0001172661-20-001400.txt : 20200515
0001172661-20-001400.hdr.sgml : 20200515
20200515162149
ACCESSION NUMBER: 0001172661-20-001400
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200515
DATE AS OF CHANGE: 20200515
EFFECTIVENESS DATE: 20200515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
CENTRAL INDEX KEY: 0001469877
IRS NUMBER: 264245035
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16918
FILM NUMBER: 20885658
BUSINESS ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 972-628-4100
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER COMPANY:
FORMER CONFORMED NAME: Pyxis Capital, L.P. /DE
DATE OF NAME CHANGE: 20120406
FORMER COMPANY:
FORMER CONFORMED NAME: Highland Funds Asset Management, L.P.
DATE OF NAME CHANGE: 20090806
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001469877
XXXXXXXX
03-31-2020
03-31-2020
false
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
300 Crescent Court
Suite 700
Dallas
TX
75201
13F COMBINATION REPORT
028-16918
0001086763
028-05785
FIRST FOUNDATION ADVISORS
N
Frank Waterhouse
Treasurer
972-628-4100
/s/ Frank Waterhouse
Dallas
TX
05-15-2020
2
245
529561
1
0001167365
028-10659
HIGHLAND CAPITAL MANAGEMENT LP
2
0001617621
028-16920
NexPoint Advisors, L.P.
INFORMATION TABLE
2
infotable.xml
ABBVIE INC
COM
00287Y109
762
10000
SH
SOLE
10000
0
0
ACADIA HEALTHCARE COMPANY IN
COM
00404A109
4
225
SH
DFND
2
225
0
0
ACADIA HEALTHCARE COMPANY IN
COM
00404A109
367
20000
SH
SOLE
20000
0
0
ADOBE INC
COM
00724F101
636
2000
SH
SOLE
2000
0
0
ADVANCED DISP SVCS INC DEL
COM
00790X101
1856
56600
SH
SOLE
56600
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
682
15000
SH
SOLE
15000
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
4786
354510
SH
DFND
2
354510
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
350
25900
SH
SOLE
25900
0
0
AGILE THERAPEUTICS INC
COM
00847L100
47
25000
SH
SOLE
25000
0
0
ALLERGAN PLC
SHS
G0177J108
2766
15621
SH
SOLE
15621
0
0
ALPHABET INC
CAP STK CL A
02079K305
4497
3870
SH
SOLE
3870
0
0
ALPINE INCOME PPTY TR INC
COM
02083X103
122
9900
SH
DFND
2
9900
0
0
ALPINE INCOME PPTY TR INC
COM
02083X103
194
15790
SH
SOLE
15790
0
0
AMAZON COM INC
COM
023135106
2925
1500
SH
Call
SOLE
1500
0
0
AMAZON COM INC
COM
023135106
1033
530
SH
SOLE
530
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
470
38549
SH
SOLE
38549
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
436
2000
SH
SOLE
2000
0
0
AMERIPRISE FINL INC
COM
03076C106
461
4500
SH
SOLE
4500
0
0
AMICUS THERAPEUTICS INC
COM
03152W109
607
65700
SH
SOLE
65700
0
0
ANTHEM INC
COM
036752103
965
4250
SH
SOLE
4250
0
0
APEX TECHNOLOGY ACQUISITION
UNIT 06/11/2026
03768F201
304
29955
SH
SOLE
29955
0
0
APPLE INC
COM
037833100
1271
5000
SH
SOLE
5000
0
0
ARCH COAL INC
CL A
039380407
11582
400751
SH
DFND
1
400751
0
0
ASCENDIS PHARMA A S
SPONSORED ADR
04351P101
563
5000
SH
SOLE
5000
0
0
ASHFORD HOSPITALITY TR INC
COM SHS
044103109
117
158850
SH
SOLE
158850
0
0
ASHFORD INC
COM
044104107
128
22297
SH
DFND
2
22297
0
0
ASHFORD INC
COM
044104107
2
266
SH
SOLE
266
0
0
ATHENE HLDG LTD
CL A
G0684D107
598
24100
SH
Call
SOLE
24100
0
0
AVANTOR INC
COM
05352A100
312
25000
SH
SOLE
25000
0
0
AVAYA HLDGS CORP
COM
05351X101
17639
2180398
SH
DFND
1
2180398
0
0
AVAYA HLDGS CORP
COM
05351X101
1177
145488
SH
SOLE
145488
0
0
AXONICS MODULATION TECHNOLOG
COM
05465P101
508
20000
SH
SOLE
20000
0
0
BECTON DICKINSON & CO
COM
075887109
460
2000
SH
SOLE
2000
0
0
BIO RAD LABS INC
CL A
090572207
7
20
SH
DFND
2
20
0
0
BIO RAD LABS INC
CL A
090572207
1928
5500
SH
SOLE
5500
0
0
BIOGEN INC
COM
09062X103
1898
6000
SH
SOLE
6000
0
0
BIOHAVEN PHARMACTL HLDG CO L
COM
G11196105
272
8000
SH
SOLE
8000
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
507
6000
SH
SOLE
6000
0
0
BOSTON SCIENTIFIC CORP
COM
101137107
750
23000
SH
SOLE
23000
0
0
BRAEMAR HOTELS & RESORTS INC
5.5 CUM CV PFD B
10482B200
1247
224749
SH
DFND
2
224749
0
0
BRAEMAR HOTELS & RESORTS INC
5.5 CUM CV PFD B
10482B200
6535
1177419
SH
SOLE
1177419
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
669
12000
SH
SOLE
12000
0
0
BROOKDALE SR LIVING INC
COM
112463104
192
61625
SH
SOLE
61625
0
0
CANNAE HLDGS INC
COM
13765N107
419
12520
SH
SOLE
12520
0
0
CAROLINA FINL CORP NEW
COM
143873107
3036
117341
SH
SOLE
117341
0
0
CASTLE BIOSCIENCES INC
COM
14843C105
21077
707032
SH
DFND
1
707032
0
0
CBRE GROUP INC
CL A
12504L109
726
19250
SH
SOLE
19250
0
0
CDK GLOBAL INC
COM
12508E101
1301
39600
SH
SOLE
39600
0
0
CENTENE CORP DEL
COM
15135B101
535
9000
SH
SOLE
9000
0
0
CENTRAL PUERTO S A
SPONSORED ADR
155038201
737
327750
SH
DFND
2
327750
0
0
CENTRAL PUERTO S A
SPONSORED ADR
155038201
579
257150
SH
SOLE
257150
0
0
CHARLES RIV LABS INTL INC
COM
159864107
326
2582
SH
SOLE
2582
0
0
CHARLES RIV LABS INTL INC
COM
159864107
6
50
SH
DFND
2
50
0
0
CIGNA CORP NEW
COM
125523100
780
4400
SH
SOLE
4400
0
0
CISCO SYS INC
COM
17275R102
865
22000
SH
SOLE
22000
0
0
CIT GROUP INC
COM NEW
125581801
683
39550
SH
SOLE
39550
0
0
CIT GROUP INC
COM NEW
125581801
820
47500
SH
Call
SOLE
47500
0
0
CITRIX SYS INC
COM
177376100
1416
10000
SH
SOLE
10000
0
0
CITY OFFICE REIT INC
COM
178587101
511
70700
SH
SOLE
70700
0
0
CLOROX CO DEL
COM
189054109
1386
8000
SH
SOLE
8000
0
0
COCA COLA CO
COM
191216100
885
20000
SH
SOLE
20000
0
0
COHERUS BIOSCIENCES INC
COM
19249H103
1904
117385
SH
SOLE
117385
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
7
425
SH
DFND
2
425
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
380
23290
SH
SOLE
23290
0
0
CREDIT SUISSE AG NASSAU BRH
VELOCITY SHS ETN
22542D290
319
8750
SH
SOLE
8750
0
0
CRESTWOOD EQUITY PARTNERS LP
UNIT LTD PARTNER
226344208
276
65168
SH
SOLE
65168
0
0
CRESUD S A C I F Y A
SPONSORED ADR
226406106
1021
293449
SH
DFND
2
293449
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
950
40738
SH
SOLE
40738
0
0
DIAMONDPEAK HLDGS COR
COM CL A
25280H100
101
10111
SH
SOLE
10111
0
0
DIREXION SHS ETF TR
20YR TRES BULL
25459W540
2249
53400
SH
SOLE
53400
0
0
DISNEY WALT CO
COM DISNEY
254687106
869
9000
SH
SOLE
9000
0
0
DOMINOS PIZZA INC
COM
25754A201
648
2000
SH
SOLE
2000
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
1186
34556
SH
SOLE
34556
0
0
EBIX INC
COM NEW
278715206
315
20745
SH
SOLE
20745
0
0
EDWARDS LIFESCIENCES CORP
COM
28176E108
632
3350
SH
SOLE
3350
0
0
EL PASO ELEC CO
COM NEW
283677854
1761
25918
SH
SOLE
25918
0
0
ENERGY TRANSFER LP
COM UT LTD PTN
29273V100
7498
1629980
SH
SOLE
1629980
0
0
ENERGY TRANSFER LP
COM UT LTD PTN
29273V100
462
100500
SH
DFND
2
100500
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
924
64631
SH
SOLE
64631
0
0
EQM MIDSTREAM PARTNERS LP
UNIT LTD PARTN
26885B100
821
69608
SH
SOLE
69608
0
0
ESSENT GROUP LTD
COM
G3198U102
922
35000
SH
SOLE
35000
0
0
ESTABLISHMENT LABS HLDGS INC
COM
G31249108
173
12000
SH
SOLE
12000
0
0
EVOLENT HEALTH INC
CL A
30050B101
109
20000
SH
SOLE
20000
0
0
EVOLUS INC
COM
30052C107
42
10000
SH
SOLE
10000
0
0
EYEPOINT PHARMACEUTICALS INC
COM
30233G100
162
158520
SH
SOLE
158520
0
0
FACEBOOK INC
CL A
30303M102
3920
23500
SH
SOLE
23500
0
0
FGL HLDGS
ORD SHS
G3402M102
1969
200936
SH
SOLE
200936
0
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
871
35000
SH
SOLE
35000
0
0
FIDELITY NATL INFORMATION SV
COM
31620M106
2007
16500
SH
SOLE
16500
0
0
FORTY SEVEN INC
COM
34983P104
3768
39491
SH
SOLE
39491
0
0
GENTHERM INC
COM
37253A103
257
8200
SH
SOLE
8200
0
0
GENWORTH FINL INC
COM CL A
37247D106
32
9500
SH
SOLE
9500
0
0
GENWORTH FINL INC
COM CL A
37247D106
37
11000
SH
Put
SOLE
11000
0
0
GILEAD SCIENCES INC
COM
375558103
2243
30000
SH
SOLE
30000
0
0
GLOBAL PMTS INC
COM
37940X102
721
5000
SH
SOLE
5000
0
0
GORES METROPOULOS INC
COM CL A
382872109
164
16149
SH
SOLE
16149
0
0
GRUPO SUPERVIELLE S A
SPONSORED ADR
40054A108
295
188858
SH
SOLE
188858
0
0
GX ACQUISITION CORP
COM CL A
36251A107
102
10400
SH
SOLE
10400
0
0
HAYMAKER ACQUISITION CORP II
COM CL A
42087L101
228
23280
SH
SOLE
23280
0
0
HAYMAKER ACQUISITION CORP II
UNIT 10/31/2026
42087L200
528
52255
SH
SOLE
52255
0
0
HEALTHCARE MERGER CORP
UNIT 12/17/2021
42227L201
169
17100
SH
SOLE
17100
0
0
HERON THERAPEUTICS INC
COM
427746102
5841
497526
SH
DFND
2
497526
0
0
HERON THERAPEUTICS INC
COM
427746102
3288
280073
SH
SOLE
280073
0
0
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
368
84550
SH
DFND
1
84550
0
0
HIGHLAND GLOBAL ALLOCATION F
COM
43010T104
384
88296
SH
SOLE
88296
0
0
HIGHLAND INCOME FD
HIGHLAND INCOME
43010E404
115
13501
SH
DFND
1
13501
0
0
HOME DEPOT INC
COM
437076102
1120
6000
SH
SOLE
6000
0
0
HUMANA INC
COM
444859102
1664
5300
SH
SOLE
5300
0
0
HUMANA INC
COM
444859102
8
25
SH
DFND
2
25
0
0
IBERIABANK CORP
COM
450828108
969
26786
SH
SOLE
26786
0
0
ILLUMINA INC
COM
452327109
410
1500
SH
SOLE
1500
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
420
47000
SH
DFND
2
47000
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
3993
446600
SH
SOLE
446600
0
0
INSMED INC
COM PAR $.01
457669307
192
12000
SH
SOLE
12000
0
0
INTEL CORP
COM
458140100
1245
23000
SH
SOLE
23000
0
0
ISHARES INC
MSCI BRAZIL ETF
464286400
94240
4000000
SH
Call
SOLE
4000000
0
0
ISHARES INC
MSCI HONG KG ETF
464286871
997
50000
SH
Put
SOLE
50000
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
1126
30000
SH
Put
SOLE
30000
0
0
ITAU UNIBANCO HLDG S A
SPON ADR REP PFD
465562106
249
55500
SH
DFND
2
55500
0
0
ITAU UNIBANCO HLDG S A
SPON ADR REP PFD
465562106
416
92600
SH
SOLE
92600
0
0
JERNIGAN CAP INC
COM
476405105
690
63000
SH
DFND
2
63000
0
0
JERNIGAN CAP INC
COM
476405105
1117
101918
SH
SOLE
101918
0
0
JETBLUE AWYS CORP
COM
477143101
125
14000
SH
SOLE
14000
0
0
JUNIPER INDL HLDGS INC
COM CL A
48205G106
201
20890
SH
SOLE
20890
0
0
K12 INC
COM
48273U102
1074
56965
SH
SOLE
56965
0
0
KROGER CO
COM
501044101
1355
45000
SH
SOLE
45000
0
0
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
379
3000
SH
SOLE
3000
0
0
LANDCADIA HLDGS II INC
CL A
51476X105
390
39510
SH
SOLE
39510
0
0
LEGG MASON INC
COM
524901105
1998
40900
SH
SOLE
40900
0
0
LF CAP ACQUISITION CORP
CL A
50200K108
279
27000
SH
SOLE
27000
0
0
LINDE PLC
SHS
G5494J103
519
3000
SH
SOLE
3000
0
0
LOMA NEGRA CORP
SPONSORED ADS
54150E104
467
131500
SH
DFND
2
131500
0
0
LOMA NEGRA CORP
SPONSORED ADS
54150E104
93
26100
SH
SOLE
26100
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
20397
1255174
SH
DFND
1
1255174
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
223
13722
SH
DFND
2
13722
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
2918
179545
SH
SOLE
179545
0
0
LPL FINL HLDGS INC
COM
50212V100
435
8000
SH
SOLE
8000
0
0
LUXFER HOLDINGS PLC
SHS
G5698W116
397
28100
SH
SOLE
28100
0
0
MASTERCARD INC
CL A
57636Q104
2657
11000
SH
SOLE
11000
0
0
MCDONALDS CORP
COM
580135101
661
4000
SH
SOLE
4000
0
0
MCKESSON CORP
COM
58155Q103
541
4000
SH
SOLE
4000
0
0
MEET GROUP INC
COM
58513U101
176
30000
SH
SOLE
30000
0
0
MENLO THERAPEUTICS INC
COM
586858102
27
10000
SH
SOLE
10000
0
0
MERCADOLIBRE INC
COM
58733R102
2345
4800
SH
SOLE
4800
0
0
MERCK & CO. INC
COM
58933Y105
2077
27000
SH
SOLE
27000
0
0
MICROSOFT CORP
COM
594918104
6640
42100
SH
SOLE
42100
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
366
60790
SH
DFND
1
60790
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
846
140461
SH
SOLE
140461
0
0
MODERNA INC
COM
60770K107
240
8000
SH
SOLE
8000
0
0
MOLINA HEALTHCARE INC
COM
60855R100
6
43
SH
DFND
2
43
0
0
MOLINA HEALTHCARE INC
COM
60855R100
268
1920
SH
SOLE
1920
0
0
MOTOROLA SOLUTIONS INC
COM NEW
620076307
1874
14100
SH
SOLE
14100
0
0
MPLX LP
COM UNIT REP LTD
55336V100
4484
385923
SH
SOLE
385923
0
0
MSB FINL CORP NEW
COM
55352L101
361
29462
SH
SOLE
29462
0
0
MUSTANG BIO INC
COM
62818Q104
322
120000
SH
SOLE
120000
0
0
NATERA INC
COM
632307104
430
14400
SH
SOLE
14400
0
0
NEKTAR THERAPEUTICS
COM
640268108
275
15379
SH
SOLE
15379
0
0
NEWMONT CORP
COM
651639106
1811
40000
SH
SOLE
40000
0
0
NEXPOINT REAL ESTATE FIN INC
COM
65342V101
634
65700
SH
DFND
2
65700
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
21221
841764
SH
DFND
1
841764
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
3561
141235
SH
DFND
2
141235
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
5966
236649
SH
SOLE
236649
0
0
NEXPOINT STRATEGIC OPORTUNT
COM NEW
65340G205
6342
767757
SH
DFND
1
767757
0
0
NEXPOINT STRATEGIC OPORTUNT
COM NEW
65340G205
15078
1825377
SH
SOLE
1825377
0
0
NEXTCURE INC
COM
65343E108
278
7500
SH
SOLE
7500
0
0
NEXTDECADE CORP
COM
65342K105
56
29751
SH
SOLE
29751
0
0
NEXTDECADE CORP
COM
65342K105
2672
1421335
SH
DFND
2
1421335
0
0
NEXTIER OILFIELD SOLUTIONS
COM
65290C105
44
37498
SH
SOLE
37498
0
0
NORTONLIFELOCK INC
COM
668771108
936
50000
SH
SOLE
50000
0
0
NVIDIA CORP
COM
67066G104
791
3000
SH
SOLE
3000
0
0
OAKTREE ACQUISITION CORP
SHS CL A
G67145105
152
15210
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0
OAKTREE SPECIALTY LENDING CO
COM
67401P108
90
27738
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SOLE
27738
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0
OMNOVA SOLUTIONS INC
COM
682129101
5057
498718
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SOLE
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0
OXFORD INDS INC
COM
691497309
218
6000
SH
SOLE
6000
0
0
PACIRA BIOSCIENCES
COM
695127100
226
6750
SH
SOLE
6750
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
765
67700
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SOLE
67700
0
0
PARATEK PHARMACEUTICALS INC
COM
699374302
347
110020
SH
SOLE
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0
0
PARATEK PHARMACEUTICALS INC
COM
699374302
160
50850
SH
DFND
2
50850
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0
PATTERSON COS INC
COM
703395103
263
17200
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SOLE
17200
0
0
PB BANCORP INC
COM
70454T100
909
61017
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SOLE
61017
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
298
53200
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SOLE
53200
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
1432
200850
SH
SOLE
200850
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
4957
695229
SH
DFND
2
695229
0
0
POSTAL REALTY TRUST INC
CL A
73757R102
3242
204917
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DFND
2
204917
0
0
PRA HEALTH SCIENCES INC
COM
69354M108
353
4255
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SOLE
4255
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0
PREFERRED APT CMNTYS INC
COM
74039L103
280
39000
SH
DFND
2
39000
0
0
PROCTER & GAMBLE CO
COM
742718109
1430
13000
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13000
0
0
PROGENICS PHARMACEUTICALS IN
COM
743187106
1714
450925
SH
DFND
1
450925
0
0
PROGRESSIVE CORP OHIO
COM
743315103
1108
15000
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SOLE
15000
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0
PROPTECH ACQUISITION CORP
UNIT 10/01/2026
74349F200
440
44299
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SOLE
44299
0
0
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SHT VIX ST TRM
74347W130
11474
370000
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SOLE
370000
0
0
RAYMOND JAMES FINANCIAL INC
COM
754730109
242
3835
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SOLE
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0
RESOURCES CONNECTION INC
COM
76122Q105
197
18000
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18000
0
0
RLJ LODGING TR
COM
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110
14300
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14300
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0
ROPER TECHNOLOGIES INC
COM
776696106
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2550
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2550
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0
RUBICON PROJ INC
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78112V102
186
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0
S&P GLOBAL INC
COM
78409V104
1666
6800
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SOLE
6800
0
0
SALESFORCE COM INC
COM
79466L302
1584
11000
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SOLE
11000
0
0
SB ONE BANCORP
COM
78413T103
1130
66447
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SOLE
66447
0
0
SCIENCE APPLICATNS INTL CP N
COM
808625107
504
6750
SH
SOLE
6750
0
0
SENSIENT TECHNOLOGIES CORP
COM
81725T100
287
6600
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SOLE
6600
0
0
SILK RD MED INC
COM
82710M100
315
10000
SH
SOLE
10000
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
246
15275
SH
SOLE
15275
0
0
SKYLINE CHAMPION CORPORATION
COM
830830105
3042
193984
SH
DFND
1
193984
0
0
SM ENERGY CO
COM
78454L100
17
14328
SH
SOLE
14328
0
0
SPDR SER TR
S&P REGL BKG
78464A698
2672
82000
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SOLE
82000
0
0
SPIRIT RLTY CAP INC NEW
COM NEW
84860W300
1
36
SH
DFND
1
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0
0
SPIRIT RLTY CAP INC NEW
COM NEW
84860W300
341
13050
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SOLE
13050
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
445
10150
SH
SOLE
10150
0
0
STONECO LTD
COM CL A
G85158106
3517
161550
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0
SUMMIT HOTEL PPTYS INC
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132
31340
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2
31340
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0
SURGERY PARTNERS INC
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86881A100
168
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25660
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0
TALLGRASS ENERGY LP
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286
17400
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TANDEM DIABETES CARE INC
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875372203
354
5500
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5500
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87612G101
909
131600
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131600
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TAUBMAN CTRS INC
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876664103
540
12900
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12900
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0
TELADOC HEALTH INC
COM
87918A105
310
2000
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2000
0
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TELARIA INC
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879181105
431
71812
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71812
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0
TERRAFORM PWR INC
COM CL A
88104R209
217
13737
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13737
0
0
TESLA INC
COM
88160R101
524
1000
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SOLE
1000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
10
35
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DFND
2
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0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
596
2100
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SOLE
2100
0
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TORTOISE ACQUISITION CORP
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89154L100
283
28830
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SOLE
28830
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TREMONT MTG TR
COM
894789106
34
16383
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DFND
2
16383
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TRINE ACQUISITION CORP
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89628U108
391
39350
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39350
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TRUIST FINL CORP
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89832Q109
864
28000
SH
Call
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28000
0
0
UNIQURE NV
SHS
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251
5300
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UNITED NAT FOODS INC
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911163103
459
50000
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SOLE
50000
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
1128
21000
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21000
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0
VERTEX PHARMACEUTICALS INC
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92532F100
2380
10000
SH
SOLE
10000
0
0
VISA INC
COM CL A
92826C839
3142
19500
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SOLE
19500
0
0
VISTRA ENERGY CORP
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92840M102
38589
2417860
SH
DFND
1
2417860
0
0
VISTRA ENERGY CORP
COM
92840M102
1017
63700
SH
DFND
2
63700
0
0
VISTRA ENERGY CORP
COM
92840M102
23549
1475525
SH
SOLE
1475525
0
0
WABCO HLDGS INC
COM
92927K102
1210
8960
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SOLE
8960
0
0
WARRIOR MET COAL INC
COM
93627C101
1654
155706
SH
DFND
1
155706
0
0
WASTE CONNECTIONS INC
COM
94106B101
1085
14000
SH
SOLE
14000
0
0
WASTE MGMT INC DEL
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94106L109
833
9000
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SOLE
9000
0
0
WESTERN ALLIANCE BANCORP
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957638109
781
25500
SH
Call
SOLE
25500
0
0
WESTERN MIDSTREAM PARTNERS L
COM UNIT LP INT
958669103
840
259375
SH
SOLE
259375
0
0
WHEELER REAL ESTATE INVT TR
CV PFD SER B
963025309
558
83300
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SOLE
83300
0
0
WHEELER REAL ESTATE INVT TR
PFD CNV SER D
963025606
653
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SOLE
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0
0
WILLIAMS COS INC
COM
969457100
8023
566995
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SOLE
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0
0
XPERI CORP
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98421B100
894
64305
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SOLE
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0
0
ZIMMER BIOMET HOLDINGS INC
COM
98956P102
404
4000
SH
SOLE
4000
0
0