0000919574-14-003139.txt : 20140515
0000919574-14-003139.hdr.sgml : 20140515
20140515093121
ACCESSION NUMBER: 0000919574-14-003139
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140515
DATE AS OF CHANGE: 20140515
EFFECTIVENESS DATE: 20140515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DIALECTIC CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001411512
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12674
FILM NUMBER: 14844206
BUSINESS ADDRESS:
STREET 1: 875 THIRD AVENUE, 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-230-3220
MAIL ADDRESS:
STREET 1: 875 THIRD AVENUE, 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001411512
XXXXXXXX
03-31-2014
03-31-2014
false
DIALECTIC CAPITAL MANAGEMENT, LLC
875 Third Avenue, 15th Floor
New York
NY
10022
13F HOLDINGS REPORT
028-12674
N
John Fichthorn
Managing Member
212-230-3220
/s/ John Fichthorn
New York
NY
05-15-2014
1
286
314905
1
0001268057
028-14791
Dialectic Offshore, Ltd.
INFORMATION TABLE
2
infotable.xml
3-D SYS CORP DEL
COM NEW
88554D205
581
9827
SH
SOLE
9827
0
0
3-D SYS CORP DEL
COM NEW
88554D205
602
10173
SH
DFND
1
10173
0
0
ABIOMED INC
COM
003654100
383
14700
SH
Put
SOLE
14700
0
0
ABIOMED INC
COM
003654100
398
15300
SH
Put
DFND
1
15300
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
268
13118
SH
SOLE
13118
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
1000
48900
SH
Call
SOLE
48900
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
409
20032
SH
DFND
1
20032
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
2843
139100
SH
Call
DFND
1
139100
0
0
ACTUATE CORP
COM
00508B102
229
38118
SH
SOLE
38118
0
0
ACTUATE CORP
COM
00508B102
817
135632
SH
DFND
1
135632
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
313
78169
SH
SOLE
78169
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
325
81051
SH
DFND
1
81051
0
0
AIR LEASE CORP
CL A
00912X302
1421
38100
SH
Call
SOLE
38100
0
0
AIR LEASE CORP
CL A
00912X302
1376
36900
SH
Call
DFND
1
36900
0
0
ALLEGION PUB LTD CO
ORD SHS
G0176J109
518
9922
SH
SOLE
9922
0
0
ALLEGION PUB LTD CO
ORD SHS
G0176J109
1138
21819
SH
DFND
1
21819
0
0
AMERICAN CAP LTD
COM
02503Y103
451
28538
SH
SOLE
28538
0
0
AMERICAN CAP LTD
COM
02503Y103
1603
101462
SH
DFND
1
101462
0
0
AMERICAN CAP SR FLOATING LTD
COM
02504D108
329
23420
SH
SOLE
23420
0
0
AMERICAN CAP SR FLOATING LTD
COM
02504D108
1209
86131
SH
DFND
1
86131
0
0
AMERICAN EXPRESS CO
COM
025816109
395
4388
SH
SOLE
4388
0
0
AMERICAN EXPRESS CO
COM
025816109
1406
15612
SH
DFND
1
15612
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
343
4189
SH
SOLE
4189
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
409
5000
SH
Call
SOLE
5000
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
974
11902
SH
DFND
1
11902
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
1130
13800
SH
Call
DFND
1
13800
0
0
APPLE INC
COM
037833100
811
1511
SH
SOLE
1511
0
0
APPLE INC
COM
037833100
2987
5565
SH
DFND
1
5565
0
0
APPLIED OPTOELECTRONICS INC
COM
03823U102
140
5682
SH
SOLE
5682
0
0
APPLIED OPTOELECTRONICS INC
COM
03823U102
532
21583
SH
DFND
1
21583
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
149
3438
SH
SOLE
3438
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
413
9527
SH
DFND
1
9527
0
0
ARUBA NETWORKS INC
COM
043176106
292
15548
SH
SOLE
15548
0
0
BABCOCK & WILCOX CO NEW
COM
05615F102
268
8066
SH
SOLE
8066
0
0
BABCOCK & WILCOX CO NEW
COM
05615F102
557
16771
SH
DFND
1
16771
0
0
BAKER HUGHES INC
COM
057224107
1326
20400
SH
Put
SOLE
20400
0
0
BAKER HUGHES INC
COM
057224107
1274
19600
SH
Put
DFND
1
19600
0
0
BALL CORP
COM
058498106
359
6548
SH
SOLE
6548
0
0
BERRY PLASTICS GROUP INC
COM
08579W103
74
3157
SH
SOLE
3157
0
0
BERRY PLASTICS GROUP INC
COM
08579W103
208
8985
SH
DFND
1
8985
0
0
BOEING CO
COM
097023105
301
2397
SH
SOLE
2397
0
0
BOEING CO
COM
097023105
841
6698
SH
DFND
1
6698
0
0
BOISE CASCADE CO DEL
COM
09739D100
367
12819
SH
SOLE
12819
0
0
BOISE CASCADE CO DEL
COM
09739D100
1042
36392
SH
DFND
1
36392
0
0
BUNGE LIMITED
COM
G16962105
120
1503
SH
SOLE
1503
0
0
BUNGE LIMITED
COM
G16962105
334
4197
SH
DFND
1
4197
0
0
C&J ENERGY SVCS INC
COM
12467B304
273
9359
SH
SOLE
9359
0
0
C&J ENERGY SVCS INC
COM
12467B304
762
26115
SH
DFND
1
26115
0
0
CAMPBELL SOUP CO
COM
134429109
588
13100
SH
Put
SOLE
13100
0
0
CAMPBELL SOUP CO
COM
134429109
579
12900
SH
Put
DFND
1
12900
0
0
CAPITALA FIN CORP
COM
14054R106
285
14805
SH
SOLE
14805
0
0
CAPITALA FIN CORP
COM
14054R106
1062
55095
SH
DFND
1
55095
0
0
CATCHMARK TIMBER TR INC
CL A
14912Y202
85
6033
SH
SOLE
6033
0
0
CATCHMARK TIMBER TR INC
CL A
14912Y202
240
17070
SH
DFND
1
17070
0
0
CHARTER COMMUNICATIONS INC D
CL A NEW
16117M305
506
4109
SH
SOLE
4109
0
0
CHARTER COMMUNICATIONS INC D
CL A NEW
16117M305
1417
11502
SH
DFND
1
11502
0
0
COMCAST CORP NEW
CL A SPL
20030N200
1155
23688
SH
SOLE
23688
0
0
COMCAST CORP NEW
CL A SPL
20030N200
1483
30400
SH
Call
SOLE
30400
0
0
COMCAST CORP NEW
CL A SPL
20030N200
1647
33779
SH
DFND
1
33779
0
0
COMCAST CORP NEW
CL A SPL
20030N200
4111
84300
SH
Call
DFND
1
84300
0
0
CONSOL ENERGY INC
COM
20854P109
288
7211
SH
SOLE
7211
0
0
CONSOL ENERGY INC
COM
20854P109
797
19960
SH
DFND
1
19960
0
0
CREE INC
COM
225447101
211
3738
SH
SOLE
3738
0
0
CREE INC
COM
225447101
778
13760
SH
DFND
1
13760
0
0
CROWN CASTLE INTL CORP
COM
228227104
440
5963
SH
SOLE
5963
0
0
CROWN CASTLE INTL CORP
COM
228227104
1231
16679
SH
DFND
1
16679
0
0
CROWN HOLDINGS INC
COM
228368106
268
5977
SH
SOLE
5977
0
0
CROWN HOLDINGS INC
COM
228368106
765
17096
SH
DFND
1
17096
0
0
CUSTOMERS BANCORP INC
COM
23204G100
250
11995
SH
SOLE
11995
0
0
CUSTOMERS BANCORP INC
COM
23204G100
926
44389
SH
DFND
1
44389
0
0
DEERE & CO
COM
244199105
826
9100
SH
Put
SOLE
9100
0
0
DEERE & CO
COM
244199105
799
8800
SH
Put
DFND
1
8800
0
0
DEVON ENERGY CORP NEW
COM
25179M103
301
4511
SH
SOLE
4511
0
0
DEVON ENERGY CORP NEW
COM
25179M103
3072
45900
SH
Call
SOLE
45900
0
0
DEVON ENERGY CORP NEW
COM
25179M103
833
12453
SH
DFND
1
12453
0
0
DEVON ENERGY CORP NEW
COM
25179M103
2952
44100
SH
Call
DFND
1
44100
0
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
1877
38500
SH
Put
SOLE
38500
0
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
1780
36500
SH
Put
DFND
1
36500
0
0
DUNKIN BRANDS GROUP INC
COM
265504100
645
12865
SH
SOLE
12865
0
0
DUNKIN BRANDS GROUP INC
COM
265504100
667
13297
SH
DFND
1
13297
0
0
E M C CORP MASS
COM
268648102
357
13030
SH
SOLE
13030
0
0
E M C CORP MASS
COM
268648102
374
13640
SH
DFND
1
13640
0
0
EATON CORP PLC
SHS
G29183103
1916
25500
SH
Call
SOLE
25500
0
0
EATON CORP PLC
SHS
G29183103
1840
24500
SH
Call
DFND
1
24500
0
0
EBAY INC
COM
278642103
304
5502
SH
SOLE
5502
0
0
EBAY INC
COM
278642103
1270
22988
SH
DFND
1
22988
0
0
EHEALTH INC
COM
28238P109
305
6003
SH
SOLE
6003
0
0
EHEALTH INC
COM
28238P109
1123
22097
SH
DFND
1
22097
0
0
EMCORE CORP
COM NEW
290846203
156
30912
SH
SOLE
30912
0
0
EMCORE CORP
COM NEW
290846203
575
113790
SH
DFND
1
113790
0
0
EQT CORP
COM
26884L109
2725
28100
SH
Call
SOLE
28100
0
0
EQT CORP
COM
26884L109
2608
26900
SH
Call
DFND
1
26900
0
0
EZCHIP SEMICONDUCTOR LIMITED
ORD
M4146Y108
310
12241
SH
SOLE
12241
0
0
EZCHIP SEMICONDUCTOR LIMITED
ORD
M4146Y108
321
12679
SH
DFND
1
12679
0
0
FABRINET
SHS
G3323L100
344
16584
SH
SOLE
16584
0
0
FABRINET
SHS
G3323L100
1268
61048
SH
DFND
1
61048
0
0
FASTENAL CO
COM
311900104
626
12700
SH
Call
SOLE
12700
0
0
FASTENAL CO
COM
311900104
606
12300
SH
Call
DFND
1
12300
0
0
FINISH LINE INC
CL A
317923100
93
3437
SH
SOLE
3437
0
0
FINISH LINE INC
CL A
317923100
265
9778
SH
DFND
1
9778
0
0
FLAGSTAR BANCORP INC
COM PAR .001
337930705
225
10127
SH
SOLE
10127
0
0
FLAGSTAR BANCORP INC
COM PAR .001
337930705
828
37277
SH
DFND
1
37277
0
0
FLEETCOR TECHNOLOGIES INC
COM
339041105
114
992
SH
SOLE
992
0
0
FLEETCOR TECHNOLOGIES INC
COM
339041105
382
3318
SH
DFND
1
3318
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
1193
76500
SH
Put
SOLE
76500
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
1147
73500
SH
Put
DFND
1
73500
0
0
FORTINET INC
COM
34959E109
200
9073
SH
SOLE
9073
0
0
FORTINET INC
COM
34959E109
736
33398
SH
DFND
1
33398
0
0
FUSION-IO INC
COM
36112J107
231
21985
SH
SOLE
21985
0
0
FUSION-IO INC
COM
36112J107
851
80929
SH
DFND
1
80929
0
0
GASTAR EXPL INC NEW
COM
36729W202
379
69115
SH
SOLE
69115
0
0
GASTAR EXPL INC NEW
COM
36729W202
362
66137
SH
DFND
1
66137
0
0
GENERAL MLS INC
COM
370334104
2052
39600
SH
Put
SOLE
39600
0
0
GENERAL MLS INC
COM
370334104
1995
38500
SH
Put
DFND
1
38500
0
0
GENERAL MTRS CO
COM
37045V100
2372
68900
SH
Put
SOLE
68900
0
0
GENERAL MTRS CO
COM
37045V100
2275
66100
SH
Put
DFND
1
66100
0
0
GENTHERM INC
COM
37253A103
191
5488
SH
SOLE
5488
0
0
GENTHERM INC
COM
37253A103
677
19512
SH
DFND
1
19512
0
0
GLU MOBILE INC
COM
379890106
313
66000
SH
SOLE
66000
0
0
GLU MOBILE INC
COM
379890106
322
68000
SH
DFND
1
68000
0
0
GOOGLE INC
CL A
38259P508
656
588
SH
SOLE
588
0
0
GOOGLE INC
CL A
38259P508
1304
1170
SH
DFND
1
1170
0
0
GRAINGER W W INC
COM
384802104
375
1487
SH
SOLE
1487
0
0
GRAINGER W W INC
COM
384802104
608
2405
SH
DFND
1
2405
0
0
HALLIBURTON CO
COM
406216101
1054
17900
SH
Put
SOLE
17900
0
0
HALLIBURTON CO
COM
406216101
1007
17100
SH
Put
DFND
1
17100
0
0
HANESBRANDS INC
COM
410345102
153
2002
SH
SOLE
2002
0
0
HANESBRANDS INC
COM
410345102
424
5549
SH
DFND
1
5549
0
0
HD SUPPLY HLDGS INC
COM
40416M105
193
7404
SH
SOLE
7404
0
0
HD SUPPLY HLDGS INC
COM
40416M105
681
26029
SH
DFND
1
26029
0
0
HUNT J B TRANS SVCS INC
COM
445658107
601
8364
SH
SOLE
8364
0
0
HUNT J B TRANS SVCS INC
COM
445658107
860
11964
SH
DFND
1
11964
0
0
IMMERSION CORP
COM
452521107
4569
433114
SH
SOLE
433114
0
0
IMMERSION CORP
COM
452521107
4575
433619
SH
DFND
1
433619
0
0
INTEROIL CORP
COM
460951106
1587
24500
SH
Put
SOLE
24500
0
0
INTEROIL CORP
COM
460951106
1651
25500
SH
Put
DFND
1
25500
0
0
INTL PAPER CO
COM
460146103
1416
30853
SH
SOLE
30853
0
0
INTL PAPER CO
COM
460146103
1355
29536
SH
DFND
1
29536
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
1489
3400
SH
Put
SOLE
3400
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
1577
3600
SH
Put
DFND
1
3600
0
0
ISHARES
JP MOR EM MK ETF
464288281
422
3789
SH
SOLE
3789
0
0
ISHARES
JP MOR EM MK ETF
464288281
1249
11211
SH
DFND
1
11211
0
0
ISHARES GOLD TRUST
ISHARES
464285105
1318
105940
SH
SOLE
105940
0
0
ISHARES GOLD TRUST
ISHARES
464285105
1070
86040
SH
DFND
1
86040
0
0
JDS UNIPHASE CORP
COM PAR $0.001
46612J507
452
32268
SH
SOLE
32268
0
0
JDS UNIPHASE CORP
COM PAR $0.001
46612J507
1663
118783
SH
DFND
1
118783
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
213
13000
SH
Put
SOLE
13000
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
197
12000
SH
Put
DFND
1
12000
0
0
KAPSTONE PAPER & PACKAGING C
COM
48562P103
123
4264
SH
SOLE
4264
0
0
KAPSTONE PAPER & PACKAGING C
COM
48562P103
75
2600
SH
Call
SOLE
2600
0
0
KAPSTONE PAPER & PACKAGING C
COM
48562P103
344
11936
SH
DFND
1
11936
0
0
KAPSTONE PAPER & PACKAGING C
COM
48562P103
213
7400
SH
Call
DFND
1
7400
0
0
KOFAX LTD
COM USD
G5307C105
262
30145
SH
SOLE
30145
0
0
KOFAX LTD
COM USD
G5307C105
511
58938
SH
DFND
1
58938
0
0
KOHLS CORP
COM
500255104
415
7300
SH
Put
SOLE
7300
0
0
KOHLS CORP
COM
500255104
409
7200
SH
Put
DFND
1
7200
0
0
LAS VEGAS SANDS CORP
COM
517834107
306
3795
SH
SOLE
3795
0
0
LAS VEGAS SANDS CORP
COM
517834107
858
10622
SH
DFND
1
10622
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
441
10602
SH
SOLE
10602
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
1387
33350
SH
DFND
1
33350
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
311
7631
SH
SOLE
7631
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
1026
25213
SH
DFND
1
25213
0
0
LOUISIANA PAC CORP
COM
546347105
399
23668
SH
SOLE
23668
0
0
LOUISIANA PAC CORP
COM
546347105
1141
67661
SH
DFND
1
67661
0
0
MAGNUM HUNTER RES CORP DEL
COM
55973B102
156
18415
SH
SOLE
18415
0
0
MAGNUM HUNTER RES CORP DEL
COM
55973B102
438
51513
SH
DFND
1
51513
0
0
MEAD JOHNSON NUTRITION CO
COM
582839106
147
1768
SH
SOLE
1768
0
0
MEAD JOHNSON NUTRITION CO
COM
582839106
417
5016
SH
DFND
1
5016
0
0
METHANEX CORP
COM
59151K108
895
14000
SH
Put
SOLE
14000
0
0
METHANEX CORP
COM
59151K108
703
11000
SH
Put
DFND
1
11000
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
306
11858
SH
SOLE
11858
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
657
25400
SH
Call
SOLE
25400
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
858
33192
SH
DFND
1
33192
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
636
24600
SH
Call
DFND
1
24600
0
0
MINDRAY MEDICAL INTL LTD
SPON ADR
602675100
260
8000
SH
SOLE
8000
0
0
MOSAIC CO NEW
COM
61945C103
775
15500
SH
Put
SOLE
15500
0
0
MOSAIC CO NEW
COM
61945C103
760
15200
SH
Put
DFND
1
15200
0
0
MOVE INC
COM NEW
62458M207
288
24918
SH
SOLE
24918
0
0
MOVE INC
COM NEW
62458M207
1061
91825
SH
DFND
1
91825
0
0
MSC INDL DIRECT INC
CL A
553530106
219
2534
SH
SOLE
2534
0
0
MSC INDL DIRECT INC
CL A
553530106
615
7111
SH
DFND
1
7111
0
0
NATIONAL GEN HLDGS CORP
COM
636220303
538
38419
SH
SOLE
38419
0
0
NATIONAL GEN HLDGS CORP
COM
636220303
1282
91581
SH
DFND
1
91581
0
0
NATIONAL OILWELL VARCO INC
COM
637071101
1316
16900
SH
Put
SOLE
16900
0
0
NATIONAL OILWELL VARCO INC
COM
637071101
1293
16600
SH
Put
DFND
1
16600
0
0
NCR CORP NEW
COM
62886E108
585
16000
SH
Call
SOLE
16000
0
0
NCR CORP NEW
COM
62886E108
2156
59000
SH
Call
DFND
1
59000
0
0
NEOPHOTONICS CORP
COM
64051T100
336
42381
SH
SOLE
42381
0
0
NEOPHOTONICS CORP
COM
64051T100
406
51188
SH
DFND
1
51188
0
0
NEUBERGER BERMAN MLP INCOME
COM
64129H104
99
5488
SH
SOLE
5488
0
0
NEUBERGER BERMAN MLP INCOME
COM
64129H104
352
19512
SH
DFND
1
19512
0
0
NEW MTN FIN CORP
COM
647551100
93
6394
SH
SOLE
6394
0
0
NEW MTN FIN CORP
COM
647551100
343
23606
SH
DFND
1
23606
0
0
NMI HLDGS INC
CL A
629209305
1230
104908
SH
SOLE
104908
0
0
NMI HLDGS INC
CL A
629209305
2551
217692
SH
DFND
1
217692
0
0
NOBLE CORP PLC
SHS USD
G65431101
1260
38500
SH
Put
SOLE
38500
0
0
NOBLE CORP PLC
SHS USD
G65431101
1195
36500
SH
Put
DFND
1
36500
0
0
NU SKIN ENTERPRISES INC
CL A
67018T105
359
4338
SH
SOLE
4338
0
0
NU SKIN ENTERPRISES INC
CL A
67018T105
411
4962
SH
DFND
1
4962
0
0
OCI PARTNERS LP
COM UNIT REP LP
67091N108
1198
55900
SH
Put
SOLE
55900
0
0
OCI PARTNERS LP
COM UNIT REP LP
67091N108
946
44100
SH
Put
DFND
1
44100
0
0
ON SEMICONDUCTOR CORP
COM
682189105
86
9150
SH
SOLE
9150
0
0
ON SEMICONDUCTOR CORP
COM
682189105
314
33411
SH
DFND
1
33411
0
0
ORACLE CORP
COM
68389X105
378
9229
SH
SOLE
9229
0
0
ORACLE CORP
COM
68389X105
850
20771
SH
DFND
1
20771
0
0
ORGANOVO HLDGS INC
COM
68620A104
57
7369
SH
SOLE
7369
0
0
ORGANOVO HLDGS INC
COM
68620A104
188
24631
SH
DFND
1
24631
0
0
OWENS ILL INC
COM NEW
690768403
379
11192
SH
SOLE
11192
0
0
OWENS ILL INC
COM NEW
690768403
1204
35590
SH
DFND
1
35590
0
0
PACCAR INC
COM
693718108
1200
17800
SH
Call
SOLE
17800
0
0
PACCAR INC
COM
693718108
1160
17200
SH
Call
DFND
1
17200
0
0
PACKAGING CORP AMER
COM
695156109
807
11465
SH
SOLE
11465
0
0
PACKAGING CORP AMER
COM
695156109
1104
15683
SH
DFND
1
15683
0
0
PLUG POWER INC
COM NEW
72919P202
60
8474
SH
SOLE
8474
0
0
PLUG POWER INC
COM NEW
72919P202
125
17614
SH
DFND
1
17614
0
0
PLUM CREEK TIMBER CO INC
COM
729251108
140
3333
SH
SOLE
3333
0
0
PLUM CREEK TIMBER CO INC
COM
729251108
402
9564
SH
DFND
1
9564
0
0
POTASH CORP SASK INC
COM
73755L107
819
22600
SH
Put
SOLE
22600
0
0
POTASH CORP SASK INC
COM
73755L107
797
22000
SH
Put
DFND
1
22000
0
0
PROSPECT CAPITAL CORPORATION
COM
74348T102
148
13677
SH
SOLE
13677
0
0
PROSPECT CAPITAL CORPORATION
COM
74348T102
661
61219
SH
DFND
1
61219
0
0
QEP RES INC
COM
74733V100
294
9960
SH
SOLE
9960
0
0
QEP RES INC
COM
74733V100
418
14201
SH
DFND
1
14201
0
0
RANGE RES CORP
COM
75281A109
288
3466
SH
SOLE
3466
0
0
RANGE RES CORP
COM
75281A109
639
7700
SH
Call
SOLE
7700
0
0
RANGE RES CORP
COM
75281A109
796
9593
SH
DFND
1
9593
0
0
RANGE RES CORP
COM
75281A109
606
7300
SH
Call
DFND
1
7300
0
0
RAYONIER INC
COM
754907103
241
5247
SH
SOLE
5247
0
0
RAYONIER INC
COM
754907103
691
15045
SH
DFND
1
15045
0
0
RCS CAP CORP
COM CL A
74937W102
237
6088
SH
SOLE
6088
0
0
RED HAT INC
COM
756577102
411
7751
SH
SOLE
7751
0
0
RED HAT INC
COM
756577102
1488
28088
SH
DFND
1
28088
0
0
REPUBLIC SVCS INC
COM
760759100
145
4251
SH
SOLE
4251
0
0
REPUBLIC SVCS INC
COM
760759100
418
12223
SH
DFND
1
12223
0
0
RICE ENERGY INC
COM
762760106
141
5331
SH
SOLE
5331
0
0
RICE ENERGY INC
COM
762760106
389
14756
SH
DFND
1
14756
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
1954
35000
SH
Put
SOLE
35000
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
1546
27700
SH
Put
DFND
1
27700
0
0
ROCK-TENN CO
CL A
772739207
699
6625
SH
SOLE
6625
0
0
ROCK-TENN CO
CL A
772739207
1267
11998
SH
DFND
1
11998
0
0
SCHLUMBERGER LTD
COM
806857108
1121
11500
SH
Put
SOLE
11500
0
0
SCHLUMBERGER LTD
COM
806857108
1073
11000
SH
Put
DFND
1
11000
0
0
SEADRILL LIMITED
SHS
G7945E105
3941
112100
SH
Put
SOLE
112100
0
0
SEADRILL LIMITED
SHS
G7945E105
3794
107900
SH
Put
DFND
1
107900
0
0
SEATTLE GENETICS INC
COM
812578102
2319
50900
SH
Put
SOLE
50900
0
0
SEATTLE GENETICS INC
COM
812578102
2465
54100
SH
Put
DFND
1
54100
0
0
SOCIEDAD QUIMICA MINERA DE C
SPON ADR SER B
833635105
317
10000
SH
Put
SOLE
10000
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
217
4707
SH
SOLE
4707
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
824
17900
SH
Call
SOLE
17900
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
599
13028
SH
DFND
1
13028
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
787
17100
SH
Call
DFND
1
17100
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2549
13627
SH
SOLE
13627
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
9351
50000
SH
Call
SOLE
50000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
4932
26373
SH
DFND
1
26373
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
11221
60000
SH
Call
DFND
1
60000
0
0
SPDR SERIES TRUST
S&P REGL BKG
78464A698
159
3838
SH
SOLE
3838
0
0
SPDR SERIES TRUST
S&P REGL BKG
78464A698
565
13662
SH
DFND
1
13662
0
0
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
1395
130724
SH
SOLE
130724
0
0
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
1183
110849
SH
DFND
1
110849
0
0
STARBUCKS CORP
COM
855244109
148
2018
SH
SOLE
2018
0
0
STARBUCKS CORP
COM
855244109
367
5000
SH
Call
SOLE
5000
0
0
STARBUCKS CORP
COM
855244109
420
5726
SH
DFND
1
5726
0
0
STARBUCKS CORP
COM
855244109
1027
14000
SH
Call
DFND
1
14000
0
0
STARWOOD PPTY TR INC
COM
85571B105
161
6836
SH
SOLE
6836
0
0
STARWOOD PPTY TR INC
COM
85571B105
596
25279
SH
DFND
1
25279
0
0
TARGET CORP
COM
87612E106
738
12200
SH
Put
SOLE
12200
0
0
TARGET CORP
COM
87612E106
708
11700
SH
Put
DFND
1
11700
0
0
TIBCO SOFTWARE INC
COM
88632Q103
230
11280
SH
SOLE
11280
0
0
TIBCO SOFTWARE INC
COM
88632Q103
237
11669
SH
DFND
1
11669
0
0
TRINITY INDS INC
COM
896522109
2357
32700
SH
Put
SOLE
32700
0
0
TRINITY INDS INC
COM
896522109
2256
31300
SH
Put
DFND
1
31300
0
0
TRIPLEPOINT VENTR GRW BDC CO
COM
89677Y100
130
8000
SH
SOLE
8000
0
0
TRIPLEPOINT VENTR GRW BDC CO
COM
89677Y100
471
29000
SH
DFND
1
29000
0
0
TWO HBRS INVT CORP
COM
90187B101
477
46508
SH
SOLE
46508
0
0
TWO HBRS INVT CORP
COM
90187B101
1755
171199
SH
DFND
1
171199
0
0
TYCO INTERNATIONAL LTD
SHS
H89128104
1085
25600
SH
Call
SOLE
25600
0
0
TYCO INTERNATIONAL LTD
SHS
H89128104
1035
24400
SH
Call
DFND
1
24400
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
7372
75700
SH
Call
SOLE
75700
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
10040
103100
SH
Call
DFND
1
103100
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
201
3787
SH
SOLE
3787
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
1354
25500
SH
Call
SOLE
25500
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
562
10582
SH
DFND
1
10582
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
1301
24500
SH
Call
DFND
1
24500
0
0
VERIFONE SYS INC
COM
92342Y109
774
22900
SH
Call
SOLE
22900
0
0
VERIFONE SYS INC
COM
92342Y109
917
27100
SH
Call
DFND
1
27100
0
0
VIPSHOP HLDGS LTD
SPONSORED ADR
92763W103
2807
18800
SH
Put
SOLE
18800
0
0
VIPSHOP HLDGS LTD
SPONSORED ADR
92763W103
2419
16200
SH
Put
DFND
1
16200
0
0
VIRNETX HLDG CORP
COM
92823T108
258
18200
SH
Put
SOLE
18200
0
0
VIRNETX HLDG CORP
COM
92823T108
167
11800
SH
Put
DFND
1
11800
0
0
VMWARE INC
CL A COM
928563402
2313
21412
SH
SOLE
21412
0
0
VMWARE INC
CL A COM
928563402
2706
25047
SH
DFND
1
25047
0
0
VONAGE HLDGS CORP
COM
92886T201
633
148456
SH
SOLE
148456
0
0
VONAGE HLDGS CORP
COM
92886T201
1434
335749
SH
DFND
1
335749
0
0
VRINGO INC
COM
92911N104
664
191532
SH
SOLE
191532
0
0
VRINGO INC
COM
92911N104
1660
478468
SH
DFND
1
478468
0
0
WASTE CONNECTIONS INC
COM
941053100
380
8680
SH
SOLE
8680
0
0
WASTE CONNECTIONS INC
COM
941053100
1065
24274
SH
DFND
1
24274
0
0
WEYERHAEUSER CO
COM
962166104
342
11646
SH
SOLE
11646
0
0
WEYERHAEUSER CO
COM
962166104
980
33388
SH
DFND
1
33388
0
0
WIDEPOINT CORP
COM
967590100
622
388784
SH
SOLE
388784
0
0
WIDEPOINT CORP
COM
967590100
701
438391
SH
DFND
1
438391
0
0
WYNN RESORTS LTD
COM
983134107
305
1375
SH
SOLE
1375
0
0
WYNN RESORTS LTD
COM
983134107
955
4300
SH
Call
SOLE
4300
0
0
WYNN RESORTS LTD
COM
983134107
855
3850
SH
DFND
1
3850
0
0
WYNN RESORTS LTD
COM
983134107
2688
12100
SH
Call
DFND
1
12100
0
0