0001279891-19-000007.txt : 20190515 0001279891-19-000007.hdr.sgml : 20190515 20190515145718 ACCESSION NUMBER: 0001279891-19-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WOLVERINE ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001279891 IRS NUMBER: 020611276 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10687 FILM NUMBER: 19827347 BUSINESS ADDRESS: STREET 1: 175 W. JACKSON STREET 2: SUITE 340 CITY: CHICAGO STATE: IL ZIP: 60064 BUSINESS PHONE: 3128844400 MAIL ADDRESS: STREET 1: 175 WEST JACKSON STREET 2: SUITE 340 CITY: CHICAGO STATE: IL ZIP: 60604 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001279891 XXXXXXXX 03-31-2019 03-31-2019 WOLVERINE ASSET MANAGEMENT LLC

175 WEST JACKSON SUITE 340 CHICAGO IL 60604

13F HOLDINGS REPORT 028-10687 N Niraj Patel 1.312.884.3745 Niraj Patel Chicago IL 05-15-2019 1 1349 7332347 false 1 0001542456 028-17506 Wolverine Holdings, L.P. INFORMATION TABLE 2 form13fInfoTable033119final.xml RAYONIER ADVANCED MATLS INC COM 75508B104 999 73700 SH Call DFND 1 0 0 0 ADVANCED MICRO DEVICES INC COM 007903107 954 37400 SH Call DFND 1 0 0 0 BAUSCH HEALTH COS INC COM 071734107 4 200 SH Call DFND 1 0 0 0 CLOVIS ONCOLOGY INC COM 189464100 2233 90000 SH Call DFND 1 0 0 0 CURO GROUP HLDGS CORP COM 23131L107 92 9200 SH Call DFND 1 0 0 0 MEDICINES CO COM 584688105 475 17000 SH Call DFND 1 0 0 0 MICRON TECHNOLOGY INC COM 595112103 95 2300 SH Call DFND 1 0 0 0 INTREXON CORP COM 46122T102 169 32300 SH Call DFND 1 0 0 0 AMC NETWORKS INC CL A 00164V103 17 300 SH Call DFND 1 0 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 997 39000 SH Call DFND 1 0 0 0 HOVNANIAN ENTERPRISES INC CL A NEW 442487401 5 500 SH Call DFND 1 0 0 0 IAMGOLD CORP COM 450913108 69 19900 SH Call DFND 1 0 0 0 MCDERMOTT INTL INC COM 580037703 1395 187500 SH Call DFND 1 0 0 0 NABORS INDUSTRIES LTD SHS G6359F103 549 159600 SH Call DFND 1 0 0 0 SIRIUS XM HLDGS INC COM 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SH Call DFND 1 0 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 99999 1764900 SH Call DFND 1 0 0 0 DIREXION SHS ETF TR DAILY SM CAP BEA 25490K521 4 500 SH Call DFND 1 0 0 0 PROSHARES TR ULTRPRO S&P500 74347X864 23506 477000 SH Call DFND 1 0 0 0 PROSHARES TR II ULTRA VIX SHORT 74347W148 6220 159900 SH Call DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3722 144800 SH Call DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 920 16400 SH Call DFND 1 0 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 13519 74100 SH Call DFND 1 0 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 38151 888900 SH Call DFND 1 0 0 0 DASEKE INC COM 23753F107 5 1000 SH Call DFND 1 0 0 0 FGL HLDGS ORD SHS G3402M102 51 6500 SH Call DFND 1 0 0 0 TALOS ENERGY INC COM 87484T108 2 100 SH Call DFND 1 0 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 5716 180000 SH Call DFND 1 0 0 0 AUTODESK INC COM 052769106 2446 15700 SH Call DFND 1 0 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 21249 1023600 SH Call DFND 1 0 0 0 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SH Put DFND 1 0 0 0 CREE INC COM 225447101 486 8500 SH Put DFND 1 0 0 0 CURO GROUP HLDGS CORP COM 23131L107 348 34700 SH Put DFND 1 0 0 0 ENCORE CAP GROUP INC COM 292554102 683 25100 SH Put DFND 1 0 0 0 ENDO INTL PLC SHS G30401106 1635 203700 SH Put DFND 1 0 0 0 ENOVA INTL INC COM 29357K103 2056 90100 SH Put DFND 1 0 0 0 EXACT SCIENCES CORP COM 30063P105 840 9700 SH Put DFND 1 0 0 0 EZCORP INC CL A NON VTG 302301106 1882 202000 SH Put DFND 1 0 0 0 GSV CAP CORP COM 36191J101 365 48200 SH Put DFND 1 0 0 0 HORIZON PHARMA PLC SHS G4617B105 198 7500 SH Put DFND 1 0 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 6946 62100 SH Put DFND 1 0 0 0 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 126 34000 SH Put DFND 1 0 0 0 IONIS PHARMACEUTICALS INC COM 462222100 551 6800 SH Put DFND 1 0 0 0 INPHI CORP COM 45772F107 1312 30000 SH Put DFND 1 0 0 0 KARYOPHARM THERAPEUTICS INC COM 48576U106 192 33000 SH Put DFND 1 0 0 0 LIGAND PHARMACEUTICALS INC COM NEW 53220K504 3922 31200 SH Put DFND 1 0 0 0 LEXICON 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SH Put DFND 1 0 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 795 110000 SH Put DFND 1 0 0 0 ADVANCED DISP SVCS INC DEL COM 00790X101 42 1500 SH Put DFND 1 0 0 0 AMC NETWORKS INC CL A 00164V103 2202 38800 SH Put DFND 1 0 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 219 8600 SH Put DFND 1 0 0 0 AVON PRODS INC COM 054303102 4200 1428900 SH Put DFND 1 0 0 0 ALTERYX INC COM CL A 02156B103 6508 77600 SH Put DFND 1 0 0 0 BUILDERS FIRSTSOURCE INC COM 12008R107 2668 200000 SH Put DFND 1 0 0 0 BRISTOW GROUP INC COM 110394103 9 8200 SH Put DFND 1 0 0 0 PEABODY ENERGY CORP NEW COM 704551100 1422 50200 SH Put DFND 1 0 0 0 BEAZER HOMES USA INC COM NEW 07556Q881 155 13500 SH Put DFND 1 0 0 0 CENTURY CMNTYS INC COM 156504300 745 31100 SH Put DFND 1 0 0 0 CDK GLOBAL INC COM 12508E101 2352 40000 SH Put DFND 1 0 0 0 CHEGG INC COM 163092109 282 7400 SH Put DFND 1 0 0 0 CLEVELAND CLIFFS INC COM 185899101 4580 458500 SH Put DFND 1 0 0 0 CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 1089 306000 SH 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0 0 COTY INC COM CL A 222070203 6900 600000 SH Put DFND 1 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 535582 1896000 SH Put DFND 1 0 0 0 XILINX INC COM 983919101 10143 80000 SH Put DFND 1 0 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 64782 250000 SH Put DFND 1 0 0 0 ISHARES TR MSCI EAFE ETF 464287465 9729 150000 SH Put DFND 1 0 0 0 BOEING CO COM 097023105 7628 20000 SH Put DFND 1 0 0 0 FACEBOOK INC CL A 30303M102 12101 72600 SH Put DFND 1 0 0 0 ISHARES TR U.S. REAL ES ETF 464287739 8321 95600 SH Put DFND 1 0 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 139 30000 SH Put DFND 1 0 0 0 IAC INTERACTIVECORP COM 44919P508 1092 5200 SH Put DFND 1 0 0 0 STARBUCKS CORP COM 855244109 6393 86000 SH Put DFND 1 0 0 0 SNAP INC CL A 83304A106 3548 322000 SH Put DFND 1 0 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 3608 100000 SH Put DFND 1 0 0 0 VISA INC COM CL A 92826C839 937 6000 SH Put DFND 1 0 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 23809 130500 SH Put DFND 1 0 0 0 BELDEN INC COM 077454106 537 10000 SH Put DFND 1 0 0 0 COLFAX CORP COM 194014106 207 7000 SH Put DFND 1 0 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 202 4500 SH Put DFND 1 0 0 0 NABORS INDUSTRIES LTD SHS G6359F103 1149 334100 SH Put DFND 1 0 0 0 SEMPRA ENERGY COM 816851109 3184 25300 SH Put DFND 1 0 0 0 VISTRA ENERGY CORP COM 92840M102 3826 147000 SH Put DFND 1 0 0 0 GOLDCORP INC NEW COM 380956409 491 43000 SH Put DFND 1 0 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 5053 293300 SH Put DFND 1 0 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 66833 372000 SH Put DFND 1 0 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 5259 171100 SH Put DFND 1 0 0 0 ACCURAY INC COM 004397105 206 43200 SH Put DFND 1 0 0 0 AVAYA HLDGS CORP COM 05351X101 651 38700 SH Put DFND 1 0 0 0 COMMSCOPE HLDG CO INC COM 20337X109 2 100 SH Put DFND 1 0 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 383 102700 SH Put DFND 1 0 0 0 DEXCOM INC COM 252131107 1191 10000 SH Put DFND 1 0 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 1097 551400 SH Put DFND 1 0 0 0 HC2 HLDGS INC COM 404139107 14 5900 SH Put DFND 1 0 0 0 INFINERA CORPORATION COM 45667G103 1605 370000 SH Put DFND 1 0 0 0 INVACARE CORP COM 461203101 3111 371800 SH Put DFND 1 0 0 0 MEDNAX INC COM 58502B106 46 1700 SH Put DFND 1 0 0 0 MERCADOLIBRE INC COM 58733R102 6346 12500 SH Put DFND 1 0 0 0 MAXWELL TECHNOLOGIES INC COM 577767106 759 170000 SH Put DFND 1 0 0 0 NCR CORP NEW COM 62886E108 7854 287800 SH Put DFND 1 0 0 0 RIBBON COMMUNICATIONS INC COM 762544104 42 8300 SH Put DFND 1 0 0 0 RINGCENTRAL INC CL A 76680R206 334 3100 SH Put DFND 1 0 0 0 SYNAPTICS INC COM 87157D109 795 20000 SH Put DFND 1 0 0 0 TELADOC HEALTH INC COM 87918A105 922 16600 SH Put DFND 1 0 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 2 100 SH Put DFND 1 0 0 0 VIASAT INC COM 92552V100 12113 156300 SH Put DFND 1 0 0 0 ZAYO GROUP HLDGS INC COM 98919V105 4496 158200 SH Put DFND 1 0 0 0 BLACKBERRY LTD COM 09228F103 3466 343600 SH Put DFND 1 0 0 0 MTS SYS CORP COM 553777103 277 5100 SH Put DFND 1 0 0 0 CITIGROUP INC COM NEW 172967424 3540 56900 SH Put DFND 1 0 0 0 CATERPILLAR INC DEL COM 149123101 54 400 SH Put DFND 1 0 0 0 CHEVRON CORP NEW COM 166764100 431 3500 SH Put DFND 1 0 0 0 DOWDUPONT INC COM 26078J100 1226 23000 SH Put DFND 1 0 0 0 FREEPORT-MCMORAN INC CL B 35671D857 1916 148700 SH Put DFND 1 0 0 0 MOHAWK INDS INC COM 608190104 580 4600 SH Put DFND 1 0 0 0 3M CO COM 88579Y101 2036 9800 SH Put DFND 1 0 0 0 MORGAN STANLEY COM NEW 617446448 1017 24100 SH Put DFND 1 0 0 0 AT&T INC COM 00206R102 15 500 SH Put DFND 1 0 0 0 TATA MTRS LTD SPONSORED ADR 876568502 283 22600 SH Put DFND 1 0 0 0 WYNN RESORTS LTD COM 983134107 417 3500 SH Put DFND 1 0 0 0 EXXON MOBIL CORP COM 30231G102 5373 66500 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DLY ENRGY BULL3X 25459W888 1475 65000 SH Put DFND 1 0 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1309 58400 SH Put DFND 1 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 38786 317900 SH Put DFND 1 0 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 175196 1144400 SH Put DFND 1 0 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 359 7000 SH Put DFND 1 0 0 0 ISHARES TR IBOXX INV CP ETF 464287242 14620 122800 SH Put DFND 1 0 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 6079 67600 SH Put DFND 1 0 0 0 PROSHARES TR ULTRASHRT S&P500 74347B383 429 12900 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DRX S&P500BULL 25459W862 179969 3848800 SH Put DFND 1 0 0 0 PROSHARES TR PSHS ULT S&P 500 74347R107 63800 541600 SH Put DFND 1 0 0 0 PROSHARES TR II SHT VIX ST TRM 74347W130 15477 295600 SH Put DFND 1 0 0 0 ISHARES TR 20 YR TR BD ETF 464287432 1871 14800 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 158484 2593000 SH Put DFND 1 0 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 175900 3104500 SH Put DFND 1 0 0 0 DIREXION SHS ETF TR DAILY SM CAP BEA 25490K521 73 7500 SH Put DFND 1 0 0 0 PROSHARES TR ULTRPRO S&P500 74347X864 36580 742300 SH Put DFND 1 0 0 0 PROSHARES TR II ULTRA VIX SHORT 74347W148 388 10000 SH Put DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5252 204300 SH Put DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1986 35400 SH Put DFND 1 0 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 18232 424800 SH Put DFND 1 0 0 0 BARCLAYS BK PLC IPATH B SHRT TRM 06746P621 8868 303100 SH Put DFND 1 0 0 0 DASEKE INC COM 23753F107 14 2900 SH Put DFND 1 0 0 0 FGL HLDGS ORD SHS G3402M102 23 3000 SH Put DFND 1 0 0 0 ALIGN TECHNOLOGY INC COM 016255101 28 100 SH Put DFND 1 0 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 11395 548900 SH Put DFND 1 0 0 0 AMAZON COM INC COM 023135106 13533 7600 SH Put DFND 1 0 0 0 AMERICAN EXPRESS CO COM 025816109 1093 10000 SH Put DFND 1 0 0 0 BEST BUY INC COM 086516101 1812 25500 SH Put DFND 1 0 0 0 BIG LOTS INC COM 089302103 863 22700 SH Put DFND 1 0 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 595 6700 SH Put DFND 1 0 0 0 BP PLC SPONSORED ADR 055622104 1639 37500 SH Put DFND 1 0 0 0 CIENA CORP COM NEW 171779309 832 22300 SH Put DFND 1 0 0 0 COLGATE PALMOLIVE CO COM 194162103 644 9400 SH Put DFND 1 0 0 0 CENTENE CORP DEL COM 15135B101 387 7300 SH Put DFND 1 0 0 0 CAMPBELL SOUP CO COM 134429109 64 1700 SH Put DFND 1 0 0 0 CENTURYLINK INC COM 156700106 1199 100000 SH Put DFND 1 0 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1291 25000 SH Put DFND 1 0 0 0 D R HORTON INC COM 23331A109 331 8000 SH Put DFND 1 0 0 0 DISNEY WALT CO COM DISNEY 254687106 555 5000 SH Put DFND 1 0 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 2169 24100 SH Put DFND 1 0 0 0 GNC HLDGS INC COM CL A 36191G107 354 130000 SH Put DFND 1 0 0 0 GRACE W R & CO DEL NEW COM 38388F108 1295 16600 SH Put DFND 1 0 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1132 5900 SH Put DFND 1 0 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 2545 15100 SH Put DFND 1 0 0 0 HOME DEPOT INC COM 437076102 2878 15000 SH Put DFND 1 0 0 0 TURTLE BEACH CORP COM NEW 900450206 11 1000 SH Put DFND 1 0 0 0 HARLEY DAVIDSON INC COM 412822108 948 26600 SH Put DFND 1 0 0 0 HP INC COM 40434L105 5545 285400 SH Put DFND 1 0 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 48 1200 SH Put DFND 1 0 0 0 HERSHEY CO COM 427866108 815 7100 SH Put DFND 1 0 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 28220 200000 SH Put DFND 1 0 0 0 INTL PAPER CO COM 460146103 2183 47200 SH Put DFND 1 0 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 2009 228050 SH Put DFND 1 0 0 0 JD COM INC SPON ADR CL A 47215P106 10229 339300 SH Put DFND 1 0 0 0 JOHNSON & JOHNSON COM 478160104 2432 17400 SH Put DFND 1 0 0 0 JPMORGAN CHASE & CO COM 46625H100 202 2000 SH Put DFND 1 0 0 0 KOHLS CORP COM 500255104 330 4800 SH Put DFND 1 0 0 0 L BRANDS INC COM 501797104 4809 174400 SH Put DFND 1 0 0 0 LOWES COS INC COM 548661107 437 4000 SH Put DFND 1 0 0 0 SOUTHWEST AIRLS CO COM 844741108 88 1700 SH Put DFND 1 0 0 0 LAS VEGAS SANDS CORP COM 517834107 1463 24000 SH Put DFND 1 0 0 0 MASTERCARD INC CL A 57636Q104 20130 85500 SH Put DFND 1 0 0 0 MONDELEZ INTL INC CL A 609207105 1687 33800 SH Put DFND 1 0 0 0 ALTRIA GROUP INC COM 02209S103 574 10000 SH Put DFND 1 0 0 0 MICROSOFT CORP COM 594918104 2358 20000 SH Put DFND 1 0 0 0 NEWMONT MNG CORP COM 651639106 16472 460500 SH Put DFND 1 0 0 0 NVIDIA CORP COM 67066G104 17058 95000 SH Put DFND 1 0 0 0 ONESPAN INC COM 68287N100 961 50000 SH Put DFND 1 0 0 0 PFIZER INC COM 717081103 874 20600 SH Put DFND 1 0 0 0 PROCTER AND GAMBLE CO COM 742718109 6253 60100 SH Put DFND 1 0 0 0 PRUDENTIAL FINL INC COM 744320102 1378 15000 SH Put DFND 1 0 0 0 QUALCOMM INC COM 747525103 4197 73600 SH Put DFND 1 0 0 0 ROYAL GOLD INC COM 780287108 909 10000 SH Put DFND 1 0 0 0 SIGNET JEWELERS LIMITED SHS G81276100 453 16700 SH Put DFND 1 0 0 0 SVB FINL GROUP COM 78486Q101 44 200 SH Put DFND 1 0 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 57 1200 SH Put DFND 1 0 0 0 VALVOLINE INC COM 92047W101 1856 100000 SH Put DFND 1 0 0 0 WABTEC CORP COM 929740108 1702 23100 SH Put DFND 1 0 0 0 WORKDAY INC CL A 98138H101 8003 41500 SH Put DFND 1 0 0 0 WESTERN DIGITAL CORP COM 958102105 52 1100 SH Put DFND 1 0 0 0 WASTE MGMT INC DEL COM 94106L109 384 3700 SH Put DFND 1 0 0 0 UNITED STATES STL CORP NEW COM 912909108 389 20000 SH Put DFND 1 0 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4501 60000 SH Put DFND 1 0 0 0 ZIONS BANCORPORATION N A COM 989701107 4541 100000 SH Put DFND 1 0 0 0 INVESCO DB COMMDY INDX TRCK UNIT 46138B103 0 23 SH DFND 1 23 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 6220 144941 SH DFND 1 144941 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1891 36582 SH DFND 1 36582 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 337 9437 SH DFND 1 9437 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1900 44706 SH DFND 1 44706 0 0 ISHARES INC MSCI EURZONE ETF 464286608 57 1494 SH DFND 1 1494 0 0 ISHARES TR EUROPE ETF 464287861 38 889 SH DFND 1 889 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 288 5377 SH DFND 1 5377 0 0 ISHARES TR CORE US AGGBD ET 464287226 2873 26347 SH DFND 1 26347 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2871 35378 SH DFND 1 35378 0 0 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 638 22360 SH DFND 1 22360 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 0 13 SH DFND 1 13 0 0 ISHARES TR U.S. REAL ES ETF 464287739 1739 19990 SH DFND 1 19990 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 15630 179844 SH DFND 1 179844 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 657 3816 SH DFND 1 3816 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 11212 74076 SH DFND 1 74076 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 1317 8422 SH DFND 1 8422 0 0 ISHARES TR S&P 500 VAL ETF 464287408 361 3203 SH DFND 1 3203 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 3253 26350 SH DFND 1 26350 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 3602 33473 SH DFND 1 33473 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 611 5100 SH DFND 1 5100 0 0 APOLLO INVT CORP COM NEW 03761U502 587 38772 SH DFND 1 38772 0 0 PENNANTPARK INVT CORP COM 708062104 473 68461 SH DFND 1 68461 0 0 THL CREDIT INC COM 872438106 219 33467 SH DFND 1 33467 0 0 ARBOR RLTY TR INC COM 038923108 597 46087 SH DFND 1 46087 0 0 COLONY CR REAL ESTATE INC COM CL A 19625T101 13196 842691 SH DFND 1 842691 0 0 GRANITE PT MTG TR INC COM 38741L107 174 9417 SH DFND 1 9417 0 0 HUNT COS FIN TR INC COM 44558T100 1909 547256 SH DFND 1 547256 0 0 KKR REAL ESTATE FIN TR INC COM 48251K100 917 45852 SH DFND 1 45852 0 0 LADDER CAP CORP CL A 505743104 491 28881 SH DFND 1 28881 0 0 TREMONT MTG TR COM 894789106 421 47864 SH DFND 1 47864 0 0 TPG RE FIN TR INC COM 87266M107 1238 63165 SH DFND 1 63165 0 0 EXANTAS CAP CORP COM NEW 30068N105 5023 472554 SH DFND 1 472554 0 0 ACORDA THERAPEUTICS INC COM 00484M106 320 24083 SH DFND 1 24083 0 0 ALDER BIOPHARMACEUTICALS INC NOTE 2.500% 2/0 014339AA3 30920 32195000 PRN DFND 1 0 0 0 AMAG PHARMACEUTICALS INC NOTE 3.250% 6/0 00163UAD8 25051 28680000 PRN DFND 1 0 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 65505 34419000 PRN DFND 1 0 0 0 CARBONITE INC NOTE 2.500% 4/0 141337AB1 18903 16195000 PRN DFND 1 0 0 0 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 19561 19652000 PRN DFND 1 0 0 0 ENCORE CAP GROUP INC NOTE 3.000% 7/0 292554AF9 31661 33107000 PRN DFND 1 0 0 0 EURONET WORLDWIDE INC COM 298736109 1083 7600 SH DFND 1 7600 0 0 ENVESTNET INC NOTE 1.750%12/1 29404KAA4 3574 3203000 PRN DFND 1 0 0 0 ENSCO JERSEY FIN LTD NOTE 3.000% 1/3 29359WAB1 10092 13012000 PRN DFND 1 0 0 0 ETSY INC NOTE 3/0 29786AAC0 72218 37289000 PRN DFND 1 0 0 0 EVERBRIDGE INC NOTE 1.500%11/0 29978AAA2 8959 3959000 PRN DFND 1 0 0 0 EVOLENT HEALTH INC NOTE 2.000%12/0 30050BAB7 9676 9968000 PRN DFND 1 0 0 0 EXACT SCIENCES CORP NOTE 1.000% 1/1 30063PAA3 6151 4500000 PRN DFND 1 0 0 0 EZCORP INC NOTE 2.875% 7/0 302301AF3 22365 19829000 PRN DFND 1 0 0 0 GAIN CAP HLDGS INC NOTE 5.000% 8/1 36268WAF7 12728 12833000 PRN DFND 1 0 0 0 GSV CAP CORP NOTE 4.750% 3/2 36191JAC5 1499 1500000 PRN DFND 1 0 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 32295 25940000 PRN DFND 1 0 0 0 HERBALIFE LTD NOTE 2.625% 3/1 42703MAD5 43889 41456000 PRN DFND 1 0 0 0 HARMONIC INC NOTE 4.000%12/0 413160AB8 17367 15105000 PRN DFND 1 0 0 0 HUBSPOT INC NOTE 0.250% 6/0 443573AB6 86038 47553000 PRN DFND 1 0 0 0 HORIZON PHARMA PLC SHS G4617B105 26 1000 SH DFND 1 1000 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 17494 17593000 PRN DFND 1 0 0 0 INFINERA CORPORATION NOTE 2.125% 9/0 45667GAC7 12216 15356000 PRN DFND 1 0 0 0 INNOVIVA INC NOTE 2.500% 8/1 45781MAB7 34999 32648000 PRN DFND 1 0 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 85986 63592000 PRN DFND 1 0 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 46333XAD0 40648 36667000 PRN DFND 1 0 0 0 INVACARE CORP NOTE 5.000% 2/1 461203AF8 16681 18239000 PRN DFND 1 0 0 0 KNOWLES CORP NOTE 3.250%11/0 49926DAB5 11966 10185000 PRN DFND 1 0 0 0 MEDICINES CO NOTE 2.500% 1/1 584688AE5 29169 29070000 PRN DFND 1 0 0 0 NUTANIX INC NOTE 1/1 67059NAB4 26133 24495000 PRN DFND 1 0 0 0 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 18554 16675000 PRN DFND 1 0 0 0 OKTA INC NOTE 0.250% 2/1 679295AB1 43524 23983000 PRN DFND 1 0 0 0 OSI SYSTEMS INC NOTE 1.250% 9/0 671044AD7 14632 14365000 PRN DFND 1 0 0 0 PACIRA PHARMACEUTICALS INC NOTE 2.375% 4/0 695127AD2 35545 36106000 PRN DFND 1 0 0 0 PDL BIOPHARMA INC NOTE 2.750%12/0 69329YAG9 19255 16852000 PRN DFND 1 0 0 0 INSULET CORP NOTE 1.250% 9/1 45784PAF8 16136 9790000 PRN DFND 1 0 0 0 PORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0 73640QAB1 18839 19528000 PRN DFND 1 0 0 0 PTC THERAPEUTICS INC NOTE 3.000% 8/1 69366JAB7 26873 25939000 PRN DFND 1 0 0 0 QUIDEL CORP NOTE 3.250%12/1 74838JAA9 64661 30704000 PRN DFND 1 0 0 0 Q2 HLDGS INC NOTE 0.750% 2/1 74736LAB5 21265 16230000 PRN DFND 1 0 0 0 QUOTIENT TECHNOLOGY INC NOTE 1.750%12/0 749119AB9 18964 20251000 PRN DFND 1 0 0 0 RADIUS HEALTH INC NOTE 3.000% 9/0 750469AA6 20691 24700000 PRN DFND 1 0 0 0 RENEWABLE ENERGY GROUP INC NOTE 2.750% 6/1 75972AAA1 10774 6371000 PRN DFND 1 0 0 0 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 2715 2500000 PRN DFND 1 0 0 0 RINGCENTRAL INC NOTE 3/1 76680RAD9 47789 33552000 PRN DFND 1 0 0 0 REALPAGE INC NOTE 1.500%11/1 75606NAB5 53258 34528000 PRN DFND 1 0 0 0 RETROPHIN INC NOTE 2.500% 9/1 761299AB2 23099 24500000 PRN DFND 1 0 0 0 SUNPOWER CORP DBCV 0.875% 6/0 867652AJ8 841 1000000 PRN DFND 1 0 0 0 SQUARE INC NOTE 0.375% 3/0 852234AB9 135805 41418000 PRN DFND 1 0 0 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 117721 65176000 PRN DFND 1 0 0 0 TELADOC HEALTH INC NOTE 3.000%12/1 87918AAB1 88467 59504000 PRN DFND 1 0 0 0 TIMKENSTEEL CORP NOTE 6.000% 6/0 887399AA1 7840 6650000 PRN DFND 1 0 0 0 TUTOR PERINI CORP NOTE 2.875% 6/1 901109AD0 2404 2500000 PRN DFND 1 0 0 0 LENDINGTREE INC NEW NOTE 0.625% 6/0 52603BAA5 70791 40230000 PRN DFND 1 0 0 0 TTM TECHNOLOGIES INC NOTE 1.750%12/1 87305RAD1 37424 28641000 PRN DFND 1 0 0 0 UNISYS CORP NOTE 5.500% 3/0 909214BS6 19718 14170000 PRN DFND 1 0 0 0 WAYFAIR INC NOTE 0.375% 9/0 94419LAB7 9047 5900000 PRN DFND 1 0 0 0 ZILLOW GROUP INC NOTE 2.000%12/0 98954MAB7 6033 5899000 PRN DFND 1 0 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 1118 32200 SH DFND 1 32200 0 0 ZENDESK INC NOTE 0.250% 3/1 98936JAB7 72565 49740000 PRN DFND 1 0 0 0 GREAT AJAX CORP COM 38983D300 1549 112745 SH DFND 1 112745 0 0 COLFAX CORP UNIT 01/15/2022T 194014205 47222 353788 SH DFND 1 353788 0 0 CENTERPOINT ENERGY INC DEP RP PFD CV B 15189T503 6132 115749 SH DFND 1 115749 0 0 NABORS INDUSTRIES LTD 6% PFD CNV SR A G6359F129 11156 413273 SH DFND 1 413273 0 0 ANWORTH MORTGAGE ASSET CP COM 037347101 9459 2341466 SH DFND 1 2341466 0 0 ARMOUR RESIDENTIAL REIT INC COM NEW 042315507 8434 431854 SH DFND 1 431854 0 0 CAPSTEAD MTG CORP COM NO PAR 14067E506 25534 2972607 SH DFND 1 2972607 0 0 ELLINGTON RESIDENTIAL MTG RE COM SHS BEN INT 288578107 387 32567 SH DFND 1 32567 0 0 ELLINGTON FINANCIAL INC COM 28852N109 10220 570981 SH DFND 1 570981 0 0 MFA FINL INC COM 55272X102 2060 283432 SH DFND 1 283432 0 0 AG MTG INVT TR INC COM 001228105 908 53937 SH DFND 1 53937 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 10518 621999 SH DFND 1 621999 0 0 PENNYMAC MTG INVT TR COM 70931T103 324 15655 SH DFND 1 15655 0 0 RADIAN GROUP INC COM 750236101 111 5364 SH DFND 1 5364 0 0 REDWOOD TR INC COM 758075402 6097 377566 SH DFND 1 377566 0 0 TWO HBRS INVT CORP COM NEW 90187B408 8099 598636 SH DFND 1 598636 0 0 TCG BDC INC COM 872280102 556 38426 SH DFND 1 38426 0 0 FS KKR CAPITAL CORP COM 302635107 1074 177643 SH DFND 1 177643 0 0 GLADSTONE INVT CORP COM 376546107 92 7946 SH DFND 1 7946 0 0 ADAMS DIVERSIFIED EQUITY FD COM 006212104 2375 164475 SH DFND 1 164475 0 0 ABERDEEN GLOBAL DYNAMIC DIVI COM 00302M106 129 13723 SH DFND 1 13723 0 0 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 797 77779 SH DFND 1 77779 0 0 BLACKROCK RES & COMM STRAT T SHS 09257A108 960 117550 SH DFND 1 117550 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 1242 115285 SH DFND 1 115285 0 0 CENTRAL SECS CORP COM 155123102 624 21797 SH DFND 1 21797 0 0 CHINA FD INC COM 169373107 1277 62679 SH DFND 1 62679 0 0 ISHARES INC MSCI MEXICO ETF 464286822 4 100 SH DFND 1 100 0 0 FIRST TR MLP & ENERGY INCOME COM 33739B104 1858 161647 SH DFND 1 161647 0 0 FST TR NEW OPPORT MLP & ENE COM 33739M100 4186 452108 SH DFND 1 452108 0 0 GENERAL AMERN INVS INC COM 368802104 855 25682 SH DFND 1 25682 0 0 GABELLI CONV&INCOM SECS FD I COM 36240B109 195 37533 SH DFND 1 37533 0 0 HANCOCK JOHN INV TRUST TAX ADV GLB SH 41013P749 1345 196359 SH DFND 1 196359 0 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 5435 727595 SH DFND 1 727595 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 849 40638 SH DFND 1 40638 0 0 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 1782 144689 SH DFND 1 144689 0 0 NEW IRELAND FUND INC COM 645673104 325 36127 SH DFND 1 36127 0 0 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 378 54286 SH DFND 1 54286 0 0 NUVEEN REAL ASSET INM AND GW COM 67074Y105 1602 99904 SH DFND 1 99904 0 0 KOREA FD COM NEW 500634209 149 5067 SH DFND 1 5067 0 0 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 728 60382 SH DFND 1 60382 0 0 ADAM NAT RES FD INC COM 00548F105 3401 202810 SH DFND 1 202810 0 0 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 36 4013 SH DFND 1 4013 0 0 CUSHING ENERGY INCOME COM SH BEN INT 23162T102 195 25859 SH DFND 1 25859 0 0 TEMPLETON DRAGON FD INC COM 88018T101 650 32712 SH DFND 1 32712 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 787 13533 SH DFND 1 13533 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 1325 89390 SH DFND 1 89390 0 0 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 839 338661 SH DFND 1 338661 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 780 76104 SH DFND 1 76104 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 5 89 SH DFND 1 89 0 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 143920 44042000 PRN DFND 1 0 0 0 ALTA MESA RES INC *W EXP 03/28/202 02133L117 8 226561 SH DFND 1 226561 0 0 BAUSCH HEALTH COS INC COM 071734107 1010 40891 SH DFND 1 40891 0 0 CLOVIS ONCOLOGY INC NOTE 2.500% 9/1 189464AB6 19733 21332000 PRN DFND 1 0 0 0 CREE INC COM 225447101 323 5652 SH DFND 1 5652 0 0 ENCORE CAP EUROPE FIN LTD NOTE 4.500% 9/0 29260UAA5 11545 13000000 PRN DFND 1 0 0 0 ENDO INTL PLC SHS G30401106 1310 163237 SH DFND 1 163237 0 0 EXACT SCIENCES CORP COM 30063P105 27335 315585 SH DFND 1 315585 0 0 ILLUMINA INC COM 452327109 556 1790 SH DFND 1 1790 0 0 IMMUNOMEDICS INC NOTE 4.750% 2/1 452907AK4 17575 4614000 PRN DFND 1 0 0 0 INPHI CORP NOTE 1.125%12/0 45772FAB3 34875 28500000 PRN DFND 1 0 0 0 LEXICON PHARMACEUTICALS INC NOTE 5.250%12/0 528872AB0 12530 12250000 PRN DFND 1 0 0 0 MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 967 285508 SH DFND 1 285508 0 0 MICRON TECHNOLOGY INC COM 595112103 1425 34480 SH DFND 1 34480 0 0 MAGNACHIP SEMICONDUCTOR SA NOTE 5.000% 3/0 55932XAB0 13697 12000000 PRN DFND 1 0 0 0 NIO INC DEBT 4.500% 2/0 G6525FAA0 1293 1500000 PRN DFND 1 0 0 0 NOVAVAX INC NOTE 3.750% 2/0 670002AB0 5650 15250000 PRN DFND 1 0 0 0 OPKO HEALTH INC COM 68375N103 91 35036 SH DFND 1 35036 0 0 QORVO INC COM 74736K101 522 7289 SH DFND 1 7289 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 1 109 SH DFND 1 109 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 59 1705 SH DFND 1 1705 0 0 SYNEOS HEALTH INC CL A 87166B102 331 6400 SH DFND 1 6400 0 0 THERAVANCE BIOPHARMA INC NOTE 3.250%11/0 88339KAA0 23451 24100000 PRN DFND 1 0 0 0 TRONOX HOLDINGS PLC SHS G9087Q102 3244 246743 SH DFND 1 246743 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 1091 65942 SH DFND 1 65942 0 0 FIRST MAJESTIC SILVER CORP NOTE 1.875% 3/0 32076VAB9 16196 16600000 PRN DFND 1 0 0 0 ATLANTIC PWR CORP COM NEW 04878Q863 55 21832 SH DFND 1 21832 0 0 JUST ENERGY GROUP INC COM 48213W101 129 38200 SH DFND 1 38200 0 0 GRAN TIERRA ENERGY INC COM 38500T101 90 39800 SH DFND 1 39800 0 0 RUBICON TECHNOLOGY INC COM NEW 78112T206 178 22076 SH DFND 1 22076 0 0 ULTRA PETROLEUM CORP COM NEW 903914208 927 1520241 SH DFND 1 1520241 0 0 DBX ETF TR XTRACK HRVST CSI 233051879 11526 401200 SH DFND 1 401200 0 0 CBOE GLOBAL MARKETS INC COM 12503M108 1247 13072 SH DFND 1 13072 0 0 BROADCOM INC COM 11135F101 1426 4745 SH DFND 1 4745 0 0 EVERCORE INC CLASS A 29977A105 1278 14049 SH DFND 1 14049 0 0 MARKETAXESS HLDGS INC COM 57060D108 1351 5491 SH DFND 1 5491 0 0 NVENT ELECTRIC PLC SHS G6700G107 12410 460000 SH DFND 1 460000 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1291 30000 SH DFND 1 30000 0 0 AXT INC COM 00246W103 256 57654 SH DFND 1 57654 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 20166 100388 SH DFND 1 100388 0 0 CAPITAL ONE FINL CORP COM 14040H105 5840 71500 SH DFND 1 71500 0 0 HILLTOP HOLDINGS INC COM 432748101 456 25000 SH DFND 1 25000 0 0 NVIDIA CORP COM 67066G104 448 2500 SH DFND 1 2500 0 0 NXP SEMICONDUCTORS N V COM N6596X109 2312 26165 SH DFND 1 26165 0 0 SVB FINL GROUP COM 78486Q101 6226 28000 SH DFND 1 28000 0 0 SEMTECH CORP COM 816850101 603 11848 SH DFND 1 11848 0 0 VICTORY CAP HLDGS INC COM CL A 92645B103 2425 161494 SH DFND 1 161494 0 0 BLUEBIRD BIO INC COM 09609G100 13 88 SH DFND 1 88 0 0 EXELIXIS INC COM 30161Q104 0 23 SH DFND 1 23 0 0 GILEAD SCIENCES INC COM 375558103 1 19 SH DFND 1 19 0 0 NEWLINK GENETICS CORP COM 651511107 0 2 SH DFND 1 2 0 0 SIRIUS XM HLDGS INC COM 82968B103 676 119253 SH DFND 1 119253 0 0 UNIVERSAL INS HLDGS INC COM 91359V107 1 63 SH DFND 1 63 0 0 READY CAP CORP 7% CN SR NT 2023 75574U200 270 10554 SH DFND 1 10554 0 0 READY CAP CORP COM 75574U101 1 87 SH DFND 1 87 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 3723 2885 SH DFND 1 2885 0 0 AMERICAN ELEC PWR CO INC UNIT 03/15/2022 025537127 892 17479 SH DFND 1 17479 0 0 ASSURANT INC 6.50% CONV PFD D 04621X207 898 8702 SH DFND 1 8702 0 0 ASSURANT INC COM 04621X108 312 3292 SH DFND 1 3292 0 0 DTE ENERGY CO UNIT 99/99/9999 233331883 2613 47162 SH DFND 1 47162 0 0 KINDER MORGAN INC DEL COM 49456B101 6 344 SH DFND 1 344 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 32210 325187 SH DFND 1 325187 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 22989 260224 SH DFND 1 260224 0 0 VISTRA ENERGY CORP UNIT 02/02/2024 92840M300 14472 146722 SH DFND 1 146722 0 0 ENERGIZER HLDGS INC NEW 7.5 MCNV PFD A 29272W208 15676 161304 SH DFND 1 161304 0 0 ISHARES TR IBOXX HI YD ETF 464288513 2594 30000 SH DFND 1 30000 0 0 AQUA METALS INC COM 03837J101 2231 726755 SH DFND 1 726755 0 0 CADIZ INC COM NEW 127537207 1553 160471 SH DFND 1 160471 0 0 GAIA INC NEW CL A 36269P104 1274 139301 SH DFND 1 139301 0 0 ICAD INC COM NEW 44934S206 582 112734 SH DFND 1 112734 0 0 OPTIMIZERX CORP COM NEW 68401U204 8739 687029 SH DFND 1 687029 0 0 PROSHARES TR ULTSHT RUSS2000 74348A319 20 1350 SH DFND 1 1350 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 151 3740 SH DFND 1 3740 0 0 CELGENE CORP COM 151020104 2641 28000 SH DFND 1 28000 0 0 CENTERSTATE BK CORP COM 15201P109 109 4601 SH DFND 1 4601 0 0 GENWORTH FINL INC COM CL A 37247D106 930 242998 SH DFND 1 242998 0 0 INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 49 2466 SH DFND 1 2466 0 0 MBT FINL CORP COM 578877102 5 505 SH DFND 1 505 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 2089 17654 SH DFND 1 17654 0 0 NAVIGATORS GROUP INC COM 638904102 405 5800 SH DFND 1 5800 0 0 SPARK THERAPEUTICS INC COM 84652J103 1514 13300 SH DFND 1 13300 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 405 56100 SH DFND 1 56100 0 0 SYNOVUS FINL CORP COM NEW 87161C501 420 12230 SH DFND 1 12230 0 0 STEWART INFORMATION SVCS COR COM 860372101 4192 98212 SH DFND 1 98212 0 0 TCF FINL CORP COM 872275102 3638 175850 SH DFND 1 175850 0 0 VERSUM MATLS INC COM 92532W103 567 11277 SH DFND 1 11277 0 0 MAIN STREET CAPITAL CORP COM 56035L104 174 4701 SH DFND 1 4701 0 0 WHITEHORSE FIN INC COM 96524V106 20 1434 SH DFND 1 1434 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 900 138073 SH DFND 1 138073 0 0 LIBERTY ALL-STAR GROWTH FD I COM 529900102 867 155941 SH DFND 1 155941 0 0 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 2576 428691 SH DFND 1 428691 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 1824 213416 SH DFND 1 213416 0 0 BLACKROCK ENERGY & RES TR COM 09250U101 3829 316186 SH DFND 1 316186 0 0 BLACKROCK ENHANCED INTL DIV COM BENE INTER 092524107 686 123556 SH DFND 1 123556 0 0 BLACKROCK ENHANCED GBL DIV T COM 092501105 2530 236504 SH DFND 1 236504 0 0 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 2650 261271 SH DFND 1 261271 0 0 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 482 44494 SH DFND 1 44494 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 18469Q108 1131 116660 SH DFND 1 116660 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 2536 262334 SH DFND 1 262334 0 0 DUFF & PHELPS SLT ENGY AND M COM 26433F108 141 28235 SH DFND 1 28235 0 0 ELLSWORTH GRWTH AND INCOME L COM 289074106 87 9152 SH DFND 1 9152 0 0 EUROPEAN EQUITY FUND COM 298768102 300 34489 SH DFND 1 34489 0 0 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 2470 257055 SH DFND 1 257055 0 0 WELLS FARGO GLOBAL DIVIDEND COM 94987C103 2417 461294 SH DFND 1 461294 0 0 EATON VANCE ENHANCED EQ INC COM 278274105 106 7431 SH DFND 1 7431 0 0 EATON VANCE TX ADV GLBL DIV COM 27828S101 2877 185168 SH DFND 1 185168 0 0 EATON VANCE TXMGD GL BUYWR O COM 27829C105 1820 186313 SH DFND 1 186313 0 0 EATON VANCE TX MGD DIV EQ IN COM 27828N102 809 71644 SH DFND 1 71644 0 0 EATON VANCE TAX ADVT DIV INC COM 27828G107 1709 76675 SH DFND 1 76675 0 0 EATON VANCE TAX MNGD GBL DV COM 27829F108 1926 236720 SH DFND 1 236720 0 0 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 380 26540 SH DFND 1 26540 0 0 GABELLI DIVD & INCOME TR COM 36242H104 1268 59616 SH DFND 1 59616 0 0 NEW GERMANY FD INC COM 644465106 387 27727 SH DFND 1 27727 0 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 178 41106 SH DFND 1 41106 0 0 GAMCO NAT RES GOLD & INCOME SH BEN INT 36465E101 147 26059 SH DFND 1 26059 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 3115 181847 SH DFND 1 181847 0 0 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 47 8811 SH DFND 1 8811 0 0 VOYA INFRASTRUCTURE INDLS & COM 92912X101 2919 231733 SH DFND 1 231733 0 0 VOYA GLBL ADV & PREM OPP FD COM 92912R104 2232 206925 SH DFND 1 206925 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 2279 350711 SH DFND 1 350711 0 0 COHEN & STEERS GLOBAL INC BL COM 19248M103 2016 236366 SH DFND 1 236366 0 0 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 50 4833 SH DFND 1 4833 0 0 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 685 78129 SH DFND 1 78129 0 0 KAYNE ANDERSON MDSTM ENERGY COM 48661E108 308 25933 SH DFND 1 25933 0 0 KAYNE ANDERSN MLP MIDS INVT COM 486606106 936 58439 SH DFND 1 58439 0 0 LAZARD GLB TTL RET&INCM FD I COM 52106W103 829 53683 SH DFND 1 53683 0 0 LAZARD WORLD DIVID & INCOME COM 521076109 1295 130639 SH DFND 1 130639 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 2572 115933 SH DFND 1 115933 0 0 NEUBERGER BERMAN RE ES SEC F COM 64190A103 4039 812677 SH DFND 1 812677 0 0 RMR REAL ESTATE INCOME FUND COM 76970B101 1695 90736 SH DFND 1 90736 0 0 RIVERNORTH OPPRTUNITIES FD I COM 76881Y109 723 43854 SH DFND 1 43854 0 0 ROYCE MICRO-CAP TR INC COM 780915104 2111 253452 SH DFND 1 253452 0 0 ROYCE VALUE TR INC COM 780910105 4732 343906 SH DFND 1 343906 0 0 LMP CAP & INCOME FD INC COM 50208A102 680 52730 SH DFND 1 52730 0 0 SWISS HELVETIA FD INC COM 870875101 1566 205516 SH DFND 1 205516 0 0 VIRTUS TOTAL RETURN FUND INC COM 92837G100 1980 197049 SH DFND 1 197049 0 0 ABERDEEN INCOME CR STRATEGIE COM 003057106 35 2969 SH DFND 1 2969 0 0 APOLLO TACTICAL INCOME FD IN COM 037638103 23 1605 SH DFND 1 1605 0 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 1719 115865 SH DFND 1 115865 0 0 INVESCO EXCHNG TRADED FD TR TAXABLE MUN BD 46138G805 608 19994 SH DFND 1 19994 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 107 7524 SH DFND 1 7524 0 0 BLACKROCK FLOATING RATE INCO COM 091941104 2193 179647 SH DFND 1 179647 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 778 52989 SH DFND 1 52989 0 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 8 530 SH DFND 1 530 0 0 BRANDYWINEGBL GLBAL INM OPRT COM 10537L104 1323 118843 SH DFND 1 118843 0 0 CREDIT SUISSE ASSET MGMT INC COM 224916106 384 123923 SH DFND 1 123923 0 0 DOUBLELINE OPPORTUNISTIC CR COM 258623107 561 27816 SH DFND 1 27816 0 0 DIVIDEND & INCOME FUND COM NEW 25538A204 559 49237 SH DFND 1 49237 0 0 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 295 27519 SH DFND 1 27519 0 0 DUFF & PHELPS UTIL CORP BD T COM 26432K108 63 7414 SH DFND 1 7414 0 0 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 418 53123 SH DFND 1 53123 0 0 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 1662 112280 SH DFND 1 112280 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 2027 155701 SH DFND 1 155701 0 0 EATON VANCE FLTING RATE INC COM 278279104 2114 160303 SH DFND 1 160303 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 39 2900 SH DFND 1 2900 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 1243 202243 SH DFND 1 202243 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 1982 167704 SH DFND 1 167704 0 0 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 969 110972 SH DFND 1 110972 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 2289 183127 SH DFND 1 183127 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 551 37772 SH DFND 1 37772 0 0 FRANKLIN UNVL TR SH BEN INT 355145103 508 72257 SH DFND 1 72257 0 0 FRANKLIN LTD DURATION INC TR COM 35472T101 121 12660 SH DFND 1 12660 0 0 PGIM GLOBAL HIGH YIELD FD IN COM 69346J106 2 200 SH DFND 1 200 0 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 288 29900 SH DFND 1 29900 0 0 CLOUGH GLOBAL EQUITY FD COM 18914C100 275 21720 SH DFND 1 21720 0 0 CLOUGH GLOBAL DIVND AND INC COM 18913Y103 313 28247 SH DFND 1 28247 0 0 EAGLE CAP GROWTH FD INC COM 269451100 48 6389 SH DFND 1 6389 0 0 IVY HIGH INC OPPORTUNITIES F COM 465893105 98 7292 SH DFND 1 7292 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 611 63495 SH DFND 1 63495 0 0 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 811 53500 SH DFND 1 53500 0 0 HANCOCK JOHN INVS TR COM 410142103 672 42658 SH DFND 1 42658 0 0 NUVEEN MULTI MKT INCOME FD COM 67075J107 76 10865 SH DFND 1 10865 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 416 43397 SH DFND 1 43397 0 0 MADISON CVRED CALL & EQ STR COM 557437100 511 74844 SH DFND 1 74844 0 0 MFS CHARTER INCOME TR SH BEN INT 552727109 947 119913 SH DFND 1 119913 0 0 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 150 33515 SH DFND 1 33515 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 39 10486 SH DFND 1 10486 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 448 49887 SH DFND 1 49887 0 0 NUVEEN SR INCOME FD COM 67067Y104 196 33931 SH DFND 1 33931 0 0 HIGH INCOME SECS FD SHS BEN INT 42968F108 156 17284 SH DFND 1 17284 0 0 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 546 19510 SH DFND 1 19510 0 0 FLAHERTY & CRUMRINE PFD INC COM 33848E106 6 608 SH DFND 1 608 0 0 PIONEER FLOATING RATE TR COM 72369J102 1944 186927 SH DFND 1 186927 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 562 117689 SH DFND 1 117689 0 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 672 31126 SH DFND 1 31126 0 0 SOURCE CAP INC COM 836144105 599 16658 SH DFND 1 16658 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 23 1720 SH DFND 1 1720 0 0 WESTERN ASSET CORPORATE LN F COM 95790J102 1191 125790 SH DFND 1 125790 0 0 THL CR SR LN FD COM 87244R103 1260 82090 SH DFND 1 82090 0 0 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 347 28346 SH DFND 1 28346 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 691 61675 SH DFND 1 61675 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 1408 131271 SH DFND 1 131271 0 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 1239 95745 SH DFND 1 95745 0 0 ALLIANCE CALIF MUN INCOME FD COM 018546101 178 12053 SH DFND 1 12053 0 0 BLACKROCK MUNICIPAL BOND TR COM 09249H104 26 1822 SH DFND 1 1822 0 0 BLACKROCK NY MUN INCOME TR I COM 09249R102 95 7049 SH DFND 1 7049 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 2063 160870 SH DFND 1 160870 0 0 BLACKROCK VA MUNICIPAL BOND COM 092481100 25 1595 SH DFND 1 1595 0 0 BLACKROCK INVT QUALITY MUN T COM 09247D105 338 23928 SH DFND 1 23928 0 0 BLACKROCK N Y MUN INCOME TR SH BEN INT 09248L106 698 53519 SH DFND 1 53519 0 0 BLACKROCK NY MUNI INC QLTY T COM 09249U105 356 27856 SH DFND 1 27856 0 0 BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 459 20658 SH DFND 1 20658 0 0 BLACKROCK MUNICIPL INC QLTY COM 092479104 232 17361 SH DFND 1 17361 0 0 EATON VANCE CA MUNI INCOME T SH BEN INT 27826F101 12 1032 SH DFND 1 1032 0 0 MFS INVT GRADE MUN TR SH BEN INT 59318B108 128 13700 SH DFND 1 13700 0 0 DTF TAX-FREE INCOME INC COM 23334J107 866 65487 SH DFND 1 65487 0 0 EATON VANCE MUN INCOME 2028 SHS 27829U105 240 11942 SH DFND 1 11942 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 2267 214954 SH DFND 1 214954 0 0 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 1044 85649 SH DFND 1 85649 0 0 EATON VANCE NY MUNI INCOME T SH BEN INT 27826W104 635 51525 SH DFND 1 51525 0 0 FEDERATED PREM MUN INC FD COM 31423P108 276 20589 SH DFND 1 20589 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 155 10784 SH DFND 1 10784 0 0 DWS MUN INCOME TR NEW COM 233368109 1096 99495 SH DFND 1 99495 0 0 PIONEER MUN HIGH INCOME ADV COM 723762100 556 51694 SH DFND 1 51694 0 0 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 2574 191140 SH DFND 1 191140 0 0 BLACKROCK MUNIENHANCED FD IN COM 09253Y100 60 5687 SH DFND 1 5687 0 0 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 302 23397 SH DFND 1 23397 0 0 BLACKROCK MASS TAX-EXEMPT TR SH BEN INT 09258E109 170 13635 SH DFND 1 13635 0 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 1089 84292 SH DFND 1 84292 0 0 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 1304 97599 SH DFND 1 97599 0 0 WESTERN ASST MN PRT FD INC COM 95766P108 218 15128 SH DFND 1 15128 0 0 BLACKROCK MUNIYIELD PA QLTY COM 09255G107 1871 137515 SH DFND 1 137515 0 0 BLACKROCK MUNIY QUALITY FD I COM 09254G108 115 9410 SH DFND 1 9410 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 1630 115685 SH DFND 1 115685 0 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 2747 207363 SH DFND 1 207363 0 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 282 23006 SH DFND 1 23006 0 0 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 1993 145744 SH DFND 1 145744 0 0 BLACKROCK MUNIHOLDNGS QLTY I COM 09254A101 1777 146772 SH DFND 1 146772 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 324 24270 SH DFND 1 24270 0 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 2025 156628 SH DFND 1 156628 0 0 BLACKROCK MUNIYIELD NY QLTY COM 09255E102 512 41639 SH DFND 1 41639 0 0 BLACKROCK MUNIYIELD ARIZ FD COM 09254K109 404 29319 SH DFND 1 29319 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 216 15982 SH DFND 1 15982 0 0 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 1677 130723 SH DFND 1 130723 0 0 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 636 48883 SH DFND 1 48883 0 0 NUVEEN CALIF MUN VALUE FD COM 67062C107 372 38972 SH DFND 1 38972 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 2 200 SH DFND 1 200 0 0 NUVEEN ENHANCED MUN VALUE FD COM 67074M101 5 428 SH DFND 1 428 0 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 28 2184 SH DFND 1 2184 0 0 NUVEEN NEW JERSEY MUN VALUE SHS 670702109 33 2539 SH DFND 1 2539 0 0 NUVEEN GEORGIA QLTY MUN INC COM 67072B107 832 69802 SH DFND 1 69802 0 0 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 2380 171046 SH DFND 1 171046 0 0 NUVEEN MINESOTA QLT MUN INC SHS 670734102 815 60843 SH DFND 1 60843 0 0 NUVEEN MASSACHUSETS QLT MUN COM 67061E104 593 47228 SH DFND 1 47228 0 0 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 632 50622 SH DFND 1 50622 0 0 NUVEEN NORTH CAROLINA QLTY M COM 67060P100 961 75460 SH DFND 1 75460 0 0 NUVEEN PA MUN VALUE FD COM 67074K105 178 13237 SH DFND 1 13237 0 0 NUVEEN VIRGINIA QLTY MUNCPL COM 67064R102 293 23126 SH DFND 1 23126 0 0 NUVEEN PENNSYLVANIA QLT MUN COM 670972108 932 70562 SH DFND 1 70562 0 0 NUVEEN CONNECTICUT QLTY MUN COM 67060D107 751 62354 SH DFND 1 62354 0 0 NUVEEN TEXAS QLTY MUN INCME COM 670983105 700 52403 SH DFND 1 52403 0 0 NUVEEN MICHIGAN QLT MUN INC COM 670979103 499 37721 SH DFND 1 37721 0 0 NUVEEN OHIO QLTY MUN INCOME COM 670980101 295 20416 SH DFND 1 20416 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 408 27067 SH DFND 1 27067 0 0 NUVEEN CA SELECT TAX FREE PR SH BEN INT 67063R103 104 7376 SH DFND 1 7376 0 0 NUVEEN NEW JERSEY QULT MUN F COM 67069Y102 423 30567 SH DFND 1 30567 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 125 8602 SH DFND 1 8602 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 167 12012 SH DFND 1 12012 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 399 27102 SH DFND 1 27102 0 0 NUVEEN NEW YORK MUN VALUE FD COM 670706100 68 4940 SH DFND 1 4940 0 0 RIVERNORTH OPPORTUNISTIC MUN COM 76883F108 337 16228 SH DFND 1 16228 0 0 WESTERN ASSET INTM MUNI FD I COM 958435109 892 101315 SH DFND 1 101315 0 0 DELAWARE INV CO MUN INC FD I COM 246101109 176 12469 SH DFND 1 12469 0 0 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 394 31063 SH DFND 1 31063 0 0 INVESCO ADVANTAGE MUNICIPAL SH BEN INT 46132E103 69 6467 SH DFND 1 6467 0 0 DELAWARE INV MN MUN INC FD I COM 24610V103 1685 133414 SH DFND 1 133414 0 0 GREEN PLAINS INC NOTE 3.250%10/0 393222AG9 30984 30354000 PRN DFND 1 0 0 0 SENSEONICS HLDGS INC NOTE 5.250% 2/0 81727UAA3 9027 8450000 PRN DFND 1 0 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 2051 138125 SH DFND 1 138125 0 0 CTRIP COM INTL LTD SPONSORED ADS 22943F100 5602 128235 SH DFND 1 128235 0 0 DENBURY RES INC COM NEW 247916208 1471 717615 SH DFND 1 717615 0 0 GOPRO INC CL A 38268T103 4261 655551 SH DFND 1 655551 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 1160 66808 SH DFND 1 66808 0 0 MIDDLEBY CORP COM 596278101 3900 30000 SH DFND 1 30000 0 0 OMEROS CORP COM 682143102 2426 139677 SH DFND 1 139677 0 0 PYXUS INTL INC COM 74737V106 204 8568 SH DFND 1 8568 0 0 QUORUM HEALTH CORP COM 74909E106 1068 763292 SH DFND 1 763292 0 0 REVLON INC CL A NEW 761525609 15 798 SH DFND 1 798 0 0 SURGERY PARTNERS INC COM 86881A100 1177 104396 SH DFND 1 104396 0 0 SIGNET JEWELERS LIMITED SHS G81276100 1445 53208 SH DFND 1 53208 0 0 TESLA INC COM 88160R101 8249 29477 SH DFND 1 29477 0 0 VISTA OUTDOOR INC COM 928377100 468 58513 SH DFND 1 58513 0 0 QUINSTREET INC COM 74874Q100 1261 94200 SH DFND 1 94200 0 0 DIREXION SHS ETF TR DAILY FINL BEAR 25490K539 646 68400 SH DFND 1 68400 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 94 20413 SH DFND 1 20413 0 0 DOMINION ENERGY INC UNIT 08/15/2019 25746U836 5675 113634 SH DFND 1 113634 0 0 EMAGIN CORP COM NEW 29076N206 384 460627 SH DFND 1 460627 0 0 ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 1500 150000 SH DFND 1 150000 0 0 AMCI ACQUISITION CORP UNIT 01/07/2019 00165R200 708 70000 SH DFND 1 70000 0 0 ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 505 50000 SH DFND 1 50000 0 0 ARYA SCIENCES ACQUISITION CO SHS CL A G3165V109 1179 120000 SH DFND 1 120000 0 0 TWELVE SEAS INVESTMENT COMPA SHS G9145A107 3245 323900 SH DFND 1 323900 0 0 CHURCHILL CAP CORP UNIT 99/99/9999 17142R202 474 31000 SH DFND 1 31000 0 0 CAPITOL INVT CORP IV CL A ORD G18920101 1521 149500 SH DFND 1 149500 0 0 CRESCENT ACQUISITION CORP UNIT 99/99/9999 22564L204 1000 100000 SH DFND 1 100000 0 0 CHASERG TECHNLGY ACQUISITN C *W EXP 04/10/202 16166A111 45 70000 SH DFND 1 70000 0 0 DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 22 80000 SH DFND 1 80000 0 0 DFB HEALTHCARE ACQUISTION CO UNIT 01/30/2023 23291E208 2030 200000 SH DFND 1 200000 0 0 DIAMONDPEAK HLDGS COR UNIT 99/99/9999 25280H209 1002 100000 SH DFND 1 100000 0 0 FAR PT ACQUISITION CORP COM CL A 30734W109 3562 358000 SH DFND 1 358000 0 0 FAR PT ACQUISITION CORP UNIT 06/01/2025 30734W208 2886 277500 SH DFND 1 277500 0 0 FINTECH ACQUISITION CORP III COM CL A 31811A101 975 100000 SH DFND 1 100000 0 0 GIGCAPITAL INC RIGHT 03/06/2020 37518N114 81 125000 SH DFND 1 125000 0 0 GORES METROPOULOS INC UNIT 99/99/9999 382872208 1024 100000 SH DFND 1 100000 0 0 GRAF INDL CORP COM 384278107 984 100000 SH DFND 1 100000 0 0 GRAF INDL CORP UNIT 12/31/2025 384278206 404 40000 SH DFND 1 40000 0 0 HENNESSY CAP ACQUSTION CORP UNIT 99/99/9999 42589C203 3119 309442 SH DFND 1 309442 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 3355 329285 SH DFND 1 329285 0 0 LF CAP ACQUISITION CORP UNIT 06/19/2025 50200K207 1555 150000 SH DFND 1 150000 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 23 76700 SH DFND 1 76700 0 0 LEO HOLDINGS CORP COM CL A G5463L105 501 50000 SH DFND 1 50000 0 0 LONGEVITY ACQUISITION CORP ORD SHS G56372132 599 60000 SH DFND 1 60000 0 0 LONGEVITY ACQUISITION CORP 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SH DFND 1 137800 0 0 PENSARE ACQUISITION CORP *W EXP 07/27/202 70957E113 11 55800 SH DFND 1 55800 0 0 AVIS BUDGET GROUP INC COM 053774105 9641 276567 SH DFND 1 276567 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 10601 239464 SH DFND 1 239464 0 0 AMC NETWORKS INC CL A 00164V103 158 2800 SH DFND 1 2800 0 0 AVON PRODS INC COM 054303102 932 317157 SH DFND 1 317157 0 0 BUILDERS FIRSTSOURCE INC COM 12008R107 789 59214 SH DFND 1 59214 0 0 PEABODY ENERGY CORP NEW COM 704551100 635 22423 SH DFND 1 22423 0 0 CARDTRONICS PLC SHS CL A G1991C105 156 4400 SH DFND 1 4400 0 0 CHEMOURS CO COM 163851108 152 4100 SH DFND 1 4100 0 0 CDK GLOBAL INC COM 12508E101 172 2931 SH DFND 1 2931 0 0 CHESAPEAKE ENERGY CORP COM 165167107 95 30677 SH DFND 1 30677 0 0 CLEVELAND CLIFFS INC COM 185899101 1563 156500 SH DFND 1 156500 0 0 CIMPRESS N V SHS EURO N20146101 1766 22041 SH DFND 1 22041 0 0 CNX RESOURCES CORPORATION COM 12653C108 35 3300 SH DFND 1 3300 0 0 CONNS INC COM 208242107 262 11504 SH DFND 1 11504 0 0 COMSTOCK RES INC COM 205768302 1486 214574 SH DFND 1 214574 0 0 CARRIZO OIL & GAS INC COM 144577103 721 57896 SH DFND 1 57896 0 0 CONSTELLIUM NV CL A N22035104 2808 352000 SH DFND 1 352000 0 0 DISH NETWORK CORP CL A 25470M109 436 13773 SH DFND 1 13773 0 0 DELEK US HLDGS INC NEW COM 24665A103 714 19623 SH DFND 1 19623 0 0 ENCANA CORP COM 292505104 327 45251 SH DFND 1 45251 0 0 EP ENERGY CORP CL A 268785102 52 203073 SH DFND 1 203073 0 0 EVERI HLDGS INC COM 30034T103 1832 174159 SH DFND 1 174159 0 0 FORD MTR CO DEL COM 345370860 21 2500 SH DFND 1 2500 0 0 GRIFFON CORP COM 398433102 95 5158 SH DFND 1 5158 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 184 3851 SH DFND 1 3851 0 0 GRANITE PT MTG TR INC NOTE 6.375%10/0 38741LAC1 1291 1275000 PRN DFND 1 0 0 0 GOPRO INC NOTE 3.500% 4/1 38268TAB9 19391 19700000 PRN DFND 1 0 0 0 FERROGLOBE PLC SHS G33856108 733 357929 SH DFND 1 357929 0 0 H & E EQUIPMENT SERVICES INC COM 404030108 1149 45798 SH DFND 1 45798 0 0 HIGHPOINT RES CORP COM 43114K108 81 37032 SH DFND 1 37032 0 0 LIONS GATE ENTMNT CORP CL A VTG 535919401 609 39000 SH DFND 1 39000 0 0 MATTEL INC COM 577081102 148 11431 SH DFND 1 11431 0 0 MCDERMOTT INTL INC COM 580037703 306 41196 SH DFND 1 41196 0 0 MERITAGE HOMES CORP COM 59001A102 259 5800 SH DFND 1 5800 0 0 MERITOR INC NOTE 7.875% 3/0 59001KAC4 18709 10133000 PRN DFND 1 0 0 0 NAVISTAR INTL CORP NEW COM 63934E108 3 93 SH DFND 1 93 0 0 NCI BUILDING SYS INC COM NEW 628852204 697 113204 SH DFND 1 113204 0 0 NETFLIX INC COM 64110L106 523 1468 SH DFND 1 1468 0 0 NEW GOLD INC CDA COM 644535106 405 470757 SH DFND 1 470757 0 0 NIO INC SPON ADS 62914V106 994 195070 SH DFND 1 195070 0 0 PATRICK INDS INC COM 703343103 82 1813 SH DFND 1 1813 0 0 PARSLEY ENERGY INC CL A 701877102 192 9955 SH DFND 1 9955 0 0 PIONEER ENERGY SVCS CORP COM 723664108 6 3639 SH DFND 1 3639 0 0 PROS HOLDINGS INC NOTE 2.000%12/0 74346YAB9 28748 22365000 PRN DFND 1 0 0 0 PARTY CITY HOLDCO INC COM 702149105 867 109298 SH DFND 1 109298 0 0 RENT A CTR INC NEW COM 76009N100 1253 60043 SH DFND 1 60043 0 0 RENEWABLE ENERGY GROUP INC NOTE 4.000% 6/1 75972AAC7 26641 12577000 PRN DFND 1 0 0 0 TRANSOCEAN LTD REG SHS H8817H100 3529 405169 SH DFND 1 405169 0 0 SEMGROUP CORP CL A 81663A105 494 33543 SH DFND 1 33543 0 0 SCIENTIFIC GAMES CORP COM 80874P109 9391 459897 SH DFND 1 459897 0 0 SCORPIO TANKERS INC SHS Y7542C130 405 20420 SH DFND 1 20420 0 0 TIDEWATER INC NEW COM 88642R109 268 11599 SH DFND 1 11599 0 0 TRIUMPH GROUP INC NEW COM 896818101 26 1367 SH DFND 1 1367 0 0 TREEHOUSE FOODS INC COM 89469A104 555 8600 SH DFND 1 8600 0 0 TAILORED BRANDS INC COM 87403A107 3519 448912 SH DFND 1 448912 0 0 VECTOR GROUP LTD COM 92240M108 967 89687 SH DFND 1 89687 0 0 VIPSHOP HLDGS LTD SPONSORED ADS A 92763W103 1770 220426 SH DFND 1 220426 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 5485 7858756 SH DFND 1 7858756 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 709 35218 SH DFND 1 35218 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 344 3966 SH DFND 1 3966 0 0 INTREXON CORP NOTE 3.500% 7/0 46122TAA0 5344 9000000 PRN DFND 1 0 0 0 XEROX CORP COM NEW 984121608 152 4775 SH DFND 1 4775 0 0 ZILLOW GROUP INC CL A 98954M101 299 8746 SH DFND 1 8746 0 0 GOODRICH PETE CORP COM PAR 382410843 39 2939 SH DFND 1 2939 0 0 ALTABA INC COM 021346101 111180 1500000 SH DFND 1 1500000 0 0 HOME DEPOT INC COM 437076102 5481 28566 SH DFND 1 28566 0 0 JOHNSON & JOHNSON COM 478160104 2795 20000 SH DFND 1 20000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3251 54997 SH DFND 1 54997 0 0 COTY INC COM CL A 222070203 11500 1000000 SH DFND 1 1000000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 423 1500 SH DFND 1 1500 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 379 7500 SH DFND 1 7500 0 0 BEST BUY INC COM 086516101 1456 20493 SH DFND 1 20493 0 0 DECKERS OUTDOOR CORP COM 243537107 1322 8997 SH DFND 1 8997 0 0 DARDEN RESTAURANTS INC COM 237194105 1424 11730 SH DFND 1 11730 0 0 FOX FACTORY HLDG CORP COM 35138V102 1421 20333 SH DFND 1 20333 0 0 IDEX CORP COM 45167R104 1359 8962 SH DFND 1 8962 0 0 CARMAX INC COM 143130102 1521 21801 SH DFND 1 21801 0 0 LULULEMON ATHLETICA INC COM 550021109 1446 8826 SH DFND 1 8826 0 0 LAMB WESTON HLDGS INC COM 513272104 1380 18426 SH DFND 1 18426 0 0 INGEVITY CORP COM 45688C107 1199 11355 SH DFND 1 11355 0 0 NORFOLK SOUTHERN CORP COM 655844108 8995 48130 SH DFND 1 48130 0 0 PAYCOM SOFTWARE INC COM 70432V102 1390 7352 SH DFND 1 7352 0 0 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 1270 11084 SH DFND 1 11084 0 0 TRINET GROUP INC COM 896288107 1270 21264 SH DFND 1 21264 0 0 TREX CO INC COM 89531P105 1061 17256 SH DFND 1 17256 0 0 TOTAL SYS SVCS INC COM 891906109 1315 13841 SH DFND 1 13841 0 0 VISA INC COM CL A 92826C839 4578 29311 SH DFND 1 29311 0 0 TARGET CORP COM 87612E106 401 5000 SH DFND 1 5000 0 0 TRIMBLE INC COM 896239100 2424 60000 SH DFND 1 60000 0 0 KNOT OFFSHORE PARTNERS LP COM UNITS Y48125101 6361 335000 SH DFND 1 335000 0 0 AMETEK INC NEW COM 031100100 11200 135000 SH DFND 1 135000 0 0 AIR PRODS & CHEMS INC COM 009158106 3437 18000 SH DFND 1 18000 0 0 APTARGROUP INC COM 038336103 4255 40000 SH DFND 1 40000 0 0 BOEING CO COM 097023105 6875 18026 SH DFND 1 18026 0 0 CATERPILLAR INC DEL COM 149123101 2462 18172 SH DFND 1 18172 0 0 DOWDUPONT INC COM 26078J100 5597 105000 SH DFND 1 105000 0 0 EMERSON ELEC CO COM 291011104 3423 50000 SH DFND 1 50000 0 0 EATON CORP PLC SHS G29183103 1611 20000 SH DFND 1 20000 0 0 F M C CORP COM NEW 302491303 1152 15000 SH DFND 1 15000 0 0 FORTIVE CORP COM 34959J108 3518 41937 SH DFND 1 41937 0 0 GRACE W R & CO DEL NEW COM 38388F108 8194 105000 SH DFND 1 105000 0 0 HUBBELL INC COM 443510607 3303 28000 SH DFND 1 28000 0 0 INGERSOLL-RAND PLC SHS G47791101 1295 12000 SH DFND 1 12000 0 0 LINDE PLC COM G5494J103 7037 40000 SH DFND 1 40000 0 0 WELBILT INC COM 949090104 982 60000 SH DFND 1 60000 0 0 WASTE CONNECTIONS INC COM 94106B101 5315 60000 SH DFND 1 60000 0 0 WESTROCK CO COM 96145D105 11696 305000 SH DFND 1 305000 0 0 WILLSCOT CORP COM 971375126 2162 195000 SH DFND 1 195000 0 0 ALCOA CORP COM 013872106 0 10 SH DFND 1 10 0 0 ADIENT PLC ORD SHS G0084W101 238 18406 SH DFND 1 18406 0 0 ANADARKO PETE CORP COM 032511107 1137 25000 SH DFND 1 25000 0 0 AXALTA COATING SYS LTD COM G0750C108 925 36720 SH DFND 1 36720 0 0 BAIDU INC SPON ADR REP A 056752108 1129 6853 SH DFND 1 6853 0 0 BERRY PETE CORP COM 08579X101 403 35000 SH DFND 1 35000 0 0 BORGWARNER INC COM 099724106 1728 45000 SH DFND 1 45000 0 0 CLOUDERA INC COM 18914U100 929 85000 SH DFND 1 85000 0 0 CANADIAN NAT RES LTD COM 136385101 3357 122101 SH DFND 1 122101 0 0 CAESARS ENTMT CORP COM 127686103 434 50000 SH DFND 1 50000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 516 10000 SH DFND 1 10000 0 0 NOW INC COM 67011P100 63 4553 SH DFND 1 4553 0 0 EAGLE MATERIALS INC COM 26969P108 2529 30000 SH DFND 1 30000 0 0 FIREEYE INC COM 31816Q101 336 20020 SH DFND 1 20020 0 0 TECHNIPFMC PLC COM G87110105 11 508 SH DFND 1 508 0 0 HELMERICH & PAYNE INC COM 423452101 83 1500 SH DFND 1 1500 0 0 KRAFT HEINZ CO COM 500754106 332 10175 SH DFND 1 10175 0 0 KENNAMETAL INC COM 489170100 735 20000 SH DFND 1 20000 0 0 MARATHON PETE CORP COM 56585A102 2693 45000 SH DFND 1 45000 0 0 NATIONAL OILWELL VARCO INC COM 637071101 672 25244 SH DFND 1 25244 0 0 PIONEER NAT RES CO COM 723787107 2284 15000 SH DFND 1 15000 0 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 1805 20000 SH DFND 1 20000 0 0 RAYTHEON CO COM NEW 755111507 430 2366 SH DFND 1 2366 0 0 STARBUCKS CORP COM 855244109 2595 34910 SH DFND 1 34910 0 0 SOLARIS OILFIELD INFRSTR INC COM CL A 83418M103 328 20000 SH DFND 1 20000 0 0 TECK RESOURCES LTD CL B 878742204 468 20200 SH DFND 1 20200 0 0 TERADYNE INC COM 880770102 398 10000 SH DFND 1 10000 0 0 UNITED RENTALS INC COM 911363109 1519 13297 SH DFND 1 13297 0 0 WHITING PETE CORP NEW COM NEW 966387409 2 89 SH DFND 1 89 0 0 WPX ENERGY INC COM 98212B103 661 50434 SH DFND 1 50434 0 0 APACHE CORP COM 037411105 0 12 SH DFND 1 12 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 2 6 SH DFND 1 6 0 0 DEERE & CO COM 244199105 8 51 SH DFND 1 51 0 0 FIAT CHRYSLER AUTOMOBILES N SHS N31738102 556 37462 SH DFND 1 37462 0 0 GRUBHUB INC COM 400110102 5 77 SH DFND 1 77 0 0 IAC INTERACTIVECORP COM 44919P508 10919 51971 SH DFND 1 51971 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 290 2056 SH DFND 1 2056 0 0 L BRANDS INC COM 501797104 1 52 SH DFND 1 52 0 0 CHENIERE ENERGY INC COM NEW 16411R208 4 65 SH DFND 1 65 0 0 LAS VEGAS SANDS CORP COM 517834107 1 29 SH DFND 1 29 0 0 MYLAN N V SHS EURO N59465109 0 17 SH DFND 1 17 0 0 FANG HLDGS LTD ADR 30711Y102 0 21 SH DFND 1 21 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 1775 49204 SH DFND 1 49204 0 0 VALERO ENERGY CORP NEW COM 91913Y100 5 62 SH DFND 1 62 0 0 WEYERHAEUSER CO COM 962166104 1 39 SH DFND 1 39 0 0 EPR PPTYS COM SH BEN INT 26884U109 347 4523 SH DFND 1 4523 0 0 LEXINGTON REALTY TRUST COM 529043101 96 10700 SH DFND 1 10700 0 0 RPT REALTY COM SH BEN INT 74971D101 930 77482 SH DFND 1 77482 0 0 WHEELER REAL ESTATE INVT TR CV PFD SER B 963025309 312 24027 SH DFND 1 24027 0 0 WHEELER REAL ESTATE INVT TR COM NEW 963025705 4 3170 SH DFND 1 3170 0 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 9614 8116 SH DFND 1 8116 0 0 DOMINION ENERGY INC COM 25746U109 181 2365 SH DFND 1 2365 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 3715 3539 SH DFND 1 3539 0 0 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 548 4260 SH DFND 1 4260 0 0 SOUTH JERSEY INDS INC UNIT 99/99/9999 838518116 2781 53940 SH DFND 1 53940 0 0 SEMPRA ENERGY 6% PFD CONV A 816851406 14783 139097 SH DFND 1 139097 0 0 STANLEY BLACK & DECKER INC COM 854502101 2199 16152 SH DFND 1 16152 0 0 BECTON DICKINSON & CO PFD SHS CONV A 075887208 1727 27806 SH DFND 1 27806 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 2657 2523 SH DFND 1 2523 0 0 AVISTA CORP COM 05379B107 175 4322 SH DFND 1 4322 0 0 BELMOND LTD CL A G1154H107 835 33500 SH DFND 1 33500 0 0 BEMIS CO INC COM 081437105 94 1700 SH DFND 1 1700 0 0 CONOCOPHILLIPS COM 20825C104 87 1310 SH DFND 1 1310 0 0 CAMPBELL SOUP CO COM 134429109 152 4000 SH DFND 1 4000 0 0 CLEARWAY ENERGY INC CL C 18539C204 754 49938 SH DFND 1 49938 0 0 DISNEY WALT CO COM DISNEY 254687106 805 7258 SH DFND 1 7258 0 0 EHI CAR SVCS LTD SPON ADS CL A 26853A100 529 45032 SH DFND 1 45032 0 0 ELLIE MAE INC COM 28849P100 1875 19003 SH DFND 1 19003 0 0 ENBRIDGE INC COM 29250N105 1450 39989 SH DFND 1 39989 0 0 FIRST DATA CORP NEW COM CL A 32008D106 1924 73248 SH DFND 1 73248 0 0 FOX CORP CL A COM 35137L105 468 12768 SH DFND 1 12768 0 0 GOLDCORP INC NEW COM 380956409 8388 733233 SH DFND 1 733233 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3466 28413 SH DFND 1 28413 0 0 GLOBAL NET LEASE INC COM NEW 379378201 15 805 SH DFND 1 805 0 0 JD COM INC SPON ADR CL A 47215P106 3327 110378 SH DFND 1 110378 0 0 JONES LANG LASALLE INC COM 48020Q107 654 4246 SH DFND 1 4246 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 155 1700 SH DFND 1 1700 0 0 LSC COMMUNICATIONS INC COM 50218P107 822 125915 SH DFND 1 125915 0 0 L3 TECHNOLOGIES INC COM 502413107 4818 23351 SH DFND 1 23351 0 0 LUXOFT HLDG INC ORD SHS CL A G57279104 4125 70270 SH DFND 1 70270 0 0 MEDEQUITIES RLTY TR INC COM 58409L306 1310 117760 SH DFND 1 117760 0 0 ANNALY CAP MGMT INC COM 035710409 417 41752 SH DFND 1 41752 0 0 NEWELL BRANDS INC COM 651229106 184 12000 SH DFND 1 12000 0 0 OWENS ILL INC COM NEW 690768403 108 5700 SH DFND 1 5700 0 0 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 129 4670 SH DFND 1 4670 0 0 PROCTER AND GAMBLE CO COM 742718109 129 1242 SH DFND 1 1242 0 0 QEP RES INC COM 74733V100 19 2500 SH DFND 1 2500 0 0 ROWAN COMPANIES PLC SHS CL A G7665A101 1288 119399 SH DFND 1 119399 0 0 RED HAT INC COM 756577102 8681 47517 SH DFND 1 47517 0 0 SANDERSON FARMS INC COM 800013104 105 800 SH DFND 1 800 0 0 TRIBUNE MEDIA CO CL A 896047503 4981 107956 SH DFND 1 107956 0 0 TRAVELPORT WORLDWIDE LTD SHS G9019D104 673 42820 SH DFND 1 42820 0 0 UQM TECHNOLOGIES INC COM 903213106 86 52544 SH DFND 1 52544 0 0 U S G CORP COM NEW 903293405 4096 94597 SH DFND 1 94597 0 0 VEREIT INC COM 92339V100 2093 250129 SH DFND 1 250129 0 0 WABCO HLDGS INC COM 92927K102 659 5000 SH DFND 1 5000 0 0 WORLDPAY INC CL A 981558109 2690 23706 SH DFND 1 23706 0 0 APARTMENT INVT & MGMT CO CL A 03748R754 385 7670 SH DFND 1 7670 0 0 AMERICAN HOMES 4 RENT CL A 02665T306 1088 47923 SH DFND 1 47923 0 0 AVALONBAY CMNTYS INC COM 053484101 1017 5068 SH DFND 1 5068 0 0 CAMDEN PPTY TR SH BEN INT 133131102 1677 16530 SH DFND 1 16530 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 1250 16601 SH DFND 1 16601 0 0 MID AMER APT CMNTYS INC COM 59522J103 2571 23520 SH DFND 1 23520 0 0 HEALTHCARE TR AMER INC CL A NEW 42225P501 1905 66659 SH DFND 1 66659 0 0 SABRA HEALTH CARE REIT INC COM 78573L106 6436 330586 SH DFND 1 330586 0 0 VENTAS INC COM 92276F100 4689 73499 SH DFND 1 73499 0 0 HOST HOTELS & RESORTS INC COM 44107P104 4206 222575 SH DFND 1 222575 0 0 RLJ LODGING TR COM 74965L101 257 14683 SH DFND 1 14683 0 0 SUNSTONE HOTEL INVS INC NEW COM 867892101 5028 349193 SH DFND 1 349193 0 0 DUKE REALTY CORP COM NEW 264411505 2901 94894 SH DFND 1 94894 0 0 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 1792 50685 SH DFND 1 50685 0 0 LIBERTY PPTY TR SH BEN INT 531172104 4881 100813 SH DFND 1 100813 0 0 PROLOGIS INC COM 74340W103 1879 26118 SH DFND 1 26118 0 0 CORESITE RLTY CORP COM 21870Q105 3312 30956 SH DFND 1 30956 0 0 CUBESMART COM 229663109 282 8815 SH DFND 1 8815 0 0 EQUINIX INC COM 29444U700 1004 2216 SH DFND 1 2216 0 0 LIFE STORAGE INC COM 53223X107 1883 19368 SH DFND 1 19368 0 0 SPIRIT RLTY CAP INC NEW COM NEW 84860W300 5381 135440 SH DFND 1 135440 0 0 STORE CAP CORP COM 862121100 1333 39813 SH DFND 1 39813 0 0 SUN CMNTYS INC COM 866674104 950 8023 SH DFND 1 8023 0 0 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 1764 111285 SH DFND 1 111285 0 0 MACK CALI RLTY CORP COM 554489104 657 29610 SH DFND 1 29610 0 0 EMPIRE ST RLTY TR INC CL A 292104106 5439 344274 SH DFND 1 344274 0 0 KILROY RLTY CORP COM 49427F108 1226 16147 SH DFND 1 16147 0 0 CORPORATE OFFICE PPTYS TR SH BEN INT 22002T108 3552 130115 SH DFND 1 130115 0 0 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 481 23106 SH DFND 1 23106 0 0 PARAMOUNT GROUP INC COM 69924R108 1377 97042 SH DFND 1 97042 0 0 VORNADO RLTY TR SH BEN INT 929042109 1041 15446 SH DFND 1 15446 0 0 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 1797 63353 SH DFND 1 63353 0 0 MACERICH CO COM 554382101 1738 40112 SH DFND 1 40112 0 0 PENNSYLVANIA RL ESTATE INVT SH BEN INT 709102107 1845 293464 SH DFND 1 293464 0 0 RETAIL OPPORTUNITY INVTS COR COM 76131N101 3724 214801 SH DFND 1 214801 0 0 RETAIL PPTYS AMER INC CL A 76131V202 6243 512172 SH DFND 1 512172 0 0 SITE CENTERS CORP COM 82981J109 519 38118 SH DFND 1 38118 0 0 TANGER FACTORY OUTLET CTRS I COM 875465106 2617 124759 SH DFND 1 124759 0 0 TAUBMAN CTRS INC COM 876664103 3411 64510 SH DFND 1 64510 0 0 URBAN EDGE PPTYS COM 91704F104 8235 433437 SH DFND 1 433437 0 0 WEINGARTEN RLTY INVS SH BEN INT 948741103 107 3672 SH DFND 1 3672 0 0 PHUNWARE INC COM 71948P100 1060 77467 SH DFND 1 77467 0 0 PHUNWARE INC *W EXP 12/26/202 71948P118 183 110698 SH DFND 1 110698 0 0 DIREXION SHS ETF TR DLY FIN BULL NEW 25459Y694 337 5449 SH DFND 1 5449 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 2233 129603 SH DFND 1 129603 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 874 34031 SH DFND 1 34031 0 0 INVESCO CURNCYSHS BRIT PND S BRIT POUN STRL 46138M109 4420 35000 SH DFND 1 35000 0 0 GOGO INC COM 38046C109 1503 334848 SH DFND 1 334848 0 0 PENNEY J C CORP INC COM 708160106 25 17347 SH DFND 1 17347 0 0 SNAP INC CL A 83304A106 1453 131875 SH DFND 1 131875 0 0 ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 1 10000 SH DFND 1 10000 0 0 ALLEGRO MERGER CORP COM 01749N103 198 20000 SH DFND 1 20000 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 2245 220000 SH DFND 1 220000 0 0 TWELVE SEAS INVESTMENT COMPA UNIT 06/21/2023 G9145A123 315 30000 SH DFND 1 30000 0 0 BOXWOOD MERGER CORP COM CL A 10319T101 972 100000 SH DFND 1 100000 0 0 BOXWOOD MERGER CORP UNIT 11/26/2025 10319T200 123 12196 SH DFND 1 12196 0 0 BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 37 100000 SH DFND 1 100000 0 0 COLLIER CREEK HOLDINGS COM CL A G22707106 745 75000 SH DFND 1 75000 0 0 COLLIER CREEK HOLDINGS UNIT 99/99/9999 G22707122 957 92800 SH DFND 1 92800 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 3038 287462 SH DFND 1 287462 0 0 CONSTELLATION ALPHA CAP CORP RIGHT 99/99/9999 G2379F132 3 30000 SH DFND 1 30000 0 0 CONSTELLATION ALPHA CAP CORP *W EXP 03/23/202 G2379F116 4 57000 SH DFND 1 57000 0 0 DD3 ACQUISITION CORP SHS G2692M103 983 100000 SH DFND 1 100000 0 0 DD3 ACQUISITION CORP UNIT 10/12/2023 G2692M129 101 10000 SH DFND 1 10000 0 0 EDTECHX HLDGS ACQUISITION CO UNIT 12/31/2025 28138X202 1019 100000 SH DFND 1 100000 0 0 FORUM MERGER II CORP CL A 34986F103 2655 268000 SH DFND 1 268000 0 0 FORUM MERGER II CORP UNIT 09/30/2025 34986F202 517 50000 SH DFND 1 50000 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 42 96825 SH DFND 1 96825 0 0 FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 1019 100000 SH DFND 1 100000 0 0 GREENLAND ACQUISITIN CORPORA SHS G40981139 654 65000 SH DFND 1 65000 0 0 GREENLAND ACQUISITIN CORPORA *W EXP 03/03/202 G40981105 6 65000 SH DFND 1 65000 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 714 70000 SH DFND 1 70000 0 0 GORDON POINTE ACQUISITION CO UNIT 01/18/2023 382788206 525 50000 SH DFND 1 50000 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 16 50000 SH DFND 1 50000 0 0 GORES HOLDINGS III INC UNIT 09/07/2024 38286G208 1416 137500 SH DFND 1 137500 0 0 GS ACQUISITION HLDGS CORP COM CL A 36255F102 1740 173700 SH DFND 1 173700 0 0 GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1788 170503 SH DFND 1 170503 0 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 02/19/202 362409112 35 58479 SH DFND 1 58479 0 0 HL ACQUISITIONS CORP SHS G4603R106 942 95000 SH DFND 1 95000 0 0 HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 1 2250 SH DFND 1 2250 0 0 SOCIAL CAP HEDOSOPHIA HLDGS UNIT 99/99/9999 G8250R111 5900 571740 SH DFND 1 571740 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 40 50303 SH DFND 1 50303 0 0 JENSYN ACQUISITION CORP RIGHT 99/99/9999 47632B128 0 1400 SH DFND 1 1400 0 0 JENSYN ACQUISITION CORP *W EXP 03/07/202 47632B110 0 1900 SH DFND 1 1900 0 0 KBL MERGER CORP IV RIGHT 06/07/2019 48242A120 1 5000 SH DFND 1 5000 0 0 KBL MERGER CORP IV *W EXP 01/15/202 48242A112 0 5000 SH DFND 1 5000 0 0 LEISURE ACQUISITION CORP COM 52539T107 1003 100000 SH DFND 1 100000 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 405 39603 SH DFND 1 39603 0 0 LF CAP ACQUISITION CORP CL A 50200K108 3115 310000 SH DFND 1 310000 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 2760 275000 SH DFND 1 275000 0 0 LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 513 50000 SH DFND 1 50000 0 0 LEO HOLDINGS CORP UNIT 99/99/9999 G5463L121 51 5000 SH DFND 1 5000 0 0 MEGALITH FINL ACQUISITION CO CL A COM 58518F109 1996 200000 SH DFND 1 200000 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 6 25000 SH DFND 1 25000 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 2458 238180 SH DFND 1 238180 0 0 NEBULA ACQUISITION CORP COM CLASS A 629076100 499 50000 SH DFND 1 50000 0 0 NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 1016 100100 SH DFND 1 100100 0 0 NRC GROUP HLDGS CORP *W EXP 10/17/202 629375114 64 71238 SH DFND 1 71238 0 0 ONE MADISON CORP COM CL A G6772P100 2591 252876 SH DFND 1 252876 0 0 ONE MADISON CORP *W EXP 99/99/999 G6772P126 108 94438 SH DFND 1 94438 0 0 OPES ACQUISITION CORP COM 68373P100 507 50000 SH DFND 1 50000 0 0 OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 414 40000 SH DFND 1 40000 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 12 50000 SH DFND 1 50000 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 27 25000 SH DFND 1 25000 0 0 REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 272 27000 SH DFND 1 27000 0 0 REGALWOOD GLOBAL ENERGY LTD UNIT 99/99/9999 G74760110 1035 100000 SH DFND 1 100000 0 0 SCHULTZE SPL PURP ACQUISITIO UNIT 12/31/2023 80821R208 108 10800 SH DFND 1 10800 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 2055 200000 SH DFND 1 200000 0 0 SABAN CAP ACQUISITION CORP UNIT 99/99/9999 78516C205 1035 101000 SH DFND 1 101000 0 0 SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 0 10000 SH DFND 1 10000 0 0 SENTINEL ENERGY SVCS INC CL A 81728P105 1693 168724 SH DFND 1 168724 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 39 58008 SH DFND 1 58008 0 0 THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 865 80000 SH DFND 1 80000 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 2038 200000 SH DFND 1 200000 0 0 TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 1982 200000 SH DFND 1 200000 0 0 TKK SYMPHONY ACQUISITION COR UNIT 08/15/2023 G88950111 1030 100000 SH DFND 1 100000 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 387 36861 SH DFND 1 36861 0 0 TOTTENHAM ACQUISITION I LTD UNIT 05/06/2025 G8959N130 713 69000 SH DFND 1 69000 0 0 TPG PACE HLDGS CORP UNIT 99/99/9999 G89827102 1902 176770 SH DFND 1 176770 0 0 TENZING ACQUISITION CORP UNIT 08/24/2024 G8708A124 766 75000 SH DFND 1 75000 0 0 U S WELL SVCS INC *W EXP 03/15/202 91274U119 109 108509 SH DFND 1 108509 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 4373 427899 SH DFND 1 427899 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 545 53496 SH DFND 1 53496 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 1998 200000 SH DFND 1 200000 0 0 PENSARE ACQUISITION CORP UNIT 07/27/2022 70957E204 163 15575 SH DFND 1 15575 0 0 BISON CAP ACQUISITION CORP RIGHT 03/20/2019 G1142P138 16 48203 SH DFND 1 48203 0 0 BISON CAP ACQUISITION CORP *W EXP 06/20/202 G1142P112 4 24101 SH DFND 1 24101 0 0 BIOCERES CROP SOLUTIONS CORP SHS G1117K114 37 7125 SH DFND 1 7125 0 0 BIOCERES CROP SOLUTIONS CORP *W EXP 07/01/202 G1117K106 19 71250 SH DFND 1 71250 0 0 TARGET HOSPITALITY CORP COM 87615L107 0 2 SH DFND 1 2 0 0 TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 26 17021 SH DFND 1 17021 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 495 132802 SH DFND 1 132802 0 0 DEXCOM INC NOTE 0.750% 5/1 252131AF4 55890 41575000 PRN DFND 1 0 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 219 110243 SH DFND 1 110243 0 0 THERAVANCE INC NOTE 2.125% 1/1 88338TAB0 865 850000 PRN DFND 1 0 0 0 INVACARE CORP NOTE 4.500% 6/0 461203AH4 4804 5550000 PRN DFND 1 0 0 0 LUMENTUM HLDGS INC COM 55024U109 499 8831 SH DFND 1 8831 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 65835 40200000 PRN DFND 1 0 0 0 PURE STORAGE INC CL A 74624M102 302 13867 SH DFND 1 13867 0 0 PRETIUM RES INC NOTE 2.250% 3/1 74139CAB8 1121 1183000 PRN DFND 1 0 0 0 RAMBUS INC DEL COM 750917106 0 59 SH DFND 1 59 0 0 SYNAPTICS INC COM 87157D109 524 13200 SH DFND 1 13200 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 2209 76614 SH DFND 1 76614 0 0 UNITED CONTL HLDGS INC COM 910047109 153 1920 SH DFND 1 1920 0 0 VIASAT INC COM 92552V100 1385 17883 SH DFND 1 17883 0 0 WESTERN DIGITAL CORP COM 958102105 1907 39698 SH DFND 1 39698 0 0 WRIGHT MED GROUP N V NOTE 2.250%11/1 98236JAB4 58313 37615000 PRN DFND 1 0 0 0 ZAYO GROUP HLDGS INC COM 98919V105 479 16880 SH DFND 1 16880 0 0 ABIOMED INC COM 003654100 1101 3857 SH DFND 1 3857 0 0 HUMANA INC COM 444859102 1249 4698 SH DFND 1 4698 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1366 5526 SH DFND 1 5526 0 0 CANADIAN PAC RY LTD COM 13645T100 1133 5500 SH DFND 1 5500 0 0 GENESEE & WYO INC CL A 371559105 697 8000 SH DFND 1 8000 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 2180 25000 SH DFND 1 25000 0 0 UNION PACIFIC CORP COM 907818108 5852 35000 SH DFND 1 35000 0 0 VIAVI SOLUTIONS INC COM 925550105 619 50000 SH DFND 1 50000 0 0 ZEBRA TECHNOLOGIES CORP CL A 989207105 4190 20000 SH DFND 1 20000 0 0 FEDEX CORP COM 31428X106 1814 10000 SH DFND 1 10000 0 0 HUNT J B TRANS SVCS INC COM 445658107 1519 15000 SH DFND 1 15000 0 0 ON TRACK INNOVATION LTD SHS M8791A109 19 30000 SH DFND 1 30000 0 0 ABBOTT LABS COM 002824100 0 5 SH DFND 1 5 0 0 FINISAR CORP COM NEW 31787A507 2522 108879 SH DFND 1 108879 0 0 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 1794 46020 SH DFND 1 46020 0 0 ARRIS INTERNATIONAL PLC SHS G0551A103 6229 197086 SH DFND 1 197086 0 0 CIGNA CORP NEW COM 125523100 370 2303 SH DFND 1 2303 0 0 CENTENE CORP DEL COM 15135B101 99 1866 SH DFND 1 1866 0 0 QUEST DIAGNOSTICS INC COM 74834L100 892 9920 SH DFND 1 9920 0 0 IMMUNOGEN INC NOTE 4.500% 7/0 45253HAB7 93 100000 PRN DFND 1 0 0 0 BLACKBERRY LTD DEBT 3.750%11/1 C10268AC1 27129 22787000 PRN DFND 1 0 0 0 TATA MTRS LTD SPONSORED ADR 876568502 70 5587 SH DFND 1 5587 0 0 UNDER ARMOUR INC CL A 904311107 34 1611 SH DFND 1 1611 0 0 UNITED STATES STL CORP NEW COM 912909108 389 19975 SH DFND 1 19975 0 0 DIREXION SHS ETF TR BRZ BL 3X SH NEW 25490K315 337 12052 SH DFND 1 12052 0 0 DIREXION SHS ETF TR DLY ENRGY BULL3X 25459W888 93 4097 SH DFND 1 4097 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 608 27144 SH DFND 1 27144 0 0 DIREXION SHS ETF TR DAILY S&P BIOTEC 25460E539 121 6600 SH DFND 1 6600 0 0 ISHARES TR IBOXX INV CP ETF 464287242 2524 21200 SH DFND 1 21200 0 0 DIREXION SHS ETF TR DLY GOLD INDX 3X 25460E844 17 900 SH DFND 1 900 0 0 PROSHARES TR ULTSHRT QQQ 74347B243 903 26273 SH DFND 1 26273 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 170 1900 SH DFND 1 1900 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 20336 113192 SH DFND 1 113192 0 0 PROSHARES TR ULTRASHRT S&P500 74347B383 412 12398 SH DFND 1 12398 0 0 DIREXION SHS ETF TR DRX S&P500BULL 25459W862 4373 93534 SH DFND 1 93534 0 0 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E885 9 469 SH DFND 1 469 0 0 PROSHARES TR ULTRAPRO SHORT S 74347B268 805 25542 SH DFND 1 25542 0 0 PROSHARES TR ULTRAPRO SHORT Q 74348A160 61 6035 SH DFND 1 6035 0 0 PROSHARES TR PSHS ULT S&P 500 74347R107 58 500 SH DFND 1 500 0 0 ISHARES TR 20 YR TR BD ETF 464287432 644 5100 SH DFND 1 5100 0 0 DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 585 9585 SH DFND 1 9585 0 0 PROSHARES TR ULTRAPRO QQQ 74347X831 148 2620 SH DFND 1 2620 0 0 DIREXION SHS ETF TR DAILY SM CAP BEA 25490K521 455 46200 SH DFND 1 46200 0 0 PROSHARES TR ULTRPRO S&P500 74347X864 481 9764 SH DFND 1 9764 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 1492 16480 SH DFND 1 16480 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1088 19400 SH DFND 1 19400 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 371 12100 SH DFND 1 12100 0 0 ADVAXIS INC COM NEW 007624307 0 119 SH DFND 1 119 0 0 BLINK CHARGING CO COM 09354A100 3 1190 SH DFND 1 1190 0 0 DASEKE INC COM 23753F107 4 959 SH DFND 1 959 0 0 HALCON RES CORP COM PAR NEW 40537Q605 2 1604 SH DFND 1 1604 0 0 LINCOLN NATL CORP IND COM 534187109 178 3044 SH DFND 1 3044 0 0 ZIONS BANCORPORATION N A *W EXP 05/21/202 989701115 27444 2066900 SH DFND 1 2066900 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 1380 66503 SH DFND 1 66503 0 0 AMAZON COM INC COM 023135106 1086 610 SH DFND 1 610 0 0 BIG LOTS INC COM 089302103 63 1680 SH DFND 1 1680 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 53 602 SH DFND 1 602 0 0 CIENA CORP COM NEW 171779309 655 17548 SH DFND 1 17548 0 0 COLGATE PALMOLIVE CO COM 194162103 735 10735 SH DFND 1 10735 0 0 CENTURYLINK INC COM 156700106 1149 95905 SH DFND 1 95905 0 0 D R HORTON INC COM 23331A109 199 4812 SH DFND 1 4812 0 0 DISCOVERY INC COM SER A 25470F104 185 6869 SH DFND 1 6869 0 0 FACEBOOK INC CL A 30303M102 681 4091 SH DFND 1 4091 0 0 GENERAL MTRS CO COM 37045V100 379 10232 SH DFND 1 10232 0 0 GNC HLDGS INC COM CL A 36191G107 312 114598 SH DFND 1 114598 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 89 531 SH DFND 1 531 0 0 HERBALIFE NUTRITION LTD COM SHS G4412G101 92 1755 SH DFND 1 1755 0 0 HP INC COM 40434L105 1356 69827 SH DFND 1 69827 0 0 ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 1419 161112 SH DFND 1 161112 0 0 LOWES COS INC COM 548661107 64 592 SH DFND 1 592 0 0 MASTERCARD INC CL A 57636Q104 7995 33959 SH DFND 1 33959 0 0 MONDELEZ INTL INC CL A 609207105 980 19634 SH DFND 1 19634 0 0 NEWMONT MNG CORP COM 651639106 3781 105710 SH DFND 1 105710 0 0 NOVAVAX INC COM 670002104 46 85121 SH DFND 1 85121 0 0 ONESPAN INC COM 68287N100 287 14959 SH DFND 1 14959 0 0 PFIZER INC COM 717081103 61 1457 SH DFND 1 1457 0 0 PRUDENTIAL FINL INC COM 744320102 173 1891 SH DFND 1 1891 0 0 PUBLIC STORAGE COM 74460D109 202 932 SH DFND 1 932 0 0 QUALCOMM INC COM 747525103 752 13202 SH DFND 1 13202 0 0 ROYAL GOLD INC COM 780287108 466 5126 SH DFND 1 5126 0 0 SAREPTA THERAPEUTICS INC COM 803607100 47 399 SH DFND 1 399 0 0 VALVOLINE INC COM 92047W101 139 7500 SH DFND 1 7500 0 0 WABTEC CORP COM 929740108 1771 24025 SH DFND 1 24025 0 0 WORKDAY INC CL A 98138H101 208 1079 SH DFND 1 1079 0 0 WASTE MGMT INC DEL COM 94106L109 3 34 SH DFND 1 34 0 0 WYNN RESORTS LTD COM 983134107 14 123 SH DFND 1 123 0 0 AMEREN CORP COM 023608102 144 1969 SH DFND 1 1969 0 0 BROWN FORMAN CORP CL B 115637209 234 4442 SH DFND 1 4442 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 187 3933 SH DFND 1 3933 0 0 BOSTON SCIENTIFIC CORP COM 101137107 111 2902 SH DFND 1 2902 0 0 CMS ENERGY CORP COM 125896100 151 2734 SH DFND 1 2734 0 0 CABOT OIL & GAS CORP COM 127097103 163 6265 SH DFND 1 6265 0 0 COPART INC COM 217204106 157 2604 SH DFND 1 2604 0 0 ELECTRONIC ARTS INC COM 285512109 110 1091 SH DFND 1 1091 0 0 EQT CORP COM 26884L109 140 6752 SH DFND 1 6752 0 0 MACYS INC COM 55616P104 156 6531 SH DFND 1 6531 0 0 MCCORMICK & CO INC COM NON VTG 579780206 68 452 SH DFND 1 452 0 0 SL GREEN RLTY CORP COM 78440X101 82 919 SH DFND 1 919 0 0 VULCAN MATLS CO COM 929160109 181 1531 SH DFND 1 1531 0 0 XILINX INC COM 983919101 140 1105 SH DFND 1 1105 0 0 ABEONA THERAPEUTICS INC *W EXP 12/24/201 00289Y115 0 55 SH DFND 1 55 0 0 ADIAL PHARMACEUTICALS INC *W EXP 07/31/202 00688A114 0 200 SH DFND 1 200 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 2 29147 SH DFND 1 29147 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 1494 261147 SH DFND 1 261147 0 0 ALTUS MIDSTREAM CO CL A 02215L100 37 6338 SH DFND 1 6338 0 0 AMBAC FINL GROUP INC COM NEW 023139884 28 1584 SH DFND 1 1584 0 0 BLUE BIRD CORP COM 095306106 5 301 SH DFND 1 301 0 0 DASEKE INC *W EXP 02/27/202 23753F115 7 24225 SH DFND 1 24225 0 0 FGL HLDGS ORD SHS G3402M102 14 1818 SH DFND 1 1818 0 0 FALCON MINERALS CORP *W EXP 07/21/202 30607B208 11 13507 SH DFND 1 13507 0 0 HARTFORD FINL SVCS GROUP INC *W EXP 06/26/201 416515120 274 6027 SH DFND 1 6027 0 0 HALCON RES CORP *W EXP 09/09/202 40537Q118 0 9230 SH DFND 1 9230 0 0 LAZYDAYS HLDGS INC COM 52110H100 14 3098 SH DFND 1 3098 0 0 LINDBLAD EXPEDITIONS HLDGS I COM 535219109 42 2808 SH DFND 1 2808 0 0 LINCOLN NATL CORP IND *W EXP 07/10/201 534187117 142 2558 SH DFND 1 2558 0 0 METLIFE INC COM 59156R108 404 9500 SH DFND 1 9500 0 0 MOTIF BIO PLC *W EXP 11/09/202 619784119 5 21196 SH DFND 1 21196 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 25 22780 SH DFND 1 22780 0 0 NXT ID INC *W EXP 09/02/201 67091J123 0 2396 SH DFND 1 2396 0 0 PRIORITY TECHNOLOGY HLDGS IN COM 74275G107 5 829 SH DFND 1 829 0 0 ROSEHILL RES INC *W EXP 09/16/202 777385113 7 17751 SH DFND 1 17751 0 0 DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 134 100730 SH DFND 1 100730 0 0 TALOS ENERGY INC *W EXP 02/28/202 87484T116 472 124653 SH DFND 1 124653 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 184 138511 SH DFND 1 138511 0 0 VISTRA ENERGY CORP *W EXP 02/02/202 92840M128 148 68363 SH DFND 1 68363 0 0 WAITR HLDGS INC COM 930752100 6 540 SH DFND 1 540 0 0 BLUE HILLS BANCORP INC COM 095573101 98 4118 SH DFND 1 4118 0 0 BSB BANCORP INC MD COM 05573H108 1463 44550 SH DFND 1 44550 0 0