0001615774-17-004735.txt : 20170825
0001615774-17-004735.hdr.sgml : 20170825
20170824182704
ACCESSION NUMBER: 0001615774-17-004735
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170630
FILED AS OF DATE: 20170825
DATE AS OF CHANGE: 20170824
EFFECTIVENESS DATE: 20170825
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 270223495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17148
FILM NUMBER: 171050201
BUSINESS ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER COMPANY:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001464790
XXXXXXXX
06-30-2017
06-30-2017
true
1
NEW HOLDINGS
false
B. Riley Financial, Inc.
21255 Burbank Blvd.
Suite 400
Woodland Hills
CA
91367
13F HOLDINGS REPORT
028-17148
N
Michael Markunas
Chief Compliance Officer
310-689-2220
/s/ Michael Markunas
Los Angeles
CA
08-24-2017
1
223
367819
1
0001658704
028-17147
B. RILEY CAPITAL MANAGEMENT, LLC
INFORMATION TABLE
2
infotable.xml
APOLLO SR FLOATING RATE FD I
COM
037636107
709
42018
SH
DFND
1
0
42018
0
APOLLO TACTICAL INCOME FD IN
COM
037638103
385
23648
SH
DFND
1
0
23648
0
APPLE INC
COM
037833100
1535
10661
SH
DFND
1
0
10661
0
ARISTA NETWORKS INC
COM
040413106
7490
50000
SH
Put
DFND
1
0
50000
0
AUTOLIV INC
COM
052800109
1255
11426
SH
DFND
1
0
11426
0
BRT RLTY TR
SH BEN INT NEW
055645303
99
82512
SH
DFND
1
0
82512
0
BAZAARVOICE INC
COM
073271108
658
132918
SH
DFND
1
0
132918
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
255
1
SH
DFND
1
0
1
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
474
2800
SH
DFND
1
0
2800
0
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
254
10938
SH
DFND
1
0
10938
0
BRUNSWICK CORP
COM
117043109
610
9729
SH
DFND
1
0
9729
0
CADIZ INC
COM NEW
127537207
107
7900
SH
DFND
1
0
7900
0
CADIZ INC
COM NEW
127537207
1028
76142
SH
DFND
0
76142
0
CALAMP CORP
COM
128126109
653
32133
SH
DFND
1
0
32133
0
CDN IMPERIAL BK COMM TORONTO
COM
136069101
1217
15000
SH
Put
DFND
1
0
15000
0
CARBONITE INC
COM
141337105
603
27670
SH
DFND
1
0
27670
0
CARVANA CO
CL A
146869102
1100
53758
SH
DFND
1
0
53758
0
CREDIT ACCEP CORP MICH
COM
225310101
1337
5200
SH
DFND
1
0
5200
0
CRYOLIFE INC
COM
228903100
579
29000
SH
DFND
1
0
29000
0
DISNEY WALT CO
COM DISNEY
254687106
265
2490
SH
DFND
1
0
2490
0
DORMAN PRODUCTS INC
COM
258278100
1242
15000
SH
Put
DFND
1
0
15000
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
1767
85546
SH
DFND
1
0
85546
0
FIRST BANCORP N C
COM
318910106
625
20000
SH
DFND
1
0
20000
0
FORD MTR CO DEL
COM PAR $0.01
345370860
4476
400000
SH
Put
DFND
1
0
400000
0
FORMFACTOR INC
COM
346375108
362
29189
SH
DFND
1
0
29189
0
GARRISON CAP INC
COM
366554103
483
58435
SH
DFND
1
0
58435
0
GORES HLDGS II INC
COM CL A
382867109
1505
150000
SH
DFND
1
0
150000
0
GORES HLDGS II INC
*W EXP 03/06/202
382867117
75
50000
SH
DFND
1
0
50000
0
HC2 HLDGS INC
COM
404139107
8286
1409209
SH
DFND
1
0
1409209
0
HC2 HLDGS INC
COM
404139107
149
25302
SH
DFND
0
25302
0
HANESBRANDS INC
COM
410345102
892
38500
SH
Put
DFND
1
0
38500
0
HEXCEL CORP NEW
COM
428291108
944
17885
SH
DFND
1
0
17885
0
HOME DEPOT INC
COM
437076102
209
1360
SH
DFND
1
0
1360
0
IMMERSION CORP
COM
452521107
758
83440
SH
DFND
1
0
83440
0
ISHARES
MSCI BRZ CAP ETF
464286400
278
8130
SH
DFND
1
0
8130
0
ISHARES
MIN VOL GBL ETF
464286525
1129
14269
SH
DFND
1
0
14269
0
ISHARES
MSCI TURKEY ETF
464286715
955
23000
SH
DFND
1
0
23000
0
ISHARES TR
SELECT DIVID ETF
464287168
1023
11093
SH
DFND
1
0
11093
0
ISHARES TR
MSCI EMG MKT ETF
464287234
374
9048
SH
DFND
1
0
9048
0
ISHARES TR
IBOXX INV CP ETF
464287242
1274
10572
SH
DFND
1
0
10572
0
ISHARES TR
MSCI EAFE ETF
464287465
1420
21782
SH
DFND
1
0
21782
0
ISHARES TR
RUS MID CAP ETF
464287499
3418
17793
SH
DFND
1
0
17793
0
ISHARES TR
CORE S&P MCP ETF
464287507
528
3033
SH
DFND
1
0
3033
0
ISHARES TR
NASDQ BIOTEC ETF
464287556
656
2114
SH
DFND
1
0
2114
0
ISHARES TR
RUS 1000 GRW ETF
464287614
244
2053
SH
DFND
1
0
2053
0
ISHARES TR
RUS 2000 GRW ETF
464287648
408
2416
SH
DFND
1
0
2416
0
ISHARES TR
RUSSELL 2000 ETF
464287655
26775
190000
SH
Put
DFND
1
0
190000
0
ISHARES TR
CORE S&P SCP ETF
464287804
240
3422
SH
DFND
1
0
3422
0
ISHARES TR
MSCI ACWI EX US
464288240
511
11203
SH
DFND
1
0
11203
0
ISHARES TR
JP MOR EM MK ETF
464288281
1132
9899
SH
DFND
1
0
9899
0
ISHARES TR
NEW YORK MUN ETF
464288323
1500
13446
SH
DFND
1
0
13446
0
ISHARES TR
NATIONAL MUN ETF
464288414
964
8758
SH
DFND
1
0
8758
0
ISHARES TR
INTL SEL DIV ETF
464288448
1801
55056
SH
DFND
1
0
55056
0
ISHARES TR
1-3 YR CR BD ETF
464288646
1669
15852
SH
DFND
1
0
15852
0
ISHARES TR
GLOBAL MATER ETF
464288695
326
5448
SH
DFND
1
0
5448
0
KEMET CORP
COM NEW
488360207
5373
419756
SH
DFND
1
0
419756
0
KEMET CORP
COM NEW
488360207
135
10540
SH
DFND
0
10540
0
KULICKE & SOFFA INDS INC
COM
501242101
339
17820
SH
DFND
1
0
17820
0
LINDBLAD EXPEDITIONS HLDGS I
COM
535219109
162
15420
SH
DFND
1
0
15420
0
MADDEN STEVEN LTD
COM
556269108
656
16429
SH
DFND
1
0
16429
0
MICROSOFT CORP
COM
594918104
3195
46355
SH
DFND
1
0
46355
0
MICRON TECHNOLOGY INC
COM
595112103
1761
58962
SH
DFND
1
0
58962
0
MIMEDX GROUP INC
COM
602496101
897
59900
SH
DFND
1
0
59900
0
MIMEDX GROUP INC
COM
602496101
1198
80000
SH
Call
DFND
1
0
80000
0
NMI HLDGS INC
CL A
629209305
1229
313870
SH
DFND
0
313870
0
NEW MTN FIN CORP
COM
647551100
437
30000
SH
DFND
1
0
30000
0
NOKIA CORP
SPONSORED ADR
654902204
609
98792
SH
DFND
1
0
98792
0
NOVAVAX INC
COM
670002104
12
10500
SH
DFND
1
0
10500
0
NUVEEN MTG OPPORTUNITY TERM
COM
670735109
240
9383
SH
DFND
1
0
9383
0
OCCIDENTAL PETE CORP DEL
COM
674599105
4490
75000
SH
Call
DFND
1
0
75000
0
ON SEMICONDUCTOR CORP
COM
682189105
777
55311
SH
DFND
1
0
55311
0
ONE LIBERTY PPTYS INC
COM
682406103
293
22849
SH
DFND
1
0
22849
0
OOMA INC
COM
683416101
927
115845
SH
DFND
1
0
115845
0
PAPA MURPHYS HLDGS INC
COM
698814100
437
100000
SH
DFND
0
100000
0
PENNANTPARK INVT CORP
COM
708062104
2559
346270
SH
DFND
1
0
346270
0
RIGEL PHARMACEUTICALS INC
COM NEW
766559603
554
203000
SH
DFND
1
0
203000
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
7252
100000
SH
Put
DFND
1
0
100000
0
S&W SEED CO
COM
785135104
656
158054
SH
DFND
1
0
158054
0
SEQUANS COMMUNICATIONS S A
SPONSORED ADS
817323108
841
254000
SH
DFND
1
0
254000
0
SNAP ON INC
COM
833034101
2370
15000
SH
Put
DFND
1
0
15000
0
SPLUNK INC
COM
848637104
431
7579
SH
DFND
1
0
7579
0
STAMPS COM INC
COM NEW
852857200
581
3751
SH
DFND
1
0
3751
0
STURM RUGER & CO INC
COM
864159108
1243
20000
SH
Put
DFND
1
0
20000
0
SUPERIOR INDS INTL INC
COM
868168105
647
31491
SH
DFND
1
0
31491
0
THL CR INC
COM
872438106
199
20000
SH
DFND
1
0
20000
0
TELENAV INC
COM
879455103
3041
375393
SH
DFND
1
0
375393
0
TERADYNE INC
COM
880770102
297
9904
SH
DFND
1
0
9904
0
TONIX PHARMACEUTICALS HLDG C
COM
890260409
1637
378138
SH
DFND
1
0
378138
0
TRANSACT TECHNOLOGIES INC
COM
892918103
622
73254
SH
DFND
1
0
73254
0
VANGUARD SPECIALIZED PORTFOLIO
DIV APP ETF
921908844
1500
16183
SH
DFND
1
0
16183
0
VANGUARD STAR FD
VG TL INTL STK F
921909768
507
9756
SH
DFND
1
0
9756
0
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
2609
52996
SH
DFND
1
0
52996
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
339
6784
SH
DFND
1
0
6784
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
2146
52553
SH
DFND
1
0
52553
0
VANGUARD INTL EQUITY INDEX F
FTSE PACIFIC ETF
922042866
628
9546
SH
DFND
1
0
9546
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
473
8572
SH
DFND
1
0
8572
0
VANGUARD INDEX FDS
MID CAP ETF
922908629
3305
23191
SH
DFND
1
0
23191
0
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
8681
78189
SH
DFND
1
0
78189
0
VANGUARD INDEX FDS
GROWTH ETF
922908736
328
2578
SH
DFND
1
0
2578
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
1953
15697
SH
DFND
1
0
15697
0
ZION OIL & GAS INC
COM
989696109
261
76070
SH
DFND
1
0
76070
0
IMAX CORP
COM
45245E109
506
23004
SH
DFND
1
0
23004
0
ALPS ETF TR
ALERIAN MLP
00162Q866
316
26420
SH
DFND
1
0
26420
0
AMC ENTMT HLDGS INC
CL A COM
00165C104
591
25985
SH
DFND
1
0
25985
0
AEHR TEST SYSTEMS
COM
00760J108
1889
503838
SH
DFND
1
0
503838
0
AMERICAN OUTDOOR BRANDS CORP
COM
02874P103
1662
75000
SH
Put
DFND
1
0
75000
0
APOLLO INVT CORP
COM
03761U106
308
48206
SH
DFND
1
0
48206
0
ARES CAP CORP
COM
04010L103
1257
76733
SH
DFND
1
0
76733
0
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
229
13989
SH
DFND
1
0
13989
0
AXON ENTERPRISE INC
COM
05464C101
622
24725
SH
DFND
1
0
24725
0
BLACKSTONE GSO FLTING RTE FU
COM
09256U105
179
10000
SH
DFND
1
0
10000
0
BOULEVARD ACQUISITION
CL A
10157Q102
2776
277048
SH
DFND
1
0
277048
0
BROOKLINE BANCORP INC DEL
COM
11373M107
835
57206
SH
DFND
1
0
57206
0
C H ROBINSON WORLDWIDE INC
COM NEW
12541W209
5494
80000
SH
Put
DFND
1
0
80000
0
C&J ENERGY SVCS INC NEW
COM
12674R100
1969
57465
SH
DFND
1
0
57465
0
CLIPPER RLTY INC
COM
18885T306
4376
354604
SH
DFND
0
354604
0
CLOUDERA INC
COM
18914U100
504
31490
SH
DFND
1
0
31490
0
COHEN & STEERS LTD DUR PFD I
COM
19248C105
748
28006
SH
DFND
1
0
28006
0
COMSTOCK RES INC
NOTE 7.750% 4/0
205768AM6
97
126598
PRN
DFND
0
126598
0
COSTCO WHSL CORP NEW
COM
22160K105
217
1355
SH
DFND
1
0
1355
0
COVISINT CORP
COM
22357R103
7696
3141213
SH
DFND
1
0
3141213
0
DXC TECHNOLOGY CO
COM
23355L106
364
4751
SH
DFND
1
0
4751
0
DIGITAL TURBINE INC
COM NEW
25400W102
1428
1386481
SH
DFND
1
0
1386481
0
DIGITAL TURBINE INC
COM NEW
25400W102
305
295918
SH
DFND
0
295918
0
EHEALTH INC
COM
28238P109
705
37500
SH
DFND
1
0
37500
0
ENERGOUS CORP
COM
29272C103
813
50000
SH
Put
DFND
1
0
50000
0
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
226
12590
SH
DFND
1
0
12590
0
EVERSPIN TECHNOLOGIES INC
COM
30041T104
346
17312
SH
DFND
1
0
17312
0
FACEBOOK INC
CL A
30303M102
535
3544
SH
DFND
1
0
3544
0
FINISAR CORP
COM NEW
31787A507
1449
55768
SH
DFND
1
0
55768
0
FINJAN HLDGS INC
COM NEW
31788H303
3936
1200000
SH
DFND
1
0
1200000
0
FINJAN HLDGS INC
COM NEW
31788H303
1523
464319
SH
DFND
0
464319
0
FINTECH ACQUISITION CORP II
COM
31810G109
980
100000
SH
DFND
1
0
100000
0
FINTECH ACQUISITION CORP II
*W EXP 01/19/202
31810G117
38
50000
SH
DFND
1
0
50000
0
FUSION TELECOMM INTL INC
COM NEW
36113B400
145
100000
SH
DFND
0
100000
0
GW PHARMACEUTICALS PLC
ADS
36197T103
1163
11600
SH
Put
DFND
1
0
11600
0
GOLDMAN SACHS MLP INC OPP FD
COM SHS
38147W103
745
77344
SH
DFND
1
0
77344
0
HP INC
COM
40434L105
2343
134048
SH
DFND
1
0
134048
0
HEALTH INS INNOVATIONS INC
COM CL A
42225K106
5875
250000
SH
DFND
1
0
250000
0
HEWLETT PACKARD ENTERPRISE C
COM
42824C109
918
55312
SH
DFND
1
0
55312
0
HORNBECK OFFSHORE SVCS INC N
NOTE 1.500% 9/0
440543AN6
163
225000
PRN
DFND
0
225000
0
ISTAR INC
COM
45031U101
518
43000
SH
DFND
1
0
43000
0
INSEEGO CORP
NOTE 5.500% 6/1
45782BAA2
647
900000
PRN
DFND
0
900000
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
2806
3000
SH
Put
DFND
1
0
3000
0
INVUITY INC
COM NEW
46187J205
3625
500000
SH
DFND
1
0
500000
0
ISHARES TR
FLTG RATE BD ETF
46429B655
3036
59625
SH
DFND
1
0
59625
0
ISHARES TR
MIN VOL EAFE ETF
46429B689
611
8819
SH
DFND
1
0
8819
0
ISHARES TR
MIN VOL USA ETF
46429B697
1041
21269
SH
DFND
1
0
21269
0
ISHARES TR
CORE MSCI EAFE
46432F842
626
10275
SH
DFND
1
0
10275
0
KBL MERGER CORP IV
UNIT 01/15/2024
48242A203
408
40000
SH
DFND
1
0
40000
0
KAYNE ANDERSON ACQUISITION
COM CL A
48661U102
2041
209998
SH
DFND
1
0
209998
0
KAYNE ANDERSON ACQUISITION
*W EXP 06/30/202
48661U110
52
66666
SH
DFND
1
0
66666
0
KRATOS DEFENSE & SEC SOLUTIONS
COM NEW
50077B207
602
50722
SH
DFND
1
0
50722
0
LADENBURG THALMAN FIN SVCS I
COM
50575Q102
6
81050
SH
DFND
1
0
81050
0
LONESTAR RES US INC
CL A VTG
54240F103
2744
638101
SH
DFND
1
0
638101
0
LUMENTUM HLDGS INC
COM
55024U109
1014
17775
SH
DFND
1
0
17775
0
MCBC HLDGS INC
COM
55276F107
5726
292907
SH
DFND
1
0
292907
0
MCBC HLDGS INC
COM
55276F107
489
25000
SH
DFND
0
25000
0
M I ACQUISITIONS INC
COM
55304A104
215
21500
SH
DFND
1
0
21500
0
MATLIN & PARTNERS ACQUISITIO
CL A
57682V106
966
100000
SH
DFND
1
0
100000
0
MATLIN & PARTNERS ACQUISITIO
*W EXP 03/15/202
57682V114
38
100000
SH
DFND
1
0
100000
0
MERIDIAN BANCORP INC MD
COM
58958U103
389
23000
SH
DFND
1
0
23000
0
NETSCOUT SYS INC
COM
64115T104
602
17503
SH
DFND
1
0
17503
0
NETLIST INC
COM
64118P109
1378
1351013
SH
DFND
1
0
1351013
0
NEWS CORP NEW
CL A
65249B109
704
51400
SH
DFND
1
0
51400
0
NUMEREX CORP PA
CL A
67053A102
74
15000
SH
DFND
0
15000
0
NUVEEN BUILD AMER BD FD
COM
67074C103
529
25223
SH
DFND
1
0
25223
0
OCLARO INC
COM NEW
67555N206
607
64940
SH
DFND
1
0
64940
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
2590
183585
SH
DFND
1
0
183585
0
PIMCO ETF TR
LOW DURTN AC ETF
72201R718
1169
11544
SH
DFND
1
0
11544
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
6646
65334
SH
DFND
1
0
65334
0
PLATFORM SPECIALTY PRODS COR
COM
72766Q105
761
60000
SH
DFND
1
0
60000
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
1116
8108
SH
DFND
1
0
8108
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
41457
301200
SH
Put
DFND
1
0
301200
0
POWERSHARES ETF TRUST
DYN BIOT & GEN
73935X856
279
6102
SH
DFND
1
0
6102
0
POWERSHARES ETF TRUST II
CEF INC COMPST
73936Q843
209
8830
SH
DFND
1
0
8830
0
POWERSHARES ETF TR II
PFD PORTFOLIO
73936T565
612
40527
SH
DFND
1
0
40527
0
PRIMO WTR CORP
COM
74165N105
1072
84375
SH
DFND
1
0
84375
0
REDWOOD TR INC
NOTE 4.625% 4/1
758075AB1
10
10000
PRN
DFND
0
10000
0
RENT A CTR INC NEW
COM
76009N100
272
23206
SH
DFND
0
23206
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1736
7180
SH
DFND
1
0
7180
0
SPDR INDEX SHS FDS
GLB NAT RESRCE
78463X541
824
19839
SH
DFND
1
0
19839
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
553
2592
SH
DFND
1
0
2592
0
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369Y407
308
3440
SH
DFND
1
0
3440
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
493
20000
SH
Put
DFND
1
0
20000
0
SELECT SECTOR SPDR TR
SBI INT-INDS
81369Y704
5108
75000
SH
Put
DFND
1
0
75000
0
SELECT ENERGY SVCS INC
CL A COM
81617J301
1763
145100
SH
DFND
1
0
145100
0
SELECT ENERGY SVCS INC
CL A COM
81617J301
30
2500
SH
DFND
0
2500
0
SENSUS HEATLHCARE INC
COM
81728J109
421
104794
SH
DFND
1
0
104794
0
SENSUS HEATLHCARE INC
*W EXP 06/08/201
81728J117
139
231256
SH
DFND
1
0
231256
0
SILVER RUN ACQUISITION
COM CL A
82812A103
506
49998
SH
DFND
1
0
49998
0
SILVER RUN ACQUISITION
*W EXP 03/28/202
82812A111
30
16666
SH
DFND
1
0
16666
0
SKYWORKS SOLUTIONS INC
COM
83088M102
585
6100
SH
DFND
1
0
6100
0
SOLAR CAP LTD
COM
83413U100
208
9530
SH
DFND
1
0
9530
0
SOLAR SR CAP LTD
COM
83416M105
4651
277831
SH
DFND
1
0
277831
0
TEMPUR SEALY INTL INC
COM
88023U101
3737
70000
SH
DFND
1
0
70000
0
THESTREET INC
COM
88368Q103
218
263200
SH
DFND
0
263200
0
TIVO CORP
COM
88870P106
634
34021
SH
DFND
1
0
34021
0
TORTOISE MLP FD INC
COM
89148B101
890
46160
SH
DFND
1
0
46160
0
TRUECAR INC
COM
89785L107
680
34095
SH
DFND
1
0
34095
0
TWITTER INC
COM
90184L102
1251
70000
SH
Call
DFND
1
0
70000
0
USANA HEALTH SCIENCES INC
COM
90328M107
1923
30000
SH
DFND
1
0
30000
0
USANA HEALTH SCIENCES INC
COM
90328M107
3205
50000
SH
Put
DFND
1
0
50000
0
URBAN EDGE PPTYS
COM
91704F104
392
16523
SH
DFND
1
0
16523
0
VANECK VECTORS ETF TR
SEMICONDUCTOR ET
92189F676
4912
60000
SH
Put
DFND
1
0
60000
0
VANECK VECTORS ETF TR
BIOTECH ETF
92189F726
203
1619
SH
DFND
1
0
1619
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
3381
42247
SH
DFND
1
0
42247
0
VANGUARD SCOTTSDALE FDS
LG-TERM COR BD
92206C813
783
8396
SH
DFND
1
0
8396
0
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
3027
34584
SH
DFND
1
0
34584
0
VERITONE INC
COM
92347M100
2022
172643
SH
DFND
1
0
172643
0
VERSO CORP
CL A
92531L207
1853
395000
SH
DFND
1
0
395000
0
VIASAT INC
COM
92552V100
624
9424
SH
DFND
1
0
9424
0
VONAGE HLDGS CORP
COM
92886T201
2011
307500
SH
DFND
1
0
307500
0
WILDHORSE RESOURCE DEV CORP
COM
96812T102
622
50247
SH
DFND
1
0
50247
0
WISDOMTREE TR
GLB US QTLY DIV
97717W844
651
12222
SH
DFND
1
0
12222
0
ATLANTIC ALLIANCE PARTNER CO
SHS
G04897107
1254
122381
SH
DFND
1
0
122381
0
AVISTA HEALTHCARE PUB ACQ CO
CL A
G0726L125
985
100000
SH
DFND
1
0
100000
0
BROOKFIELD INFRAST PARTNERS
LP INT UNIT
G16252101
1828
44675
SH
DFND
1
0
44675
0
FERROGLOBE PLC
SHS
G33856108
6788
568035
SH
DFND
1
0
568035
0
GTY TECHNOLOGY HOLDINGS INC
CL A
G4182A102
2526
250099
SH
DFND
1
0
250099
0
GTY TECHNOLOGY HOLDINGS INC
*W EXP 99/99/999
G4182A128
64
58333
SH
DFND
1
0
58333
0
JINKOSOLAR HLDG CO LTD
DEBT 4.000% 2/0
G51385AA3
458
22000
SH
DFND
1
0
22000
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
1750
105948
SH
DFND
1
0
105948
0