The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ALCOA CORP | COM | 013872106 | 13,394 | 259,395 | SH | DFND | 1,2 | 259,395 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADR | 01609W102 | 2,282 | 13,236 | SH | DFND | 1,2 | 311,085 | 0 | 0 | |
ALLEGHENEY TECHNOLOGIES INC | COM | 01741R102 | 16,714 | 692,391 | SH | DFND | 1,2 | 692,391 | 0 | 0 | |
ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 653 | 2,577 | SH | DFND | 1,2 | 2,577 | 0 | 0 | |
ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 26,615 | 105,000 | SH | Call | DFND | 1,2 | 105,000 | 0 | 0 |
ALTABA INC | COM | 021346101 | 120,661 | 1,727,428 | SH | DFND | 1,2 | 1,727,428 | 0 | 0 | |
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 8,018 | 134,567 | SH | DFND | 1,2 | 134,567 | 0 | 0 | |
AMERISOURCEBERGEN CORP | COM | 03073E105 | 3,972 | 43,263 | SH | DFND | 1,2 | 43,263 | 0 | 0 | |
ANTHEM INC | COM | 036752103 | 18,365 | 81,619 | SH | DFND | 1,2 | 81,619 | 0 | 0 | |
APPLIED MATLS INC | COM | 038222105 | 15,978 | 312,568 | SH | DFND | 1,2 | 312,568 | 0 | 0 | |
ARCTURUS THERAPEUTICS LTD | SHS | M1492T105 | 226 | 28,426 | SH | DFND | 1,2 | 28,426 | 0 | 0 | |
ARGENX SE | SPONSORED ADR | 04016X101 | 5,573 | 88,269 | SH | DFND | 1,2 | 88,269 | 0 | 0 | |
BLOOMIN BRANDS INC | COM | 094235108 | 3,249 | 152,227 | SH | DFND | 1,2 | 152,227 | 0 | 0 | |
BOEING CO | COM | 097023105 | 34,051 | 115,462 | SH | DFND | 1,2 | 115,462 | 0 | 0 | |
BUILDERS FIRSTSOURCE INC | COM | 12008R107 | 16,031 | 735,690 | SH | DFND | 1,2 | 735,690 | 0 | 0 | |
C&J ENERGY SVCS INC NEW | COM | 12674R100 | 3,499 | 104,545 | SH | DFND | 1,2 | 104,545 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 7,877 | 115,842 | SH | DFND | 1,2 | 115,842 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 4,080 | 60,000 | SH | Call | DFND | 1,2 | 60,000 | 0 | 0 |
CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 6,728 | 5,000,000 | PRN | DFND | 1,2 | 5,000,000 | 0 | 0 | |
COCA COLA EUROPEAN PARTNERS | SHS | G25839104 | 19,007 | 476,962 | SH | DFND | 1,2 | 476,962 | 0 | 0 | |
COLGATE PALMOLIVE CO | COM | 194162103 | 7,447 | 98,700 | SH | DFND | 1,2 | 98,700 | 0 | 0 | |
COMSTOCK RES INC | NOTE 7.750% 4/0 | 205768AM6 | 3,319 | 3,627,222 | PRN | DFND | 1,2 | 3,627,222 | 0 | 0 | |
CONAGRA BRANDS INC | COM | 205887102 | 13,738 | 364,691 | SH | DFND | 1,2 | 364,691 | 0 | 0 | |
CONSTELLIUM NV | CL A | N22035104 | 24,969 | 2,239,342 | SH | DFND | 1,2 | 2,239,342 | 0 | 0 | |
D R HORTON INC | COM | 23331A109 | 14,092 | 275,927 | SH | DFND | 1,2 | 275,927 | 0 | 0 | |
DXC TECHNOLOGY CO | COM | 23355L106 | 5,731 | 60,389 | SH | DFND | 1,2 | 60,389 | 0 | 0 | |
DAVE & BUSTERS ENTMT INC | COM | 238337109 | 11,541 | 209,192 | SH | DFND | 1,2 | 209,192 | 0 | 0 | |
DAVITA INC | COM | 23918K108 | 13,500 | 186,846 | SH | DFND | 1,2 | 186,846 | 0 | 0 | |
DAVITA INC | COM | 23918K108 | 3,613 | 50,000 | SH | Call | DFND | 1,2 | 50,000 | 0 | 0 |
DEERE & CO. | COM | 244199105 | 13,679 | 87,403 | SH | DFND | 1,2 | 87,403 | 0 | 0 | |
DOWDUPONT INC | COM | 26078J100 | 33,050 | 464,062 | SH | DFND | 1,2 | 464,062 | 0 | 0 | |
EASTERLY ACQUISITION CORP | COM | 27616L102 | 5,050 | 500,000 | SH | DFND | 1,2 | 500,000 | 0 | 0 | |
EXELIXIS INC | COM | 30161Q104 | 7,494 | 246,519 | SH | DFND | 1,2 | 246,519 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 19,080 | 108,128 | SH | DFND | 1,2 | 108,128 | 0 | 0 | |
FERROGLOBE PLC | SHS | G33856108 | 5,508 | 340,028 | SH | DFND | 1,2 | 340,028 | 0 | 0 | |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 22,191 | 886,220 | SH | DFND | 1,2 | 886,220 | 0 | 0 | |
FORTIVE CORP | COM | 34959J108 | 11,074 | 153,064 | SH | DFND | 1,2 | 153,064 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 12,431 | 1,205,318 | SH | DFND | 1,2 | 1,205,318 | 0 | 0 | |
GAMING & LEISURE PPTYS INC | COM | 36467J108 | 726 | 19,614 | SH | DFND | 1,2 | 19,614 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 5,131 | 1,267,030 | SH | DFND | 1,2 | 1,267,030 | 0 | 0 | |
HARRIS CORP DEL | COM | 413875105 | 6,978 | 49,259 | SH | DFND | 1,2 | 49,259 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 31,307 | 1,729,657 | SH | DFND | 1,2 | 1,729,657 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 7,512 | 415,000 | SH | Call | DFND | 1,2 | 415,000 | 0 | 0 |
HERSHEY CO | COM | 427866108 | 11,351 | 100,000 | SH | Call | DFND | 1,2 | 100,000 | 0 | 0 |
HORIZON PHARMA INVT LTD | NOTE 2.500% 3/1 | 44052TAB7 | 10,463 | 11,250,000 | PRN | DFND | 1,2 | 11,250,000 | 0 | 0 | |
HUNTSMAN CORP | COM | 447011107 | 17,243 | 517,954 | SH | DFND | 1,2 | 517,954 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 7,016 | 8,750,000 | PRN | DFND | 1,2 | 8,750,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 53,361 | 350,000 | SH | Put | DFND | 1,2 | 350,000 | 0 | 0 |
JAGUAR HEALTH INC | COM | 47010C201 | 181 | 1,291,976 | SH | DFND | 1,2 | 1,291,976 | 0 | 0 | |
KEANE GROUP INC | COM | 48669A108 | 2,143 | 112,721 | SH | DFND | 1,2 | 112,721 | 0 | 0 | |
KELLOGG CO | COM | 487836108 | 6,124 | 90,082 | SH | DFND | 1,2 | 90,082 | 0 | 0 | |
KEMPHARM INC | NOTE 5.500% 2/0 | 488445AB3 | 1,851 | 3,000,000 | PRN | DFND | 1,2 | 3,000,000 | 0 | 0 | |
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 9,035 | 13,000,000 | PRN | DFND | 1,2 | 13,000,000 | 0 | 0 | |
LOWES COS INC | COM | 548661107 | 7,367 | 79,268 | SH | DFND | 1,2 | 79,268 | 0 | 0 | |
MACYS INC | COM | 55616P104 | 3,863 | 153,336 | SH | DFND | 1,2 | 153,336 | 0 | 0 | |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 6,589 | 306,878 | SH | DFND | 1,2 | 306,878 | 0 | 0 | |
MELCO RESORT ENTERTAINMENT L | ADR | 585464100 | 11,241 | 387,086 | SH | DFND | 1,2 | 387,086 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 31,895 | 775,667 | SH | DFND | 1,2 | 775,667 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 3.000% 11/1 | 595112AY9 | 10,093 | 7,000,000 | PRN | DFND | 1,2 | 7,000,000 | 0 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 17,275 | 403,630 | SH | DFND | 1,2 | 403,630 | 0 | 0 | |
NEW RELIC INC | COM | 64829B100 | 6,328 | 109,541 | SH | DFND | 1,2 | 109,541 | 0 | 0 | |
NEW YORK COMNTY BANCORP INC | COM | 649445103 | 10,685 | 820,666 | SH | DFND | 1,2 | 820,666 | 0 | 0 | |
NEWELL BRANDS INC | COM | 651229106 | 12,360 | 400,000 | SH | Call | DFND | 1,2 | 400,000 | 0 | 0 |
NEXSTAR MEDIA GROUP INC | CL A | 65336K103 | 23,078 | 295,113 | SH | DFND | 1,2 | 295,113 | 0 | 0 | |
NOMAD FOODS LTD | USD ORD SHS | G6564A105 | 16,669 | 985,741 | SH | DFND | 1,2 | 985,741 | 0 | 0 | |
NORTHERN TR CORP | COM | 665859104 | 24,973 | 250,000 | SH | Call | DFND | 1,2 | 250,000 | 0 | 0 |
NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | 3,800 | 71,354 | SH | DFND | 1,2 | 71,354 | 0 | 0 | |
PALO ALTO NETWORKS INC | COM | 697435105 | 9,481 | 65,410 | SH | DFND | 1,2 | 65,410 | 0 | 0 | |
PEABODY ENERGY CORP NEW | COM | 704551100 | 9,911 | 251,736 | SH | DFND | 1,2 | 251,736 | 0 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 17,426 | 293,025 | SH | DFND | 1,2 | 293,025 | 0 | 0 | |
POST HLDGS INC | COM | 737446104 | 1,244 | 15,700 | SH | DFND | 1,2 | 15,700 | 0 | 0 | |
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 60,746 | 390,000 | SH | Put | DFND | 1,2 | 390,000 | 0 | 0 |
RECRO PHARMA INC | COM | 75629F109 | 2,405 | 259,948 | SH | DFND | 1,2 | 259,948 | 0 | 0 | |
REGIONS FINL CORP NEW | COM | 7591EP100 | 25,078 | 1,451,245 | SH | DFND | 1,2 | 1,451,245 | 0 | 0 | |
REVANCE THERAPEUTICS INC | COM | 761330109 | 3,575 | 100,000 | SH | Put | DFND | 1,2 | 100,000 | 0 | 0 |
ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | 2,893 | 24,256 | SH | DFND | 1,2 | 24,256 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 21,497 | 130,516 | SH | DFND | 1,2 | 130,516 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 14,825 | 145,013 | SH | DFND | 1,2 | 145,013 | 0 | 0 | |
SLM CORP | COM | 78442P106 | 21,263 | 1,881,714 | SH | DFND | 1,2 | 1,881,714 | 0 | 0 | |
SANMINA CORPORATION | COM | 801056102 | 10,769 | 326,343 | SH | DFND | 1,2 | 326,343 | 0 | 0 | |
SCHULMAN A INC | COM | 808194104 | 29,860 | 801,602 | SH | DFND | 1,2 | 801,602 | 0 | 0 | |
SEA LTD | ADR | 81141R100 | 133 | 10,000 | SH | DFND | 1,2 | 10,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 22,756 | 400,000 | SH | Put | DFND | 1,2 | 400,000 | 0 | 0 |
SHERWIN WILLIAMS CO | COM | 824348106 | 10,789 | 26,312 | SH | DFND | 1,2 | 26,312 | 0 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 10,922 | 288,550 | SH | DFND | 1,2 | 288,550 | 0 | 0 | |
SNAP INC | CL A | 83304A106 | 3,799 | 260,000 | SH | Put | DFND | 1,2 | 260,000 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 66,715 | 250,000 | SH | Put | DFND | 1,2 | 250,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 63,653 | 750,000 | SH | Put | DFND | 1,2 | 750,000 | 0 | 0 |
STEADYMED LTD | SHS | M84920103 | 1,862 | 503,140 | SH | DFND | 1,2 | 503,140 | 0 | 0 | |
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 8,506 | 10,000,000 | PRN | DFND | 1,2 | 10,000,000 | 0 | 0 | |
SUPERVALU INC | COM NEW | 868536301 | 6,618 | 306,391 | SH | DFND | 1,2 | 306,391 | 0 | 0 | |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 2,323 | 1,041,695 | SH | DFND | 1,2 | 1,041,695 | 0 | 0 | |
TE CONNECTIVITY LTD | REG SHS | H84989104 | 11,267 | 118,554 | SH | DFND | 1,2 | 118,554 | 0 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 6,224 | 99,280 | SH | DFND | 1,2 | 99,280 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 3,790 | 200,000 | SH | Call | DFND | 1,2 | 200,000 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 8,209 | 43,231 | SH | DFND | 1,2 | 43,231 | 0 | 0 | |
T MOBILE US INC | COM | 872590104 | 8,704 | 137,047 | SH | DFND | 1,2 | 137,047 | 0 | 0 | |
T MOBILE US INC | COM | 872590104 | 6,351 | 100,000 | SH | Call | DFND | 1,2 | 100,000 | 0 | 0 |
TYSON FOODS INC | CL A | 902494103 | 7,288 | 89,898 | SH | DFND | 1,2 | 89,898 | 0 | 0 | |
ULTA BEAUTY INC | COM | 90384S303 | 9,229 | 41,265 | SH | Call | DFND | 1,2 | 41,265 | 0 | 0 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 29,985 | 136,009 | SH | DFND | 1,2 | 136,009 | 0 | 0 | |
UNITI GROUP INC | COM | 91325V108 | 3,572 | 200,761 | SH | DFND | 1,2 | 200,761 | 0 | 0 | |
UNITI GROUP INC | COM | 91325V108 | 1,779 | 100,000 | SH | Put | DFND | 1,2 | 100,000 | 0 | 0 |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 31,005 | 317,500 | SH | Put | DFND | 1,2 | 317,500 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 8,658 | 57,776 | SH | DFND | 1,2 | 57,776 | 0 | 0 | |
WARRIOR MET COAL INC | COM | 93627C101 | 7,023 | 279,225 | SH | DFND | 1,2 | 279,225 | 0 | 0 | |
WEATHERFORD INTL LTD | NOTE 5.875% 7/0 | 947075AH0 | 7,586 | 7,000,000 | PRN | DFND | 1,2 | 7,000,000 | 0 | 0 | |
WINDSTREAM HLDGS INC | COM NEW | 97382A200 | 1,110 | 600,000 | SH | DFND | 1,2 | 600,000 | 0 | 0 | |
WPX ENERGY INC | COM | 98212B103 | 18,271 | 1,298,590 | SH | DFND | 1,2 | 1,298,590 | 0 | 0 | |
XPO LOGISTICS INC | COM | 983793100 | 34,793 | 379,875 | SH | DFND | 1,2 | 379,875 | 0 | 0 | |
YUM CHINA HLDGS INC | COM | 98850P109 | 5,830 | 145,683 | SH | DFND | 1,2 | 145,683 | 0 | 0 |