0001357550-19-000054.txt : 20190517
0001357550-19-000054.hdr.sgml : 20190517
20190517115653
ACCESSION NUMBER: 0001357550-19-000054
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190517
DATE AS OF CHANGE: 20190517
EFFECTIVENESS DATE: 20190517
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Weiss Asset Management LP
CENTRAL INDEX KEY: 0001357550
IRS NUMBER: 611451623
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12911
FILM NUMBER: 19834784
BUSINESS ADDRESS:
STREET 1: 222 BERKELEY STREET, 16TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-778-7780
MAIL ADDRESS:
STREET 1: 222 BERKELEY STREET, 16TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER COMPANY:
FORMER CONFORMED NAME: WEISS CAPITAL LLC
DATE OF NAME CHANGE: 20060327
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001357550
XXXXXXXX
03-31-2019
03-31-2019
true
1
RESTATEMENT
Weiss Asset Management LP
222 BERKELEY STREET, 16TH FLOOR
BOSTON
MA
02116
13F HOLDINGS REPORT
028-12911
Y
This amendment is being filed to include positions inadvertently omitted from the previous notification and to correct mistakes in the previous filing, which resulted from a technical error.
Georgiy Nikitin
Chief Compliance Officer
6177787725
Georgiy Nikitin
Boston
MA
05-17-2019
2
303
1278250
false
1
0001357643
WEISS ANDREW M
2
0001298983
BIP GP LLC
INFORMATION TABLE
2
wam13fah1q2019.xml
3M CO
COM
88579Y101
212
1019
SH
DFND
1,2
1019
0
0
8I ENTERPRISES ACQUISITIN CO
UNIT 99/99/9999
G2956M138
6024
600000
SH
DFND
1,2
600000
0
0
ABERDEEN GLOBAL DYNAMIC DIVI
COM
00302M106
98
10378
SH
DFND
1,2
10378
0
0
ACAMAR PARTNERS ACQSITION CO
UNIT 12/30/2025
004285201
2000
200000
SH
DFND
1,2
200000
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
218
1238
SH
DFND
1,2
1238
0
0
ACELRX PHARMACEUTICALS INC
COM
00444T100
113
32516
SH
DFND
1,2
32516
0
0
ADOBE INC
COM
00724F101
210
787
SH
DFND
1,2
787
0
0
AFFIMED N V
COM
N01045108
125
29877
SH
DFND
1,2
29877
0
0
AIR PRODS & CHEMS INC
COM
009158106
216
1130
SH
DFND
1,2
1130
0
0
ALBERTON ACQUISITION CORP
*W EXP 04/26/202
G35006124
2
21490
SH
DFND
1,2
21490
0
0
ALBERTON ACQUISITION CORP
ORD SHS
G35006108
9653
970141
SH
DFND
1,2
970141
0
0
ALBERTON ACQUISITION CORP
RIGHT 10/04/2020
G35006132
51
300000
SH
DFND
1,2
300000
0
0
ALLEGRO MERGER CORP
COM
01749N103
5258
526842
SH
DFND
1,2
526842
0
0
ALPHABET INC
CAP STK CL C
02079K107
204
174
SH
DFND
1,2
174
0
0
ALPHABET INC
CAP STK CL A
02079K305
204
173
SH
DFND
1,2
173
0
0
AMAZON COM INC
COM
023135106
214
120
SH
DFND
1,2
120
0
0
AMCI ACQUISITION CORP
*W EXP 05/20/202
00165R119
56
200000
SH
DFND
1,2
200000
0
0
AMERICAN STS WTR CO
COM
029899101
206
2883
SH
DFND
1,2
2883
0
0
AMERICAN WTR WKS CO INC NEW
COM
030420103
209
2000
SH
DFND
1,2
2000
0
0
AMGEN INC
COM
031162100
359
1888
SH
DFND
1,2
1888
0
0
ANDINA ACQUISITION CORP III
*W EXP 07/31/202
G04415124
228
1137834
SH
DFND
1,2
1137834
0
0
ANDINA ACQUISITION CORP III
RIGHT 07/31/2020
G04415132
13
37834
SH
DFND
1,2
37834
0
0
ANDINA ACQUISITION CORP III
SHS
G04415108
11094
1137834
SH
DFND
1,2
1137834
0
0
ANI PHARMACEUTICALS INC
COM
00182C103
5613
79571
SH
DFND
1,2
79571
0
0
APPLE INC
COM
037833100
219
1154
SH
DFND
1,2
1154
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
210
4872
SH
DFND
1,2
4872
0
0
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
205
13796
SH
DFND
1,2
13796
0
0
ASCENA RETAIL GROUP INC
COM
04351G101
48
44269
SH
DFND
1,2
44269
0
0
ASSURED GUARANTY LTD
COM
G0585R106
367
8271
SH
DFND
1,2
8271
0
0
ATMOS ENERGY CORP
COM
049560105
214
2080
SH
DFND
1,2
2080
0
0
AVID BIOSERVICES INC
COM
05368M106
106
24958
SH
DFND
1,2
24958
0
0
AXSOME THERAPEUTICS INC
COM
05464T104
171
11999
SH
DFND
1,2
11999
0
0
BARCLAYS BK PLC
IPATH B SHRT TRM
06746P621
1697
58000
SH
DFND
1,2
58000
0
0
BARNES & NOBLE INC
COM
067774109
90
16518
SH
DFND
1,2
16518
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
202
1005
SH
DFND
1,2
1005
0
0
BGC PARTNERS INC
CL A
05541T101
138
25933
SH
DFND
1,2
25933
0
0
BIG ROCK PARTNERS ACQUISI CO
COM
089482103
2804
271407
SH
DFND
1,2
271407
0
0
BIODELIVERY SCIENCES INTL IN
COM
09060J106
113
21385
SH
DFND
1,2
21385
0
0
BLACK RIDGE ACQUISITION CORP
COM
09216T107
13333
1305870
SH
DFND
1,2
1305870
0
0
BLACKROCK ENERGY & RES TR
COM
09250U101
384
31700
SH
DFND
1,2
31700
0
0
BLACKROCK ENHANCED GBL DIV T
COM
092501105
230
21485
SH
DFND
1,2
21485
0
0
BLACKROCK HEALTH SCIENCES TR
COM
09250W107
203
5100
SH
DFND
1,2
5100
0
0
BLACKROCK INC
COM
09247X101
203
476
SH
DFND
1,2
476
0
0
BLACKSTONE GSO FLTING RTE FU
COM
09256U105
177
10800
SH
DFND
1,2
10800
0
0
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
350
24569
SH
DFND
1,2
24569
0
0
BLUEGREEN VACATIONS CORP
COM
09629F108
28385
1910179
SH
DFND
1,2
1910179
0
0
BOXWOOD MERGER CORP
*W EXP 11/26/202
10319T119
83
275000
SH
DFND
1,2
275000
0
0
BRIGHTSPHERE INVESTMNT GRP P
SHS
G1644T109
153
11271
SH
DFND
1,2
11271
0
0
BRINKER INTL INC
COM
109641100
258
5820
SH
DFND
1,2
5820
0
0
CAI INTERNATIONAL INC
COM
12477X106
9624
414815
SH
DFND
1,2
414815
0
0
CALIFORNIA WTR SVC GROUP
COM
130788102
208
3834
SH
DFND
1,2
3834
0
0
CAPITOL INVT CORP IV
CL A ORD
G18920101
1018
100000
SH
DFND
1,2
100000
0
0
CAPSTEAD MTG CORP
COM NO PAR
14067E506
167
19386
SH
DFND
1,2
19386
0
0
CARDTRONICS INC
NOTE 1.000%12/0
14161HAG3
2488
2500000
PRN
DFND
1,2
0
0
0
CASTLE BRANDS INC
COM
148435100
10
14989
SH
DFND
1,2
14989
0
0
CATERPILLAR INC DEL
COM
149123101
200
1477
SH
DFND
1,2
1477
0
0
CHASERG TECHNLGY ACQUISITN C
CLASS A
16166A103
1272
128828
SH
DFND
1,2
128828
0
0
CHEGG INC
COM
163092109
4391
115200
SH
DFND
1,2
115200
0
0
CHEVRON CORP NEW
COM
166764100
202
1643
SH
DFND
1,2
1643
0
0
CIMAREX ENERGY CO
COM
171798101
1903
27231
SH
DFND
1,2
27231
0
0
CISCO SYS INC
COM
17275R102
213
3949
SH
DFND
1,2
3949
0
0
CITRIX SYS INC
COM
177376100
3511
35231
SH
DFND
1,2
35231
0
0
CITRIX SYS INC
NOTE 0.500% 4/1
177376AD2
12855
9066000
PRN
DFND
1,2
0
0
0
CLEAN ENERGY FUELS CORP
COM
184499101
74
23915
SH
DFND
1,2
23915
0
0
CM SEVEN STAR ACQUISITION CO
SHS
G2345N102
16042
2233456
SH
DFND
1,2
2233456
0
0
CNX RESOURCES CORPORATION
COM
12653C108
157
14540
SH
DFND
1,2
14540
0
0
COCA COLA CO
COM
191216100
208
4442
SH
DFND
1,2
4442
0
0
COLGATE PALMOLIVE CO
COM
194162103
211
3076
SH
DFND
1,2
3076
0
0
COLLIER CREEK HOLDINGS
COM CL A
G22707106
2988
300000
SH
DFND
1,2
300000
0
0
COLONY CAP INC NEW
CL A COM
19626G108
154
29032
SH
DFND
1,2
29032
0
0
COLONY CR REAL ESTATE INC
COM CL A
19625T101
2875
183557
SH
DFND
1,2
183557
0
0
CONSOLIDATED COMM HLDGS INC
COM
209034107
180
16505
SH
DFND
1,2
16505
0
0
CONSOLIDATED TOMOKA LD CO
NOTE 4.500% 3/1
210226AB2
7867
7500000
PRN
DFND
1,2
0
0
0
CONTANGO OIL & GAS COMPANY
COM NEW
21075N204
61
19301
SH
DFND
1,2
19301
0
0
CORINDUS VASCULAR ROBOTICS I
COM
218730109
65
37314
SH
DFND
1,2
37314
0
0
COSTCO WHSL CORP NEW
COM
22160K105
223
922
SH
DFND
1,2
922
0
0
COTY INC
COM CL A
222070203
23000
2000000
SH
Call
DFND
1,2
0
0
0
CRESCENT ACQUISITION CORP
UNIT 99/99/9999
22564L204
2000
200000
SH
DFND
1,2
200000
0
0
CUMMINS INC
COM
231021106
207
1311
SH
DFND
1,2
1311
0
0
DANAHER CORPORATION
COM
235851102
213
1616
SH
DFND
1,2
1616
0
0
DD3 ACQUISITION CORP
SHS
G2692M103
3586
364800
SH
DFND
1,2
364800
0
0
DD3 ACQUISITION CORP
*W EXP 10/20/202
G2692M111
80
290800
SH
DFND
1,2
290800
0
0
DFB HEALTHCARE ACQUISTION CO
COM
23291E109
4745
475000
SH
DFND
1,2
475000
0
0
DIAMONDPEAK HLDGS COR
UNIT 99/99/9999
25280H209
1002
100000
SH
DFND
1,2
100000
0
0
DIGITAL TURBINE INC
COM NEW
25400W102
60
17057
SH
DFND
1,2
17057
0
0
DISNEY WALT CO
COM DISNEY
254687106
201
1806
SH
DFND
1,2
1806
0
0
DOMINION ENERGY INC
COM
25746U109
45229
590000
SH
Call
DFND
1,2
0
0
0
DOMINION ENERGY INC
UNIT 08/15/2019
25746U836
16224
325000
SH
DFND
1,2
325000
0
0
DURECT CORP
COM
266605104
14
22095
SH
DFND
1,2
22095
0
0
EATON VANCE FLTING RATE INC
COM
278279104
407
30858
SH
DFND
1,2
30858
0
0
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
421
45823
SH
DFND
1,2
45823
0
0
EATON VANCE SH TM DR DIVR IN
COM
27828V104
135
10400
SH
DFND
1,2
10400
0
0
ECHOSTAR CORP
CL A
278768106
1731
47484
SH
DFND
1,2
47484
0
0
EDTECHX HLDGS ACQUISITION CO
*W EXP 12/31/202
28138X111
73
382773
SH
DFND
1,2
382773
0
0
EDTECHX HLDGS ACQUISITION CO
COM
28138X103
1401
138973
SH
DFND
1,2
138973
0
0
EMERSON ELEC CO
COM
291011104
205
2991
SH
DFND
1,2
2991
0
0
EURONET WORLDWIDE INC
COM
298736109
17459
122444
SH
DFND
1,2
122444
0
0
EURONET WORLDWIDE INC
NOTE 1.500%10/0
298736AH2
23078
11755000
PRN
DFND
1,2
0
0
0
EVERSOURCE ENERGY
COM
30040W108
209
2946
SH
DFND
1,2
2946
0
0
EXXON MOBIL CORP
COM
30231G102
204
2526
SH
DFND
1,2
2526
0
0
FINISAR CORP
NOTE 0.500%12/1
31787AAP6
35274
35968000
PRN
DFND
1,2
0
0
0
FINISAR CORP
COM NEW
31787A507
2317
100000
SH
Put
DFND
1,2
0
0
0
FORUM MERGER II CORP
CL A
34986F103
6261
631801
SH
DFND
1,2
631801
0
0
FRANKLIN RES INC
COM
354613101
208
6287
SH
DFND
1,2
6287
0
0
FRONTLINE LTD
SHS NEW
G3682E192
112
17300
SH
DFND
1,2
17300
0
0
GABELLI DIVD & INCOME TR
COM
36242H104
721
33883
SH
DFND
1,2
33883
0
0
GENERAL DYNAMICS CORP
COM
369550108
205
1209
SH
DFND
1,2
1209
0
0
GENESIS HEALTHCARE INC
CL A COM
37185X106
67
46800
SH
DFND
1,2
46800
0
0
GIGCAPITAL INC
COM
37518N106
14509
1422420
SH
DFND
1,2
1422420
0
0
GILDAN ACTIVEWEAR INC
COM
375916103
238
6620
SH
DFND
1,2
6620
0
0
GILEAD SCIENCES INC
COM
375558103
205
3146
SH
DFND
1,2
3146
0
0
GLOBAL EAGLE ENTMT INC
COM
37951D102
19
26700
SH
DFND
1,2
26700
0
0
GORDON POINTE ACQUISITION CO
COM CLASS A
382788107
379
37170
SH
DFND
1,2
37170
0
0
GORES HOLDINGS III INC
*W EXP 09/11/202
38286G117
126
86333
SH
DFND
1,2
86333
0
0
GORES HOLDINGS III INC
CLASS A
38286G109
2564
258999
SH
DFND
1,2
258999
0
0
GRAINGER W W INC
COM
384802104
207
687
SH
DFND
1,2
687
0
0
GREENLAND ACQUISITIN CORPORA
SHS
G40981139
567
56327
SH
DFND
1,2
56327
0
0
GS ACQUISITION HLDGS CORP
COM CL A
36255F102
2910
290379
SH
DFND
1,2
290379
0
0
GS ACQUISITION HLDGS CORP
*W EXP 06/12/202
36255F110
151
96793
SH
DFND
1,2
96793
0
0
GSV CAP CORP
NOTE 4.750% 3/2
36191JAC5
3230
3225000
PRN
DFND
1,2
0
0
0
GULFPORT ENERGY CORP
COM NEW
402635304
156
19504
SH
DFND
1,2
19504
0
0
HENNESSY CAP ACQUSTION CORP
UNIT 99/99/9999
42589C203
27998
2777580
SH
DFND
1,2
2777580
0
0
HERSHEY CO
COM
427866108
208
1813
SH
DFND
1,2
1813
0
0
HL ACQUISITIONS CORP
SHS
G4603R106
834
84109
SH
DFND
1,2
84109
0
0
HOME DEPOT INC
COM
437076102
208
1082
SH
DFND
1,2
1082
0
0
HONEYWELL INTL INC
COM
438516106
209
1314
SH
DFND
1,2
1314
0
0
HORMEL FOODS CORP
COM
440452100
208
4658
SH
DFND
1,2
4658
0
0
HORNBECK OFFSHORE SVCS INC N
COM
440543106
37
30234
SH
DFND
1,2
30234
0
0
HUNTER MARITIME ACQUISITION
*W EXP 11/17/202
Y37828129
46
100000
SH
DFND
1,2
100000
0
0
II VI INC
COM
902104108
3364
90339
SH
DFND
1,2
90339
0
0
ILLINOIS TOOL WKS INC
COM
452308109
202
1410
SH
DFND
1,2
1410
0
0
INTEGRATED DEVICE TECHNOLOGY
NOTE 0.875%11/1
458118AC0
50933
32487000
PRN
DFND
1,2
0
0
0
INTEL CORP
COM
458140100
203
3774
SH
DFND
1,2
3774
0
0
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
202
2658
SH
DFND
1,2
2658
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
207
1469
SH
DFND
1,2
1469
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
246
22830
SH
DFND
1,2
22830
0
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
420
38700
SH
DFND
1,2
38700
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
339
28444
SH
DFND
1,2
28444
0
0
INVESCO MUN TR
COM
46131J103
148
12286
SH
DFND
1,2
12286
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
326
26300
SH
DFND
1,2
26300
0
0
INVESTORS BANCORP INC NEW
COM
46146L101
151
12744
SH
DFND
1,2
12744
0
0
ISHARES INC
MSCI STH KOR ETF
464286772
24380
400000
SH
Put
DFND
1
0
0
0
ISHARES INC
MSCI BRAZIL ETF
464286400
4304
105000
SH
DFND
1,2
105000
0
0
ISHARES TR
PFD AND INCM SEC
464288687
37190
1017500
SH
Put
DFND
1,2
0
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
16599
190700
SH
Put
DFND
1,2
0
0
0
ISHARES TR
PHLX SEMICND ETF
464287523
3791
20000
SH
DFND
1,2
20000
0
0
JOHNSON & JOHNSON
COM
478160104
204
1460
SH
DFND
1,2
1460
0
0
JUST ENERGY GROUP INC
COM
48213W101
225
66188
SH
DFND
1,2
66188
0
0
KAYNE ANDERSN MLP MIDS INVT
COM
486606106
2010
125415
SH
DFND
1,2
125415
0
0
KBL MERGER CORP IV
COM
48242A104
11095
1067860
SH
DFND
1,2
1067860
0
0
KIMBERLY CLARK CORP
COM
494368103
217
1752
SH
DFND
1,2
1752
0
0
LAUDER ESTEE COS INC
CL A
518439104
215
1299
SH
DFND
1,2
1299
0
0
LEGACY ACQUISITION CORP
COM CL A
524643103
1255
125000
SH
DFND
1,2
125000
0
0
LEISURE ACQUISITION CORP
COM
52539T107
3398
338484
SH
DFND
1,2
338484
0
0
LEO HOLDINGS CORP
COM CL A
G5463L105
10685
1064267
SH
DFND
1,2
1064267
0
0
LEO HOLDINGS CORP
*W EXP 02/07/202
G5463L113
219
281200
SH
DFND
1,2
281200
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
851
139285
SH
DFND
1,2
139285
0
0
LIBERTY MEDIA CORP
DEB 3.500% 1/1
530715AN1
100759
134208000
PRN
DFND
1,2
0
0
0
LIVEPERSON INC
COM
538146101
2084
71800
SH
DFND
1,2
71800
0
0
LOEWS CORP
COM
540424108
203
4226
SH
DFND
1,2
4226
0
0
LONGEVITY ACQUISITION CORP
*W EXP 07/31/202
G56372116
25
211700
SH
DFND
1,2
211700
0
0
MAGNA INTL INC
COM
559222401
231
4747
SH
DFND
1,2
4747
0
0
MAGNOLIA OIL & GAS CORP
*W EXP 07/31/202
559663117
1536
453101
SH
DFND
1,2
453101
0
0
MASTERCARD INC
CL A
57636Q104
211
895
SH
DFND
1,2
895
0
0
MEDEQUITIES RLTY TR INC
COM
58409L306
9372
842030
SH
DFND
1,2
842030
0
0
MEDLEY CAP CORP
COM
58503F106
300
96400
SH
DFND
1,2
96400
0
0
MEGALITH FINL ACQUISITION CO
CL A COM
58518F109
1582
158539
SH
DFND
1,2
158539
0
0
MEGALITH FINL ACQUISITION CO
*W EXP 08/26/202
58518F117
65
238021
SH
DFND
1,2
238021
0
0
MERCADOLIBRE INC
NOTE 2.250% 7/0
58733RAB8
19736
4907000
PRN
DFND
1,2
0
0
0
MERCK & CO INC
COM
58933Y105
206
2479
SH
DFND
1,2
2479
0
0
METHANEX CORP
COM
59151K108
233
4095
SH
DFND
1,2
4095
0
0
MFS INTER INCOME TR
SH BEN INT
55273C107
165
43391
SH
DFND
1,2
43391
0
0
MGE ENERGY INC
COM
55277P104
219
3216
SH
DFND
1,2
3216
0
0
MICHAELS COS INC
COM
59408Q106
136
11882
SH
DFND
1,2
11882
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625% 2/1
595017AD6
4875
2992000
PRN
DFND
1,2
0
0
0
MICROSOFT CORP
COM
594918104
214
1813
SH
DFND
1,2
1813
0
0
MODERN MEDIA ACQUISITION
COM
60765P103
19355
1868282
SH
DFND
1,2
1868282
0
0
MONOCLE ACQUISITION CORP
COM
609754106
13720
1400000
SH
DFND
1,2
1400000
0
0
MONTAGE RES CORP
COM
61179L100
542
36013
SH
DFND
1,2
36013
0
0
MORGAN STANLEY ASIA PAC FD I
COM
61744U106
5809
355316
SH
DFND
1,2
355316
0
0
MOSAIC ACQUISITION CORP
COM CL A
61946M100
2056
204010
SH
DFND
1,2
204010
0
0
MR COOPER GROUP INC
COM
62482R107
377
39264
SH
DFND
1,2
39264
0
0
NATIONAL CINEMEDIA INC
COM
635309107
93
13193
SH
DFND
1,2
13193
0
0
NAVIENT CORPORATION
COM
63938C108
153
13196
SH
DFND
1,2
13196
0
0
NEW FRONTIER CORP
COM CL A
G6485P108
7769
784700
SH
DFND
1,2
784700
0
0
NII HLDGS INC
COM PAR
62913F508
41
21126
SH
DFND
1,2
21126
0
0
NIKE INC
CL B
654106103
203
2407
SH
DFND
1,2
2407
0
0
NORBORD INC
COM NEW
65548P403
245
8870
SH
DFND
1,2
8870
0
0
NUTRIEN LTD
COM
67077M108
237
4488
SH
DFND
1,2
4488
0
0
NUVEEN CORE EQUITY ALPHA FUN
COM
67090X107
141
10049
SH
DFND
1,2
10049
0
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
463
48100
SH
DFND
1,2
48100
0
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
469
48862
SH
DFND
1,2
48862
0
0
NUVEEN QUALITY MUNCP INCOME
COM
67066V101
447
32925
SH
DFND
1,2
32925
0
0
NUVEEN SR INCOME FD
COM
67067Y104
204
35092
SH
DFND
1,2
35092
0
0
ON DECK CAP INC
COM
682163100
93
17151
SH
DFND
1,2
17151
0
0
ONE GAS INC
COM
68235P108
208
2333
SH
DFND
1,2
2333
0
0
ONE MADISON CORP
COM CL A
G6772P100
19377
1890424
SH
DFND
1,2
1890424
0
0
OPES ACQUISITION CORP
COM
68373P100
1207
118910
SH
DFND
1,2
118910
0
0
ORACLE CORP
COM
68389X105
208
3869
SH
DFND
1,2
3869
0
0
PACCAR INC
COM
693718108
204
2988
SH
DFND
1,2
2988
0
0
PACIFIC BIOSCIENCES CALIF IN
COM
69404D108
104
14356
SH
DFND
1,2
14356
0
0
PARTY CITY HOLDCO INC
COM
702149105
128
16058
SH
DFND
1,2
16058
0
0
PENNYMAC FINL SVCS INC
COM
70932M107
1730
77791
SH
DFND
1,2
77791
0
0
PENSARE ACQUISITION CORP
COM
70957E105
33743
3285546
SH
DFND
1,2
3285546
0
0
PEPSICO INC
COM
713448108
213
1734
SH
DFND
1,2
1734
0
0
PFENEX INC
COM
717071104
81
13093
SH
DFND
1,2
13093
0
0
PFIZER INC
COM
717081103
201
4723
SH
DFND
1,2
4723
0
0
PHILIP MORRIS INTL INC
COM
718172109
206
2329
SH
DFND
1,2
2329
0
0
PIONEER FLOATING RATE TR
COM
72369J102
275
26400
SH
DFND
1,2
26400
0
0
PITNEY BOWES INC
COM
724479100
239
34802
SH
DFND
1,2
34802
0
0
PIVOTAL ACQUISITION CORP
CL A COM
72583A101
734
75000
SH
DFND
1,2
75000
0
0
PIVOTAL ACQUISITION CORP
*W EXP 12/01/202
72583A119
32
75000
SH
DFND
1,2
75000
0
0
PLURALSIGHT INC
COM CL A
72941B106
4888
154000
SH
DFND
1,2
154000
0
0
PROCTER AND GAMBLE CO
COM
742718109
215
2063
SH
DFND
1,2
2063
0
0
PROGRESSIVE CORP OHIO
COM
743315103
201
2794
SH
DFND
1,2
2794
0
0
PROSPECT CAPITAL CORPORATION
NOTE 6.375% 3/0
74348TAT9
7388
7500000
PRN
DFND
1,2
0
0
0
PUBLIC STORAGE
COM
74460D109
212
972
SH
DFND
1,2
972
0
0
PURE ACQUISITION CORP
*W EXP 04/17/202
74621Q114
116
104505
SH
DFND
1,2
104505
0
0
QUAD / GRAPHICS INC
COM CL A
747301109
2656
223203
SH
DFND
1,2
223203
0
0
RAYTHEON CO
COM NEW
755111507
202
1109
SH
DFND
1,2
1109
0
0
READY CAP CORP
COM
75574U101
4235
288655
SH
DFND
1,2
288655
0
0
REALOGY HLDGS CORP
COM
75605Y106
135
11830
SH
DFND
1,2
11830
0
0
RED HAT INC
NOTE 0.250%10/0
756577AD4
4809
1946000
PRN
DFND
1,2
0
0
0
REGALWOOD GLOBAL ENERGY LTD
COM CL A
G74760102
15466
1531280
SH
DFND
1,2
1531280
0
0
REGIONS FINL CORP NEW
COM
7591EP100
145
10259
SH
DFND
1,2
10259
0
0
RESOURCE CAP CORP
NOTE 4.500% 8/1
76120WAC8
10241
10299000
PRN
DFND
1,2
0
0
0
RESTORATION HARDWARE HLDGS I
NOTE 6/1
761283AD2
4115
4100000
PRN
DFND
1,2
0
0
0
RH
COM
74967X103
4828
46900
SH
Put
DFND
1,2
0
0
0
RLJ LODGING TR
CUM CONV PFD A
74965L200
1647
65467
SH
DFND
1,2
65467
0
0
RMG ACQUISITION CORP
UNIT 99/99/9999
749641205
6018
600000
SH
DFND
1,2
600000
0
0
ROKU INC
COM CL A
77543R102
246
3820
SH
DFND
1,2
3820
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
347
41600
SH
DFND
1,2
41600
0
0
RUBICON PROJ INC
COM
78112V102
128
21122
SH
DFND
1,2
21122
0
0
SABAN CAP ACQUISITION CORP
COM CL A
78516C106
19265
1874000
SH
DFND
1,2
1874000
0
0
SEABRIDGE GOLD INC
COM
811916105
13847
1117584
SH
DFND
1,2
1117584
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
5924
89600
SH
DFND
1,2
89600
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
2375
32100
SH
DFND
1,2
32100
0
0
SEMGROUP CORP
CL A
81663A105
156
10571
SH
DFND
1,2
10571
0
0
SENTINEL ENERGY SVCS INC
*W EXP 11/02/202
81728P113
38
56181
SH
DFND
1,2
56181
0
0
SENTINEL ENERGY SVCS INC
CL A
81728P105
20554
2039045
SH
DFND
1,2
2039045
0
0
SESEN BIO INC
COM
817763105
54
52356
SH
DFND
1,2
52356
0
0
SIMON PPTY GROUP INC NEW
COM
828806109
209
1148
SH
DFND
1,2
1148
0
0
SITE CENTERS CORP
COM
82981J109
174
12755
SH
DFND
1,2
12755
0
0
SOCIAL CAP HEDOSOPHIA HLDGS
CL A
G8250R103
3305
324314
SH
DFND
1,2
324314
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
116
24718
SH
DFND
1,2
24718
0
0
SPARTAN ENERGY ACQUISITON CO
*W EXP 08/27/202
846784122
95
86666
SH
DFND
1,2
86666
0
0
SPARTAN ENERGY ACQUISITON CO
CL A COM STK
846784106
3932
400000
SH
DFND
1,2
400000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
22598
80000
SH
Put
DFND
1,2
0
0
0
SPROTT PHYSICAL GOLD & SILVE
TR UNIT
85208R101
26101
2104907
SH
DFND
1,2
2104907
0
0
SPROTT PHYSICAL PLAT PALLAD
UNIT
85207Q104
3873
365013
SH
DFND
1,2
365013
0
0
STANLEY BLACK & DECKER INC
COM
854502101
206
1510
SH
DFND
1,2
1510
0
0
STARWOOD WAYPOINT RESIDENTL
NOTE 3.000% 7/0
85571WAB5
44544
33562000
PRN
DFND
1,2
0
0
0
STEIN MART INC
COM
858375108
38
38416
SH
DFND
1,2
38416
0
0
STRYKER CORP
COM
863667101
211
1067
SH
DFND
1,2
1067
0
0
T MOBILE US INC
COM
872590104
7709
111561
SH
DFND
1,2
111561
0
0
TARGET CORP
COM
87612E106
214
2665
SH
DFND
1,2
2665
0
0
TARGET HOSPITALITY CORP
*W EXP 03/15/202
87615L115
493
318098
SH
DFND
1,2
318098
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
396
23143
SH
DFND
1,2
23143
0
0
TENZING ACQUISITION CORP
ORD SHS
G8708A116
3342
331898
SH
DFND
1,2
331898
0
0
TEXAS INSTRS INC
COM
882508104
202
1901
SH
DFND
1,2
1901
0
0
THIRD PT REINS LTD
COM
G8827U100
148
14216
SH
DFND
1,2
14216
0
0
THOMSON REUTERS CORP
COM NEW
884903709
252
4249
SH
DFND
1,2
4249
0
0
THUNDER BRIDGE ACQUISITION L
SHS CLASS A
G8857R100
13760
1349000
SH
DFND
1,2
1349000
0
0
THUNDER BRIDGE ACQUISITION L
*W EXP 01/01/202
G8857R126
22
30000
SH
DFND
1,2
30000
0
0
TIBERIUS ACQUISITION CORP
*W EXP 02/28/202
88633A115
33
75000
SH
DFND
1,2
75000
0
0
TJX COS INC NEW
COM
872540109
209
3921
SH
DFND
1,2
3921
0
0
TKK SYMPHONY ACQUISITION COR
ORD SHS
G88950103
26149
2636010
SH
DFND
1,2
2636010
0
0
TORCHMARK CORP
COM
891027104
206
2514
SH
DFND
1,2
2514
0
0
TORTOISE ACQUISITION CORP
UNIT 03/04/2024
89154L209
1998
200000
SH
DFND
1,2
200000
0
0
TPG PACE HLDGS CORP
CL A
G89827128
1541
150450
SH
DFND
1,2
150450
0
0
TRANSALTA CORP
COM
89346D107
2241
304600
SH
DFND
1,2
304600
0
0
TRAVELERS COMPANIES INC
COM
89417E109
209
1527
SH
DFND
1,2
1527
0
0
TRIDENT ACQUISITIONS CORP
COM
89615T106
10670
1047138
SH
DFND
1,2
1047138
0
0
TRINITY MERGER CORP
COM CL A
89653L106
3429
335499
SH
DFND
1,2
335499
0
0
TUSCAN HOLDINGS CORP
COM
90069K104
22528
2308992
SH
DFND
1,2
2308992
0
0
TUSCAN HOLDINGS CORP
*W EXP 04/01/202
90069K112
883
1358792
SH
DFND
1,2
1358792
0
0
TWELVE SEAS INVESTMENT COMPA
SHS
G9145A107
23207
2316048
SH
DFND
1,2
2316048
0
0
UBS AG LONDON BRH
ETRACS MTH2XRE
90269A302
278
18383
SH
DFND
1,2
18383
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
206
1842
SH
DFND
1,2
1842
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
207
839
SH
DFND
1,2
839
0
0
V F CORP
COM
918204108
208
2394
SH
DFND
1,2
2394
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
6614
295000
SH
DFND
1,2
295000
0
0
VANECK VECTORS ETF TR
JR GOLD MINERS E
92189F791
5743
181000
SH
DFND
1,2
181000
0
0
VANTAGE ENERGY ACQUISITION
COM CL A
92211L105
40203
3933795
SH
DFND
1,2
3933795
0
0
VECTOIQ ACQUISITION CORP
COM
92243N103
5475
548051
SH
DFND
1,2
548051
0
0
VECTOR GROUP LTD
COM
92240M108
158
14635
SH
DFND
1,2
14635
0
0
VERASTEM INC
NOTE 5.000%11/0
92337CAA2
6708
8250000
PRN
DFND
1,2
0
0
0
VIRNETX HLDG CORP
COM
92823T108
128
20290
SH
DFND
1,2
20290
0
0
VIRTUS INVT PARTNERS INC
PFD CV SER D
92828Q208
890
10000
SH
DFND
1,2
10000
0
0
VISA INC
COM CL A
92826C839
214
1369
SH
DFND
1,2
1369
0
0
VISTRA ENERGY CORP
COM
92840M102
5206
200000
SH
Put
DFND
1,2
0
0
0
VISTRA ENERGY CORP
COM
92840M102
2759
106000
SH
DFND
1,2
106000
0
0
VISTRA ENERGY CORP
UNIT 02/02/2024
92840M300
9117
92500
SH
DFND
1,2
92500
0
0
VITAMIN SHOPPE INC
COM
92849E101
131
18609
SH
DFND
1,2
18609
0
0
VIVINT SOLAR INC
COM
92854Q106
102
20574
SH
DFND
1,2
20574
0
0
VOYA ASIA PAC DIVID EQUITY I
COM
92912J102
133
14221
SH
DFND
1,2
14221
0
0
VOYA RISK MANAGED NAT RES FD
COM
92913C106
101
18741
SH
DFND
1,2
18741
0
0
WALMART INC
COM
931142103
201
2060
SH
DFND
1,2
2060
0
0
WASHINGTON PRIME GROUP NEW
COM
93964W108
168
29714
SH
DFND
1,2
29714
0
0
WEALTHBRIDGE ACQUISITION LTD
*W EXP 01/31/202
G4887W128
83
643000
SH
DFND
1,2
643000
0
0
WEALTHBRIDGE ACQUISITION LTD
SHS
G4887W110
6314
643000
SH
DFND
1,2
643000
0
0
WEALTHBRIDGE ACQUISITION LTD
RIGHT 11/02/2023
G4887W136
69
343000
SH
DFND
1,2
343000
0
0
WELLS FARGO MULTI SECTOR INC
COM
94987D101
154
12743
SH
DFND
1,2
12743
0
0