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 |
AGILENT TECHNOLOGIES INC | COM | 00846U101 | 21,295 | 344,360 | SH | DFND | 1,2,3,4 | 344,360 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 4,036 | 21,754 | SH | DFND | 1,2,3,4 | 21,754 | 0 | 0 | |
ALLEGHENY TECHNOLOGIES INC | COM | 01741R102 | 14,190 | 564,883 | SH | DFND | 1,2,3,4 | 564,883 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 139,738 | 1,908,728 | SH | DFND | 1,2,3,4 | 1,908,728 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 6,111 | 3,595 | SH | DFND | 1,2,3,4 | 3,595 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 15,388 | 210,077 | SH | DFND | 1,2,3,4 | 210,077 | 0 | 0 | |
ARGENX SE | SPONSORED ADR | 04016X101 | 16,762 | 202,293 | SH | DFND | 1,2,3,4 | 202,293 | 0 | 0 | |
ARRAY BIOPHARMA INC | COM | 04269X105 | 9,143 | 544,891 | SH | DFND | 1,2,3,4 | 544,891 | 0 | 0 | |
ASHLAND GLOBAL HLDGS INC | COM | 044186104 | 9,343 | 119,511 | SH | DFND | 1,2,3,4 | 119,511 | 0 | 0 | |
BIOHAVEN PHARMACTL HLDG CO L | COM | G11196105 | 23,617 | 597,596 | SH | DFND | 1,2,3,4 | 597,596 | 0 | 0 | |
BLOOMIN BRANDS INC | COM | 094235108 | 1,548 | 77,004 | SH | DFND | 1,2,3,4 | 77,004 | 0 | 0 | |
BOEING CO | COM | 097023105 | 9,767 | 29,110 | SH | DFND | 1,2,3,4 | 29,110 | 0 | 0 | |
BUNGE LIMITED | COM | G16962105 | 8,170 | 117,195 | SH | DFND | 1,2,3,4 | 117,195 | 0 | 0 | |
CAESARS ENTMT CORP | COM | 127686103 | 24,016 | 2,244,495 | SH | DFND | 1,2,3,4 | 2,244,495 | 0 | 0 | |
CAMECO CORP | COM | 13321L108 | 3,666 | 325,883 | SH | DFND | 1,2,3,4 | 325,883 | 0 | 0 | |
CATERPILLAR INC DEL | COM | 149123101 | 47,485 | 350,000 | SH | Call | DFND | 1,2,3,4 | 350,000 | 0 | 0 |
CEMEX SAB DE CV | NOTE 3.720% 3/1 | 151290BT9 | 10,031 | 10,000,000 | PRN | DFND | 1,2,3,4 | 10,000,000 | 0 | 0 | |
CENTENE CORP DEL | COM | 15135B101 | 16,104 | 130,706 | SH | DFND | 1,2,3,4 | 130,706 | 0 | 0 | |
CLOROX CO DEL | COM | 189054109 | 4,058 | 30,000 | SH | Call | DFND | 1,2,3,4 | 30,000 | 0 | 0 |
CLOVIS ONCOLOGY INC | COM | 189464100 | 16,960 | 372,988 | SH | DFND | 1,2,3,4 | 372,988 | 0 | 0 | |
CLOVIS ONCOLOGY INC | NOTE 1.250% 5/0 | 189464AC4 | 2,763 | 3,000,000 | PRN | DFND | 1,2,3,4 | 3,000,000 | 0 | 0 | |
CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 6,451 | 6,000,000 | PRN | DFND | 1,2,3,4 | 6,000,000 | 0 | 0 | |
COCA COLA EUROPEAN PARTNERS | SHS | G25839104 | 9,777 | 240,570 | SH | DFND | 1,2,3,4 | 240,570 | 0 | 0 | |
COLGATE PALMOLIVE CO | COM | 194162103 | 6,481 | 100,000 | SH | Call | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
CONAGRA BRANDS INC | COM | 205887102 | 12,683 | 354,980 | SH | DFND | 1,2,3,4 | 354,980 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 2,247 | 10,268 | SH | DFND | 1,2,3,4 | 10,268 | 0 | 0 | |
CONSTELLIUM NV | CL A | N22035104 | 24,968 | 2,424,096 | SH | DFND | 1,2,3,4 | 2,424,096 | 0 | 0 | |
CONTINENTAL RESOURCES INC | COM | 212015101 | 8,029 | 123,985 | SH | DFND | 1,2,3,4 | 123,985 | 0 | 0 | |
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 16,602 | 335,132 | SH | DFND | 1,2,3,4 | 335,132 | 0 | 0 | |
DENBURY RES INC | COM NEW | 247916208 | 5,430 | 1,128,893 | SH | DFND | 1,2,3,4 | 1,128,893 | 0 | 0 | |
DESTINATION MATERNITY CORP | COM | 25065D100 | 626 | 107,495 | SH | DFND | 1,2,3,4 | 107,495 | 0 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 28,173 | 640,883 | SH | DFND | 1,2,3,4 | 640,883 | 0 | 0 | |
DOWDUPONT INC | COM | 26078J100 | 36,882 | 559,501 | SH | DFND | 1,2,3,4 | 559,501 | 0 | 0 | |
DXC TECHNOLOGY CO | COM | 23355L106 | 7,877 | 97,717 | SH | DFND | 1,2,3,4 | 97,717 | 0 | 0 | |
EASTERLY ACQUISITION CORP | COM | 27616L102 | 5,150 | 500,000 | SH | DFND | 1,2,3,4 | 500,000 | 0 | 0 | |
ELDORADO RESORTS INC | COM | 28470R102 | 2,056 | 52,573 | SH | DFND | 1,2,3,4 | 52,573 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 13,976 | 71,925 | SH | DFND | 1,2,3,4 | 71,925 | 0 | 0 | |
FIRST DATA CORP NEW | COM CL A | 32008D106 | 10,129 | 483,936 | SH | DFND | 1,2,3,4 | 483,936 | 0 | 0 | |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 28,156 | 1,089,220 | SH | DFND | 1,2,3,4 | 1,089,220 | 0 | 0 | |
FLEXION THERAPEUTICS INC | NOTE 3.375% 5/0 | 33938JAB2 | 9,753 | 8,000,000 | PRN | DFND | 1,2,3,4 | 8,000,000 | 0 | 0 | |
FORESCOUT TECHNOLOGIES INC | COM | 34553D101 | 5,729 | 167,217 | SH | DFND | 1,2,3,4 | 167,217 | 0 | 0 | |
FORTIVE CORP | COM | 34959J108 | 13,402 | 173,810 | SH | DFND | 1,2,3,4 | 173,810 | 0 | 0 | |
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 9,040 | 200,000 | SH | Put | DFND | 1,2,3,4 | 200,000 | 0 | 0 |
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 10,218 | 226,059 | SH | DFND | 1,2,3,4 | 226,059 | 0 | 0 | |
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 11,300 | 250,000 | SH | Call | DFND | 1,2,3,4 | 250,000 | 0 | 0 |
GLOBAL X FDS | GLOBAL X URANIUM | 37954Y871 | 9,162 | 711,906 | SH | DFND | 1,2,3,4 | 711,906 | 0 | 0 | |
GRACE W R & CO DEL NEW | COM | 38388F108 | 8,579 | 117,017 | SH | DFND | 1,2,3,4 | 117,017 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 4,561 | 1,267,030 | SH | DFND | 1,2,3,4 | 1,267,030 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | UNIT 99/99/9999 | G4182A110 | 12,744 | 1,200,000 | SH | DFND | 1,2,3,4 | 1,200,000 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 8,415 | 216,600 | SH | Call | DFND | 1,2,3,4 | 216,600 | 0 | 0 |
HERON THERAPEUTICS INC | COM | 427746102 | 31,424 | 808,853 | SH | DFND | 1,2,3,4 | 808,853 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 3,796 | 3,750,000 | PRN | DFND | 1,2,3,4 | 3,750,000 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 36,047 | 210,000 | SH | Put | DFND | 1,2,3,4 | 210,000 | 0 | 0 |
INVUITY INC | COM NEW | 46187J205 | 1,802 | 462,079 | SH | DFND | 1,2,3,4 | 462,079 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 19,161 | 117,000 | SH | Put | DFND | 1,2,3,4 | 117,000 | 0 | 0 |
JAGUAR HEALTH INC | COM NEW | 47010C300 | 487 | 343,256 | SH | DFND | 1,2,3,4 | 343,256 | 0 | 0 | |
KEANE GROUP INC | COM | 48669A108 | 8,110 | 593,239 | SH | DFND | 1,2,3,4 | 593,239 | 0 | 0 | |
KELLOGG CO | COM | 487836108 | 12,089 | 173,015 | SH | DFND | 1,2,3,4 | 173,015 | 0 | 0 | |
KEMPHARM INC | NOTE 5.500% 2/0 | 488445AB3 | 2,005 | 3,000,000 | PRN | DFND | 1,2,3,4 | 3,000,000 | 0 | 0 | |
KEYSIGHT TECHNOLOGIES INC | COM | 49338L103 | 16,659 | 282,214 | SH | DFND | 1,2,3,4 | 282,214 | 0 | 0 | |
KIMBERLY CLARK CORP | COM | 494368103 | 5,267 | 50,000 | SH | Call | DFND | 1,2,3,4 | 50,000 | 0 | 0 |
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 10,188 | 14,500,000 | PRN | DFND | 1,2,3,4 | 14,500,000 | 0 | 0 | |
LOWES COS INC | COM | 548661107 | 3,336 | 34,911 | SH | DFND | 1,2,3,4 | 34,911 | 0 | 0 | |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 15,304 | 713,792 | SH | DFND | 1,2,3,4 | 713,792 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 3.000%11/1 | 595112AY9 | 2,701 | 1,500,000 | PRN | DFND | 1,2,3,4 | 1,500,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 19,259 | 195,306 | SH | DFND | 1,2,3,4 | 195,306 | 0 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 4,220 | 102,915 | SH | DFND | 1,2,3,4 | 102,915 | 0 | 0 | |
NOMAD FOODS LTD | USD ORD SHS | G6564A105 | 11,135 | 580,239 | SH | DFND | 1,2,3,4 | 580,239 | 0 | 0 | |
OASIS PETE INC NEW | COM | 674215108 | 32,830 | 2,531,189 | SH | DFND | 1,2,3,4 | 2,531,189 | 0 | 0 | |
PACIRA PHARMACEUTICALS INC | COM | 695127100 | 6,272 | 195,700 | SH | Put | DFND | 1,2,3,4 | 195,700 | 0 | 0 |
PEABODY ENERGY CORP NEW | COM | 704551100 | 9,892 | 217,509 | SH | DFND | 1,2,3,4 | 217,509 | 0 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 18,314 | 281,498 | SH | DFND | 1,2,3,4 | 281,498 | 0 | 0 | |
POLARITYTE INC | COM | 731094108 | 8,228 | 349,536 | SH | DFND | 1,2,3,4 | 349,536 | 0 | 0 | |
RAMACO RES INC | COM | 75134P303 | 1,383 | 198,639 | SH | DFND | 1,2,3,4 | 198,639 | 0 | 0 | |
ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | 2,876 | 27,756 | SH | DFND | 1,2,3,4 | 27,756 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 11,214 | 82,212 | SH | DFND | 1,2,3,4 | 82,212 | 0 | 0 | |
SCHULMAN A INC | COM | 808194104 | 35,671 | 801,602 | SH | DFND | 1,2,3,4 | 801,602 | 0 | 0 | |
SEA LTD | ADR | 81141R100 | 7,638 | 509,188 | SH | DFND | 1,2,3,4 | 509,188 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 7,101 | 64,971 | SH | DFND | 1,2,3,4 | 64,971 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 26,590 | 1,000,000 | SH | Call | DFND | 1,2,3,4 | 1,000,000 | 0 | 0 |
SESEN BIO INC | COM | 817763105 | 8,669 | 4,445,557 | SH | DFND | 1,2,3,4 | 4,445,557 | 0 | 0 | |
SOL GEL TECHNOLOGIES | SHS | M8694L103 | 1,461 | 189,256 | SH | DFND | 1,2,3,4 | 189,256 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 56,969 | 210,000 | SH | Put | DFND | 1,2,3,4 | 210,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 23,798 | 250,000 | SH | Put | DFND | 1,2,3,4 | 250,000 | 0 | 0 |
SPECTRUM BRANDS HLDGS INC | COM | 84763R101 | 13,840 | 169,570 | SH | DFND | 1,2,3,4 | 169,570 | 0 | 0 | |
STANLEY BLACK & DECKER INC | COM | 854502101 | 2,258 | 17,000 | SH | DFND | 1,2,3,4 | 17,000 | 0 | 0 | |
STARS GROUP INC | COM | 85570W100 | 20,188 | 556,155 | SH | DFND | 1,2,3,4 | 556,155 | 0 | 0 | |
STEADYMED LTD | SHS | M84920103 | 2,264 | 503,140 | SH | DFND | 1,2,3,4 | 503,140 | 0 | 0 | |
STRYKER CORP | COM | 863667101 | 19,315 | 114,387 | SH | DFND | 1,2,3,4 | 114,387 | 0 | 0 | |
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 8,441 | 10,000,000 | PRN | DFND | 1,2,3,4 | 10,000,000 | 0 | 0 | |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 2,441 | 1,403,149 | SH | DFND | 1,2,3,4 | 1,403,149 | 0 | 0 | |
T MOBILE US INC | COM | 872590104 | 6,480 | 108,458 | SH | DFND | 1,2,3,4 | 108,458 | 0 | 0 | |
TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 | 11,773 | 99,471 | SH | DFND | 1,2,3,4 | 99,471 | 0 | 0 | |
TE CONNECTIVITY LTD | REG SHS | H84989104 | 14,026 | 155,738 | SH | DFND | 1,2,3,4 | 155,738 | 0 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 17,025 | 354,309 | SH | DFND | 1,2,3,4 | 354,309 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 7,296 | 300,000 | SH | Put | DFND | 1,2,3,4 | 300,000 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 9,060 | 43,740 | SH | DFND | 1,2,3,4 | 43,740 | 0 | 0 | |
UNITED CONTL HLDGS INC | COM | 910047109 | 17,337 | 248,628 | SH | DFND | 1,2,3,4 | 248,628 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 16,407 | 66,875 | SH | DFND | 1,2,3,4 | 66,875 | 0 | 0 | |
VULCAN MATLS CO | COM | 929160109 | 15,317 | 118,683 | SH | DFND | 1,2,3,4 | 118,683 | 0 | 0 | |
WABTEC CORP | COM | 929740108 | 10,205 | 103,516 | SH | DFND | 1,2,3,4 | 103,516 | 0 | 0 | |
WILLSCOT CORP | COM | 971375126 | 8,080 | 545,952 | SH | DFND | 1,2,3,4 | 545,952 | 0 | 0 | |
WPX ENERGY INC | COM | 98212B103 | 13,036 | 723,033 | SH | DFND | 1,2,3,4 | 723,033 | 0 | 0 | |
XPO LOGISTICS INC | COM | 983793100 | 23,722 | 236,794 | SH | DFND | 1,2,3,4 | 236,794 | 0 | 0 |