0000919574-15-007955.txt : 20151116
0000919574-15-007955.hdr.sgml : 20151116
20151113180002
ACCESSION NUMBER: 0000919574-15-007955
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151116
DATE AS OF CHANGE: 20151113
EFFECTIVENESS DATE: 20151116
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DIALECTIC CAPITAL MANAGEMENT, LP
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: 151230513
BUSINESS ADDRESS:
STREET 1: 17 STATE STREET
STREET 2: SUITE 3930
CITY: NEW YORK
STATE: NY
ZIP: 10004
BUSINESS PHONE: 212-230-3220
MAIL ADDRESS:
STREET 1: 17 STATE STREET
STREET 2: SUITE 3930
CITY: NEW YORK
STATE: NY
ZIP: 10004
FORMER COMPANY:
FORMER CONFORMED NAME: DIALECTIC CAPITAL MANAGEMENT, LLC
DATE OF NAME CHANGE: 20070904
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001411512
XXXXXXXX
09-30-2015
09-30-2015
false
DIALECTIC CAPITAL MANAGEMENT, LP
17 State Street
Suite 3930
New York
NY
10004
13F HOLDINGS REPORT
028-12674
N
John Fichthorn
Managing Member the Filer's General Partner
212-230-3220
/s/ John Fichthorn
New York
NY
11-13-2015
1
273
306462
1
0001268057
028-14791
Dialectic Offshore, Ltd.
INFORMATION TABLE
2
infotable.xml
ACTIVISION BLIZZARD INC
COM
00507V109
725
23484
SH
DFND
1
23484
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
171
5526
SH
SOLE
5526
0
0
AECOM
COM
00766T100
1141
41464
SH
DFND
1
41464
0
0
AECOM
COM
00766T100
269
9779
SH
SOLE
9779
0
0
AERCAP HOLDINGS NV
SHS
N00985106
2175
56871
SH
DFND
1
56871
0
0
AERCAP HOLDINGS NV
SHS
N00985106
1117
29204
SH
SOLE
29204
0
0
AIR LEASE CORP
CL A
00912X302
1405
45436
SH
DFND
1
45436
0
0
AIR LEASE CORP
CL A
00912X302
532
17197
SH
SOLE
17197
0
0
ALCENTRA CAP CORP
COM
01374T102
267
23044
SH
DFND
1
23044
0
0
ALCENTRA CAP CORP
COM
01374T102
131
11300
SH
SOLE
11300
0
0
ALLEGION PUB LTD CO
ORD SHS
G0176J109
1201
20823
SH
DFND
1
20823
0
0
ALLEGION PUB LTD CO
ORD SHS
G0176J109
291
5039
SH
SOLE
5039
0
0
ALLISON TRANSMISSION HLDGS I
COM
01973R101
1273
47700
SH
Put
DFND
1
47700
0
0
ALLISON TRANSMISSION HLDGS I
COM
01973R101
1396
52300
SH
Put
SOLE
52300
0
0
ALTERA CORP
COM
021441100
3676
73405
SH
DFND
1
73405
0
0
ALTERA CORP
COM
021441100
865
17277
SH
SOLE
17277
0
0
AMAZON COM INC
COM
023135106
1945
3800
SH
Put
DFND
1
3800
0
0
AMAZON COM INC
COM
023135106
1894
3700
SH
Put
SOLE
3700
0
0
AMERICAN CAP LTD
COM
02503Y103
1338
110000
SH
DFND
1
110000
0
0
AMERICAN CAP LTD
COM
02503Y103
492
40480
SH
SOLE
40480
0
0
AMTRUST FINL SVCS INC
COM
032359309
756
12000
SH
Put
DFND
1
12000
0
0
AMTRUST FINL SVCS INC
COM
032359309
756
12000
SH
Put
SOLE
12000
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
943
60000
SH
DFND
1
60000
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
551
37330
SH
SOLE
37330
0
0
ARAMARK
COM
03852U106
1307
44100
SH
Call
DFND
1
44100
0
0
ARAMARK
COM
03852U106
1793
60500
SH
Call
SOLE
60500
0
0
ARES COML REAL ESTATE CORP
COM
04013V108
516
43000
SH
DFND
1
43000
0
0
ARES COML REAL ESTATE CORP
COM
04013V108
442
40570
SH
SOLE
40570
0
0
ARES MGMT L P
COM UNIT RP IN
04014Y101
37
2135
SH
SOLE
2135
0
0
B RILEY FINL INC
COM
05580M108
3689
378300
SH
DFND
1
378300
0
0
B RILEY FINL INC
COM
05580M108
4529
464403
SH
SOLE
464403
0
0
B/E AEROSPACE INC
COM
073302101
936
21329
SH
DFND
1
21329
0
0
B/E AEROSPACE INC
COM
073302101
339
7714
SH
SOLE
7714
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06742E711
638
24900
SH
Call
DFND
1
24900
0
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06742E711
515
20100
SH
Call
SOLE
20100
0
0
BENEFICIAL BANCORP INC
COM
08171T102
267
20168
SH
DFND
1
20168
0
0
BENEFICIAL BANCORP INC
COM
08171T102
566
42666
SH
SOLE
42666
0
0
BLACKHAWK NETWORK HLDGS INC
COM
09238E104
1759
41505
SH
DFND
1
41505
0
0
BLACKHAWK NETWORK HLDGS INC
COM
09238E104
415
9780
SH
SOLE
9780
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
33
1040
SH
SOLE
1040
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
343
12500
SH
DFND
1
12500
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
474
17260
SH
SOLE
17260
0
0
BLUE HILLS BANCORP INC
COM
095573101
485
35000
SH
DFND
1
35000
0
0
BLUE HILLS BANCORP INC
COM
095573101
468
33725
SH
SOLE
33725
0
0
BLUEROCK RESIDENT GR REIT IN
COM CL A
09627J102
659
55000
SH
DFND
1
55000
0
0
BLUEROCK RESIDENT GR REIT IN
COM CL A
09627J102
607
50710
SH
SOLE
50710
0
0
BROADCOM CORP
CL A
111320107
3620
70383
SH
DFND
1
70383
0
0
BROADCOM CORP
CL A
111320107
1666
32387
SH
SOLE
32387
0
0
BROCADE COMMUNICATIONS SYS I
COM NEW
111621306
730
70315
SH
DFND
1
70315
0
0
BROCADE COMMUNICATIONS SYS I
COM NEW
111621306
172
16559
SH
SOLE
16559
0
0
BWX TECHNOLOGIES INC
COM
05605H100
2839
107719
SH
DFND
1
107719
0
0
BWX TECHNOLOGIES INC
COM
05605H100
940
35669
SH
SOLE
35669
0
0
C H ROBINSON WORLDWIDE INC
COM NEW
12541W209
1816
26789
SH
DFND
1
26789
0
0
C H ROBINSON WORLDWIDE INC
COM NEW
12541W209
428
6309
SH
SOLE
6309
0
0
CAL MAINE FOODS INC
COM NEW
128030202
1292
23650
SH
DFND
1
23650
0
0
CAL MAINE FOODS INC
COM NEW
128030202
302
5529
SH
SOLE
5529
0
0
CAPITALA FIN CORP
COM
14054R106
16
1250
SH
SOLE
1250
0
0
CISCO SYS INC
COM
17275R102
2880
109719
SH
DFND
1
109719
0
0
CISCO SYS INC
COM
17275R102
674
25675
SH
SOLE
25675
0
0
CITIZENS FINL GROUP INC
COM
174610105
27
1150
SH
SOLE
1150
0
0
COLONY CAP INC
CL A
19624R106
929
47500
SH
DFND
1
47500
0
0
COLONY CAP INC
CL A
19624R106
522
26680
SH
SOLE
26680
0
0
COMCAST CORP NEW
CL A SPL
20030N200
630
11006
SH
DFND
1
11006
0
0
COMCAST CORP NEW
CL A SPL
20030N200
148
2590
SH
SOLE
2590
0
0
COVISINT CORP
COM
22357R103
1497
696405
SH
DFND
1
696405
0
0
COVISINT CORP
COM
22357R103
896
416678
SH
SOLE
416678
0
0
CUMMINS INC
COM
231021106
2291
21100
SH
Put
DFND
1
21100
0
0
CUMMINS INC
COM
231021106
2584
23800
SH
Put
SOLE
23800
0
0
DBX ETF TR
DBXTR HAR CS 300
233051879
485
15000
SH
Put
DFND
1
15000
0
0
DBX ETF TR
DBXTR HAR CS 300
233051879
485
15000
SH
Put
SOLE
15000
0
0
DIGITAL TURBINE INC
COM NEW
25400W102
147
81037
SH
DFND
1
81037
0
0
DIGITAL TURBINE INC
COM NEW
25400W102
34
18963
SH
SOLE
18963
0
0
DISH NETWORK CORP
CL A
25470M109
698
11966
SH
DFND
1
11966
0
0
DISH NETWORK CORP
CL A
25470M109
163
2800
SH
SOLE
2800
0
0
E M C CORP MASS
COM
268648102
1446
59871
SH
DFND
1
59871
0
0
E M C CORP MASS
COM
268648102
341
14100
SH
SOLE
14100
0
0
EATON CORP PLC
SHS
G29183103
1867
36400
SH
Call
DFND
1
36400
0
0
EATON CORP PLC
SHS
G29183103
1467
28600
SH
Call
SOLE
28600
0
0
ELECTRONIC ARTS INC
COM
285512109
372
5496
SH
DFND
1
5496
0
0
ELECTRONIC ARTS INC
COM
285512109
88
1293
SH
SOLE
1293
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
39
2180
SH
SOLE
2180
0
0
ENSTAR GROUP LIMITED
SHS
G3075P101
53
355
SH
SOLE
355
0
0
ERICSSON
ADR B SEK 10
294821608
750
76652
SH
DFND
1
76652
0
0
ERICSSON
ADR B SEK 10
294821608
175
17939
SH
SOLE
17939
0
0
FACEBOOK INC
CL A
30303M102
1594
17735
SH
DFND
1
17735
0
0
FACEBOOK INC
CL A
30303M102
376
4177
SH
SOLE
4177
0
0
FIDUS INVT CORP
COM
316500107
37
2680
SH
SOLE
2680
0
0
FIRST SOLAR INC
COM
336433107
1077
25200
SH
Put
DFND
1
25200
0
0
FIRST SOLAR INC
COM
336433107
1060
24800
SH
Put
SOLE
24800
0
0
GATX CORP
COM
361448103
2163
49000
SH
Put
DFND
1
49000
0
0
GATX CORP
COM
361448103
2252
51000
SH
Put
SOLE
51000
0
0
GILEAD SCIENCES INC
COM
375558103
373
3800
SH
DFND
1
3800
0
0
GILEAD SCIENCES INC
COM
375558103
933
9500
SH
Put
DFND
1
9500
0
0
GILEAD SCIENCES INC
COM
375558103
314
3200
SH
SOLE
3200
0
0
GILEAD SCIENCES INC
COM
375558103
736
7500
SH
Put
SOLE
7500
0
0
GLU MOBILE INC
COM
379890106
563
128762
SH
DFND
1
128762
0
0
GLU MOBILE INC
COM
379890106
376
86078
SH
SOLE
86078
0
0
GOLDMAN SACHS BDC INC
SHS
38147U107
257
13947
SH
SOLE
13947
0
0
GOOGLE INC
CL A
38259P508
1439
2254
SH
DFND
1
2254
0
0
GOOGLE INC
CL A
38259P508
296
463
SH
SOLE
463
0
0
GRAMERCY PPTY TR INC
COM NEW
38489R605
831
40000
SH
DFND
1
40000
0
0
GRAMERCY PPTY TR INC
COM NEW
38489R605
703
33880
SH
SOLE
33880
0
0
HC2 HLDGS INC
COM
404139107
1367
195000
SH
DFND
1
195000
0
0
HC2 HLDGS INC
COM
404139107
1272
181470
SH
SOLE
181470
0
0
HCI GROUP INC
COM
40416E103
392
10100
SH
DFND
1
10100
0
0
HCI GROUP INC
COM
40416E103
539
13900
SH
Put
DFND
1
13900
0
0
HCI GROUP INC
COM
40416E103
326
8400
SH
SOLE
8400
0
0
HCI GROUP INC
COM
40416E103
430
11100
SH
Put
SOLE
11100
0
0
HEARTWARE INTL INC
COM
422368100
575
11000
SH
Put
DFND
1
11000
0
0
HEARTWARE INTL INC
COM
422368100
366
7000
SH
SOLE
7000
0
0
HEARTWARE INTL INC
COM
422368100
471
9000
SH
Put
SOLE
9000
0
0
HEICO CORP NEW
COM
422806109
932
19077
SH
DFND
1
19077
0
0
HEICO CORP NEW
COM
422806109
218
4460
SH
SOLE
4460
0
0
HEXCEL CORP NEW
COM
428291108
860
19173
SH
DFND
1
19173
0
0
HEXCEL CORP NEW
COM
428291108
634
14128
SH
SOLE
14128
0
0
HILLTOP HOLDINGS INC
COM
432748101
198
10000
SH
DFND
1
10000
0
0
HILLTOP HOLDINGS INC
COM
432748101
143
7230
SH
SOLE
7230
0
0
HOLLYFRONTIER CORP
COM
436106108
1139
23317
SH
DFND
1
23317
0
0
HOLLYFRONTIER CORP
COM
436106108
266
5452
SH
SOLE
5452
0
0
HOMEAWAY INC
COM
43739Q100
292
11011
SH
DFND
1
11011
0
0
HOMEAWAY INC
COM
43739Q100
69
2591
SH
SOLE
2591
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
536
59242
SH
DFND
1
59242
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
407
44910
SH
SOLE
44910
0
0
HOWARD HUGHES CORP
COM
44267D107
516
4500
SH
DFND
1
4500
0
0
HOWARD HUGHES CORP
COM
44267D107
387
3375
SH
SOLE
3375
0
0
HUB GROUP INC
CL A
443320106
858
23555
SH
DFND
1
23555
0
0
HUB GROUP INC
CL A
443320106
202
5547
SH
SOLE
5547
0
0
HUNT J B TRANS SVCS INC
COM
445658107
1738
24348
SH
DFND
1
24348
0
0
HUNT J B TRANS SVCS INC
COM
445658107
409
5731
SH
SOLE
5731
0
0
IAC INTERACTIVECORP
COM PAR $.001
44919P508
861
13186
SH
DFND
1
13186
0
0
IAC INTERACTIVECORP
COM PAR $.001
44919P508
203
3103
SH
SOLE
3103
0
0
IMMERSION CORP
COM
452521107
4022
358175
SH
DFND
1
358175
0
0
IMMERSION CORP
COM
452521107
1170
104176
SH
SOLE
104176
0
0
INFOBLOX INC
COM
45672H104
244
15252
SH
DFND
1
15252
0
0
INFOBLOX INC
COM
45672H104
57
3566
SH
SOLE
3566
0
0
INGERSOLL-RAND PLC
SHS
G47791101
1421
27988
SH
DFND
1
27988
0
0
INGERSOLL-RAND PLC
SHS
G47791101
2452
48300
SH
Call
DFND
1
48300
0
0
INGERSOLL-RAND PLC
SHS
G47791101
335
6600
SH
SOLE
6600
0
0
INGERSOLL-RAND PLC
SHS
G47791101
2625
51700
SH
Call
SOLE
51700
0
0
JAMES RIV GROUP LTD
COM
G5005R107
775
28815
SH
DFND
1
28815
0
0
JAMES RIV GROUP LTD
COM
G5005R107
493
18355
SH
SOLE
18355
0
0
JARDEN CORP
COM
471109108
1349
27600
SH
Put
DFND
1
27600
0
0
JARDEN CORP
COM
471109108
1339
27400
SH
Put
SOLE
27400
0
0
JUNIPER NETWORKS INC
COM
48203R104
345
13410
SH
DFND
1
13410
0
0
JUNIPER NETWORKS INC
COM
48203R104
81
3135
SH
SOLE
3135
0
0
KCAP FINL INC
COM
48668E101
586
130000
SH
DFND
1
130000
0
0
KCAP FINL INC
COM
48668E101
623
138080
SH
SOLE
138080
0
0
KEARNY FINL CORP MD
COM
48716P108
229
20000
SH
DFND
1
20000
0
0
KEARNY FINL CORP MD
COM
48716P108
451
39300
SH
SOLE
39300
0
0
KITE PHARMA INC
COM
49803L109
462
8300
SH
Put
DFND
1
8300
0
0
KITE PHARMA INC
COM
49803L109
278
5000
SH
SOLE
5000
0
0
KITE PHARMA INC
COM
49803L109
373
6700
SH
Put
SOLE
6700
0
0
KLA-TENCOR CORP
COM
482480100
377
7540
SH
DFND
1
7540
0
0
KLA-TENCOR CORP
COM
482480100
88
1764
SH
SOLE
1764
0
0
LADDER CAP CORP
CL A
505743104
1017
71000
SH
DFND
1
71000
0
0
LADDER CAP CORP
CL A
505743104
726
50700
SH
SOLE
50700
0
0
LANDSTAR SYS INC
COM
515098101
867
13663
SH
DFND
1
13663
0
0
LANDSTAR SYS INC
COM
515098101
203
3197
SH
SOLE
3197
0
0
LAS VEGAS SANDS CORP
COM
517834107
608
16000
SH
Put
DFND
1
16000
0
0
LAS VEGAS SANDS CORP
COM
517834107
600
15800
SH
Put
SOLE
15800
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
1364
32649
SH
DFND
1
32649
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
1600
39000
SH
Call
DFND
1
39000
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
591
14261
SH
SOLE
14261
0
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
377
9200
SH
Call
SOLE
9200
0
0
LOCKHEED MARTIN CORP
COM
539830109
2426
11700
SH
Call
DFND
1
11700
0
0
LOCKHEED MARTIN CORP
COM
539830109
2757
13300
SH
Call
SOLE
13300
0
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
320
5000
SH
DFND
1
5000
0
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
1234
19300
SH
Put
DFND
1
19300
0
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
269
4200
SH
SOLE
4200
0
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
1004
15700
SH
Put
SOLE
15700
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
707
4656
SH
DFND
1
4656
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
1094
7200
SH
Call
DFND
1
7200
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
166
1090
SH
SOLE
1090
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
1185
7800
SH
Call
SOLE
7800
0
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
584
64556
SH
DFND
1
64556
0
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
137
15086
SH
SOLE
15086
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
395
10464
SH
DFND
1
10464
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
91
2415
SH
SOLE
2415
0
0
MICROSOFT CORP
COM
594918104
2918
65927
SH
DFND
1
65927
0
0
MICROSOFT CORP
COM
594918104
683
15427
SH
SOLE
15427
0
0
MURPHY USA INC
COM
626755102
853
15532
SH
DFND
1
15532
0
0
MURPHY USA INC
COM
626755102
200
3631
SH
SOLE
3631
0
0
NETFLIX INC
COM
64110L106
10915
105700
SH
Put
DFND
1
105700
0
0
NETFLIX INC
COM
64110L106
10770
104300
SH
Put
SOLE
104300
0
0
NETSCOUT SYS INC
COM
64115T104
3609
102038
SH
DFND
1
102038
0
0
NETSCOUT SYS INC
COM
64115T104
845
23878
SH
SOLE
23878
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
1326
101200
SH
DFND
1
101200
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
628
47960
SH
SOLE
47960
0
0
NMI HLDGS INC
CL A
629209305
608
80000
SH
DFND
1
80000
0
0
NMI HLDGS INC
CL A
629209305
529
69550
SH
SOLE
69550
0
0
NORTHSTAR ASSET MGMT GROUP I
COM
66705Y104
287
20000
SH
DFND
1
20000
0
0
NORTHSTAR ASSET MGMT GROUP I
COM
66705Y104
176
12260
SH
SOLE
12260
0
0
NORTHSTAR RLTY FIN CORP
COM NEW
66704R704
494
40000
SH
DFND
1
40000
0
0
NORTHSTAR RLTY FIN CORP
COM NEW
66704R704
524
42430
SH
SOLE
42430
0
0
NUVEEN FLEXIBLE INVT INCOME
COM
67075B104
434
29230
SH
DFND
1
29230
0
0
NUVEEN FLEXIBLE INVT INCOME
COM
67075B104
392
26426
SH
SOLE
26426
0
0
O2MICRO INTERNATIONAL LTD
SPONS ADR
67107W100
367
161560
SH
DFND
1
161560
0
0
O2MICRO INTERNATIONAL LTD
SPONS ADR
67107W100
87
38440
SH
SOLE
38440
0
0
OFS CAP CORP
COM
67103B100
336
32800
SH
DFND
1
32800
0
0
OFS CAP CORP
COM
67103B100
344
33600
SH
SOLE
33600
0
0
OWENS CORNING NEW
COM
690742101
997
23800
SH
Call
DFND
1
23800
0
0
OWENS CORNING NEW
COM
690742101
1098
26200
SH
Call
SOLE
26200
0
0
PACCAR INC
COM
693718108
1836
35200
SH
Put
DFND
1
35200
0
0
PACCAR INC
COM
693718108
2076
39800
SH
Put
SOLE
39800
0
0
PENNANTPARK INVT CORP
COM
708062104
226
35000
SH
DFND
1
35000
0
0
PENNANTPARK INVT CORP
COM
708062104
224
34740
SH
SOLE
34740
0
0
PRECISION CASTPARTS CORP
COM
740189105
1443
6281
SH
DFND
1
6281
0
0
PRECISION CASTPARTS CORP
COM
740189105
338
1470
SH
SOLE
1470
0
0
QUANTUM CORP
COM DSSG
747906204
290
416423
SH
DFND
1
416423
0
0
QUANTUM CORP
COM DSSG
747906204
68
97331
SH
SOLE
97331
0
0
REALD INC
COM
75604L105
549
57118
SH
DFND
1
57118
0
0
REALD INC
COM
75604L105
129
13449
SH
SOLE
13449
0
0
REALNETWORKS INC
COM NEW
75605L708
350
85631
SH
DFND
1
85631
0
0
REALNETWORKS INC
COM NEW
75605L708
85
20776
SH
SOLE
20776
0
0
RESOURCE AMERICA INC
CL A
761195205
599
90000
SH
DFND
1
90000
0
0
RESOURCE AMERICA INC
CL A
761195205
521
78360
SH
SOLE
78360
0
0
SALESFORCE COM INC
COM
79466L302
2910
41917
SH
DFND
1
41917
0
0
SALESFORCE COM INC
COM
79466L302
681
9809
SH
SOLE
9809
0
0
SARATOGA INVT CORP
COM NEW
80349A208
919
56929
SH
DFND
1
56929
0
0
SARATOGA INVT CORP
COM NEW
80349A208
733
45414
SH
SOLE
45414
0
0
SMITH & WESSON HLDG CORP
COM
831756101
374
22146
SH
DFND
1
22146
0
0
SMITH & WESSON HLDG CORP
COM
831756101
87
5178
SH
SOLE
5178
0
0
SMITH A O
COM
831865209
2855
43800
SH
Put
DFND
1
43800
0
0
SMITH A O
COM
831865209
2979
45700
SH
Put
SOLE
45700
0
0
SOLAR CAP LTD
COM
83413U100
1145
72405
SH
DFND
1
72405
0
0
SOLAR CAP LTD
COM
83413U100
862
54480
SH
SOLE
54480
0
0
SOLAR SR CAP LTD
COM
83416M105
407
28600
SH
DFND
1
28600
0
0
SOLAR SR CAP LTD
COM
83416M105
235
16500
SH
SOLE
16500
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
612
5729
SH
DFND
1
5729
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
29814
279000
SH
Call
DFND
1
279000
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
456
4271
SH
SOLE
4271
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
23616
221000
SH
Call
SOLE
221000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2568
13400
SH
DFND
1
13400
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
594
3100
SH
SOLE
3100
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
4024
21000
SH
Put
SOLE
21000
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
1718
27600
SH
Put
DFND
1
27600
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
1394
22400
SH
Put
SOLE
22400
0
0
TELENAV INC
COM
879455103
977
125125
SH
DFND
1
125125
0
0
TELENAV INC
COM
879455103
230
29408
SH
SOLE
29408
0
0
TERADYNE INC
COM
880770102
1480
82165
SH
DFND
1
82165
0
0
TERADYNE INC
COM
880770102
346
19227
SH
SOLE
19227
0
0
THL CR INC
COM
872438106
791
72448
SH
DFND
1
72448
0
0
THL CR INC
COM
872438106
614
56290
SH
SOLE
56290
0
0
TRANSDIGM GROUP INC
COM
893641100
331
1559
SH
DFND
1
1559
0
0
TRANSDIGM GROUP INC
COM
893641100
1296
6100
SH
Call
DFND
1
6100
0
0
TRANSDIGM GROUP INC
COM
893641100
78
367
SH
SOLE
367
0
0
TRANSDIGM GROUP INC
COM
893641100
828
3900
SH
Call
SOLE
3900
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
770
59600
SH
Put
DFND
1
59600
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
845
65400
SH
Put
SOLE
65400
0
0
TRAVELCENTERS AMER LLC
COM
894174101
611
59137
SH
DFND
1
59137
0
0
TRAVELCENTERS AMER LLC
COM
894174101
144
13918
SH
SOLE
13918
0
0
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
1247
123000
SH
DFND
1
123000
0
0
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
849
83720
SH
SOLE
83720
0
0
TYCO INTL PLC
SHS
G91442106
654
19536
SH
DFND
1
19536
0
0
TYCO INTL PLC
SHS
G91442106
153
4567
SH
SOLE
4567
0
0
U S G CORP
COM NEW
903293405
1270
47700
SH
Call
DFND
1
47700
0
0
U S G CORP
COM NEW
903293405
1392
52300
SH
Call
SOLE
52300
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
530
36100
SH
Put
DFND
1
36100
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
424
28900
SH
Put
SOLE
28900
0
0
VONAGE HLDGS CORP
COM
92886T201
720
122423
SH
DFND
1
122423
0
0
VONAGE HLDGS CORP
COM
92886T201
169
28793
SH
SOLE
28793
0
0
VULCAN MATLS CO
COM
929160109
723
8102
SH
DFND
1
8102
0
0
VULCAN MATLS CO
COM
929160109
1811
20300
SH
Call
DFND
1
20300
0
0
VULCAN MATLS CO
COM
929160109
169
1896
SH
SOLE
1896
0
0
VULCAN MATLS CO
COM
929160109
1088
12200
SH
Call
SOLE
12200
0
0
XILINX INC
COM
983919101
1018
24015
SH
DFND
1
24015
0
0
XILINX INC
COM
983919101
240
5651
SH
SOLE
5651
0
0
ZILLOW GROUP INC
CL A
98954M101
942
32800
SH
Put
DFND
1
32800
0
0
ZILLOW GROUP INC
CL A
98954M101
945
32900
SH
Put
SOLE
32900
0
0
ZS PHARMA INC
COM
98979G105
729
11100
SH
Put
DFND
1
11100
0
0
ZS PHARMA INC
COM
98979G105
584
8900
SH
Put
SOLE
8900
0
0
ZYNGA INC
CL A
98986T108
169
73931
SH
DFND
1
73931
0
0
ZYNGA INC
CL A
98986T108
39
17310
SH
SOLE
17310
0
0