH DFND 2254 0 0 UNITY BIOT COMNE 91381U200 97177 71983 SH DFND 71983 0 0 URBAN EDGE COM 91704F104 5943738 321805 SH DFND 321805 0 0 VAXCYTE IN COM 92243G108 36500 10000 SH Put DFND 10000 0 0 VAXCYTE IN COM 92243G108 476242 6307 SH DFND 6307 0 0 VENTAS INC COM 92276F100 5105496 99600 SH DFND 99600 0 0 VERASTEM I COMNE 92337C203 299159 100389 SH DFND 100389 0 0 VERA THERA COM 92337R101 58500 30000 SH Put DFND 30000 0 0 VERA THERA CLA 92337R101 1426071 39416 SH DFND 39416 0 0 VERONA PHA COM 925050106 5000 40000 SH Call DFND 40000 0 0 VERU INC COM 92536C103 251645 299221 SH DFND 299221 0 0 VERTIV HOL COMCL 92537N108 952270 11000 SH DFND 11000 0 0 VIASAT INC COM 92552V100 366500 73300 SH Put DFND 73300 0 0 VICI PPTYS COM 925652109 2677840 93500 SH DFND 93500 0 0 VIKING THE COM 92686J106 102000 13600 SH Call DFND 13600 0 0 VIRIDIAN T COM 92790C104 130842 10057 SH DFND 10057 0 0 VISION SEN CLASS 92838J103 2030035 175381 SH DFND 175381 0 0 VISTRA COR COM 92840M102 12555 27900 SH Put DFND 27900 0 0 VISTRA COR COM 92840M102 2579400 30000 SH DFND 30000 0 0 VORNADO RL COM 929042109 107200 33500 SH Put DFND 33500 0 0 VULCAN MAT COM 929160109 3978880 16000 SH DFND 16000 0 0 WALMART IN COM 931142103 1354200 20000 SH DFND 20000 0 0 ELME COMMU SHBEN 939653101 1931767 121266 SH DFND 121266 0 0 WASTE CONN COM 94106B101 17927930 102235 SH DFND 102235 0 0 WESTERN DI COM 958102105 6308 14500 SH Put DFND 14500 0 0 WESTERN DI COM 958102105 2651950 35000 SH DFND 35000 0 0 WINVEST AC *WEXP 97655B117 270 18392 SH DFND 18392 0 0 WOLFSPEED COM 977852102 2617400 115000 SH DFND 115000 0 0 WYNDHAM HO COM 98311A105 7736552 104548 SH DFND 104548 0 0 XPO INC COM 983793100 3029521 28540 SH DFND 28540 0 0 X4 PHARMAC COM 98420X103 5000 200000 SH Call DFND 200000 0 0 X4 PHARMAC COM 98420X103 673102 1160521 SH DFND 1160521 0 0 XEROX HOLD COM 98421M106 998282 278300 SH Put DFND 278300 0 0 ZILLOW GRO CLA 98954M101 1689000 37500 SH DFND 37500 0 0 ZTO EXPRES SPONS 98980A105 2617633 126151 SH DFND 126151 0 0 ZOOMINFO T COMMO 98980F104 830050 65000 SH DFND 65000 0 0 ZOOM VIDEO CLA 98980L101 739875 12500 SH DFND 12500 0 0 AGRICULTUR SHSCL G0131Y100 3532339 344955 SH DFND 344955 0 0 ALKERMES P SHS G01767105 1855700 77000 SH DFND 77000 0 0 ALCHEMY IN SHSCL G0232F109 1110405 103486 SH DFND 103486 0 0 APX ACQUIS CLASS G0440J109 2177815 187581 SH DFND 187581 0 0 APX ACQUIS *WEXP G0440J125 17355 91439 SH DFND 91439 0 0 ARCOS DORA SHSCL G0457F107 963207 107023 SH DFND 107023 0 0 AXALTA COA COM G0750C108 2912992 85250 SH DFND 85250 0 0 BLUERIVER *WEXP G1261Q115 748 49521 SH DFND 49521 0 0 CAPRI HOLD COM G1890L107 340830 12600 SH Put DFND 12600 0 0 CARTESIAN CLASS G19305112 4156432 368478 SH DFND 368478 0 0 CARTESIAN *WEXP G19305120 13671 122826 SH DFND 122826 0 0 CHURCHILL UNIT9 G21301125 4056000 400000 SH DFND 400000 0 0 COLOMBIER COMSH G2283U100 4110000 400000 SH DFND 400000 0 0 COLOMBIER *WEXP G2283U118 38667 133333 SH DFND 133333 0 0 CSLM ACQUI CLASS G2365L101 1755440 156317 SH DFND 156317 0 0 CSLM ACQUI *WEXP G2365L119 9973 68781 SH DFND 68781 0 0 CORNER GRO *WEXP G2426E120 3967 116665 SH DFND 116665 0 0 CRH PLC ORD G25508105 13271460 177000 SH DFND 177000 0 0 DESPEGAR C ORDSH G27358103 1653750 125000 SH DFND 125000 0 0 DIGIASIA C *WEXP G27617110 9290 138661 SH DFND 138661 0 0 EATON CORP SHS G29183103 13388585 42700 SH DFND 42700 0 0 ESTABLISHM COM G31249108 1292541 28445 SH DFND 28445 0 0 ENPHYS ACQ CLAOR G3167L109 1348629 122826 SH DFND 122826 0 0 ARES ACQUI SHSCL G33033104 1822084 170767 SH DFND 170767 0 0 ARES ACQUI *WEXP G33033120 11382 85383 SH DFND 85383 0 0 FTAI AVIAT SHS G3730V105 9419738 91250 SH DFND 91250 0 0 GENERATION CLAOR G38258102 3657836 325141 SH DFND 325141 0 0 GATES INDL ORDSH G39108108 5680059 359270 SH DFND 359270 0 0 FINNOVATE CLASS G3R34K103 1627222 143494 SH DFND 143494 0 0 FINNOVATE *WEXP G3R34K111 2634 130406 SH DFND 130406 0 0 HAYMAKER A CLASS G4375F108 1087638 103486 SH DFND 103486 0 0 HERBALIFE COM G4412G101 366680 82400 SH Put DFND 82400 0 0 HOLLYSYS A SHS G45667105 7236416 334400 SH DFND 334400 0 0 ICON PLC SHS G4705A100 467697 1492 SH DFND 1492 0 0 INFLECTION CLAOR G4790U102 2193914 206973 SH DFND 206973 0 0 INFLECTION *WEXP G4790U110 10235 103486 SH DFND 103486 0 0 INTEGRATED ORDSH G4828B100 1448125 125054 SH DFND 125054 0 0 INVESTCORP *WEXP G49219127 8213 214435 SH DFND 214435 0 0 INVESTCORP CLASS G4923T105 1774198 156317 SH DFND 156317 0 0 JAWS MUSTA *WEXP G50737124 16395 172581 SH DFND 172581 0 0 JOHNSON CT SHS G51502105 11599015 174500 SH DFND 174500 0 0 KINIKSA PH ORDSH G52694109 2128287 113995 SH DFND 113995 0 0 LEARN CW I CLAOR G54157105 3475738 318875 SH DFND 318875 0 0 LEARN CW I *WEXP G54157113 38386 231102 SH DFND 231102 0 0 LEGATO MER UNIT9 G5451A129 2036000 200000 SH DFND 200000 0 0 MOUNTAIN & *WEXP G6301J112 11914 136155 SH DFND 136155 0 0 NABORS IND COM G6359F137 185270 19100 SH Put DFND 19100 0 0 NABORS IND SHS G6359F137 2846400 40000 SH DFND 40000 0 0 NABORS ENE CLA G6363K106 2542658 241468 SH DFND 241468 0 0 NORWEGIAN COM G66721104 370738 233800 SH Put DFND 233800 0 0 NORWEGIAN SHS G66721104 3345202 178031 SH DFND 178031 0 0 NVENT ELEC SHS G6700G107 7781278 101570 SH DFND 101570 0 0 PATRIA LAT CLASS G69454109 2809031 245652 SH DFND 245652 0 0 PATRIA LAT *WEXP G69454117 7566 178033 SH DFND 178033 0 0 PLUM ACQUI CLASS G7134L126 1674099 159438 SH DFND 159438 0 0 PERCEPTION CLACO G7330C102 1806433 159438 SH DFND 159438 0 0 RIGEL RESO CLAOR G7573M106 5236760 462203 SH DFND 462203 0 0 ROADZEN IN *WEXP G7606H116 2687 67181 SH DFND 67181 0 0 ROIVANT SC SHS G76279101 1312974 124217 SH DFND 124217 0 0 SDCL EDGE *WEXP G79471127 10783 49013 SH DFND 49013 0 0 PENTAIR PL SHS G7S00T104 4257485 55530 SH DFND 55530 0 0 SENSATA TE SHS G8060N102 12009668 321200 SH DFND 321200 0 0 SHARKNINJA COMSH G8068L108 3381750 45000 SH DFND 45000 0 0 SK GROWTH CLASS G8192N103 6829126 614130 SH DFND 614130 0 0 SLAM CORP CLASH G8210L105 2032650 182628 SH DFND 182628 0 0 SPARK I AC ORDSH G8316B100 714057 68991 SH DFND 68991 0 0 STONECO LT COMCL G85158106 1122432 93614 SH DFND 93614 0 0 TLGY ACQUI CLASS G8656T109 1789830 156317 SH DFND 156317 0 0 TRISTAR AC CLAOR G9074V106 899314 80656 SH DFND 80656 0 0 ZURA BIO L CLASS G9TY5A101 256886 73396 SH DFND 73396 0 0 ALCON AG ORDSH H01301128 1091586 12254 SH DFND 12254 0 0 CRISPR THE COM H17182108 4375 25000 SH Call DFND 25000 0 0 CRISPR THE COM H17182108 25500 15000 SH Put DFND 15000 0 0 TRANSOCEAN COM H8817H100 496182 403400 SH Put DFND 403400 0 0 GLOBANT S COM L44385109 1126068 6317 SH DFND 6317 0 0 ASML HOLDI NYREG N07059210 2928076 2863 SH DFND 2863 0 0 ELASTIC N ORDSH N14506104 5718168 50199 SH DFND 50199 0 0 INFLARX NV COM N44821101 1255876 721768 SH DFND 721768 0 0 MERUS N V COM N5749R100 36750 15000 SH Call DFND 15000 0 0 MERUS N V COM N5749R100 532530 9000 SH DFND 9000 0 0 UNIQURE NV COM N90064101 24000 80000 SH Call DFND 80000 0 0 UNIQURE NV SHS N90064101 810607 180939 SH DFND 180939 0 0