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 |
ACUITY BRANDS INC | COM | 00508Y102 | 11,027 | 70,146 | SH | DFND | 1,2,3,4 | 70,146 | 0 | 0 | |
AGILENT TECHNOLOGIES INC | COM | 00846U101 | 18,185 | 257,800 | SH | DFND | 1,2,3,4 | 257,800 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 405 | 2,461 | SH | DFND | 1,2,3,4 | 2,461 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 4,119 | 25,000 | SH | Put | DFND | 1,2,3,4 | 25,000 | 0 | 0 |
ALLEGHENY TECHNOLOGIES INC | COM | 01741R102 | 16,702 | 565,211 | SH | DFND | 1,2,3,4 | 565,211 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 10,185 | 8,438 | SH | DFND | 1,2,3,4 | 8,438 | 0 | 0 | |
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 4,951 | 463,561 | SH | DFND | 1,2,3,4 | 463,561 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 56,001 | 822,090 | SH | DFND | 1,2,3,4 | 822,090 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 16,166 | 8,071 | SH | DFND | 1,2,3,4 | 8,071 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 24,828 | 368,309 | SH | DFND | 1,2,3,4 | 368,309 | 0 | 0 | |
ARAMARK | COM | 03852U106 | 2,654 | 61,684 | SH | DFND | 1,2,3,4 | 61,684 | 0 | 0 | |
ARGENX SE | SPONSORED ADR | 04016X101 | 20,426 | 269,325 | SH | DFND | 1,2,3,4 | 269,325 | 0 | 0 | |
ARRAY BIOPHARMA INC | COM | 04269X105 | 8,295 | 545,711 | SH | DFND | 1,2,3,4 | 545,711 | 0 | 0 | |
ASHLAND GLOBAL HLDGS INC | COM | 044186104 | 15,402 | 183,666 | SH | DFND | 1,2,3,4 | 183,666 | 0 | 0 | |
BIOGEN INC | COM | 09062X103 | 52,997 | 150,000 | SH | Put | DFND | 1,2,3,4 | 150,000 | 0 | 0 |
BIOHAVEN PHARMACTL HLDG CO L | COM | G11196105 | 23,368 | 622,328 | SH | DFND | 1,2,3,4 | 622,328 | 0 | 0 | |
BLOOMIN BRANDS INC | COM | 094235108 | 10,218 | 516,344 | SH | DFND | 1,2,3,4 | 516,344 | 0 | 0 | |
BUNGE LIMITED | COM | G16962105 | 26,564 | 386,615 | SH | DFND | 1,2,3,4 | 386,615 | 0 | 0 | |
CAESARS ENTMT CORP | COM | 127686103 | 23,197 | 2,263,088 | SH | DFND | 1,2,3,4 | 2,263,088 | 0 | 0 | |
CANOPY GROWTH CORP | COM | 138035100 | 628 | 10,000 | SH | DFND | 1,2,3,4 | 10,000 | 0 | 0 | |
CEMEX SAB DE CV | NOTE 3.720% 3/1 | 151290BT9 | 10,074 | 10,000,000 | PRN | DFND | 1,2,3,4 | 10,000,000 | 0 | 0 | |
CENTENE CORP DEL | COM | 15135B101 | 22,513 | 155,500 | SH | DFND | 1,2,3,4 | 155,500 | 0 | 0 | |
CIGNA CORPORATION | COM | 125509109 | 8,564 | 41,124 | SH | DFND | 1,2,3,4 | 41,124 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 5,903 | 201,000 | SH | Call | DFND | 1,2,3,4 | 201,000 | 0 | 0 |
CLOVIS ONCOLOGY INC | COM | 189464100 | 11,512 | 391,959 | SH | DFND | 1,2,3,4 | 391,959 | 0 | 0 | |
CLOVIS ONCOLOGY INC | NOTE 1.250% 5/0 | 189464AC4 | 1,546 | 2,000,000 | PRN | DFND | 1,2,3,4 | 2,000,000 | 0 | 0 | |
CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 4,669 | 5,000,000 | PRN | DFND | 1,2,3,4 | 5,000,000 | 0 | 0 | |
CONAGRA BRANDS INC | COM | 205887102 | 17,614 | 518,519 | SH | DFND | 1,2,3,4 | 518,519 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 14,860 | 68,916 | SH | DFND | 1,2,3,4 | 68,916 | 0 | 0 | |
CONSTELLIUM NV | CL A | N22035104 | 29,972 | 2,426,849 | SH | DFND | 1,2,3,4 | 2,426,849 | 0 | 0 | |
CVS HEALTH CORP | COM | 126650100 | 13,629 | 173,136 | SH | DFND | 1,2,3,4 | 173,136 | 0 | 0 | |
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 12,266 | 212,112 | SH | DFND | 1,2,3,4 | 212,112 | 0 | 0 | |
DENBURY RES INC | COM NEW | 247916208 | 6,115 | 986,269 | SH | DFND | 1,2,3,4 | 986,269 | 0 | 0 | |
DESTINATION MATERNITY CORP | COM | 25065D100 | 501 | 107,495 | SH | DFND | 1,2,3,4 | 107,495 | 0 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 8,027 | 200,980 | SH | DFND | 1,2,3,4 | 200,980 | 0 | 0 | |
DOWDUPONT INC | COM | 26078J100 | 45,261 | 703,801 | SH | DFND | 1,2,3,4 | 703,801 | 0 | 0 | |
EASTERLY ACQUISITION CORP | COM | 27616L102 | 5,225 | 500,000 | SH | DFND | 1,2,3,4 | 500,000 | 0 | 0 | |
EXTRACTION OIL AND GAS INC | COM | 30227M105 | 1,524 | 135,000 | SH | DFND | 1,2,3,4 | 135,000 | 0 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 1,956 | 32,200 | SH | Put | DFND | 1,2,3,4 | 32,200 | 0 | 0 |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 1,871 | 100,000 | SH | Call | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 10,749 | 574,483 | SH | DFND | 1,2,3,4 | 574,483 | 0 | 0 | |
FLEXION THERAPEUTICS INC | NOTE 3.375% 5/0 | 33938JAB2 | 3,787 | 3,750,000 | PRN | DFND | 1,2,3,4 | 3,750,000 | 0 | 0 | |
FORESCOUT TECHNOLOGIES INC | COM | 34553D101 | 3,282 | 86,911 | SH | DFND | 1,2,3,4 | 86,911 | 0 | 0 | |
FORTIVE CORP | COM | 34959J108 | 4,454 | 52,898 | SH | DFND | 1,2,3,4 | 52,898 | 0 | 0 | |
GENERAL MLS INC | COM | 370334104 | 6,757 | 157,431 | SH | DFND | 1,2,3,4 | 157,431 | 0 | 0 | |
GLOBAL X FDS | GLOBAL X URANIUM | 37954Y871 | 9,254 | 695,300 | SH | DFND | 1,2,3,4 | 695,300 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 4,118 | 1,267,030 | SH | DFND | 1,2,3,4 | 1,267,030 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | *W EXP 10/25/202 | G4182A128 | 500 | 400,000 | SH | DFND | 1,2,3,4 | 400,000 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 12,168 | 1,200,000 | SH | DFND | 1,2,3,4 | 1,200,000 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 25,245 | 797,622 | SH | DFND | 1,2,3,4 | 797,622 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 1,108 | 1,000,000 | PRN | DFND | 1,2,3,4 | 1,000,000 | 0 | 0 | |
INTERNATIONAL GAME TECHNOLOG | SHS USD | G4863A108 | 18,986 | 961,323 | SH | DFND | 1,2,3,4 | 961,323 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 38,013 | 204,600 | SH | Put | DFND | 1,2,3,4 | 204,600 | 0 | 0 |
IQVIA HLDGS INC | COM | 46266C105 | 6,136 | 47,291 | SH | DFND | 1,2,3,4 | 47,291 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 64,807 | 384,500 | SH | Put | DFND | 1,2,3,4 | 384,500 | 0 | 0 |
KEMPHARM INC | NOTE 5.500% 2/0 | 488445AB3 | 1,789 | 3,000,000 | PRN | DFND | 1,2,3,4 | 3,000,000 | 0 | 0 | |
KEYSIGHT TECHNOLOGIES INC | COM | 49338L103 | 28,719 | 433,305 | SH | DFND | 1,2,3,4 | 433,305 | 0 | 0 | |
LATTICE SEMICONDUCTOR CORP | COM | 518415104 | 3,205 | 400,632 | SH | DFND | 1,2,3,4 | 400,632 | 0 | 0 | |
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 11,080 | 16,000,000 | PRN | DFND | 1,2,3,4 | 16,000,000 | 0 | 0 | |
LILLY ELI & CO | COM | 532457108 | 32,193 | 300,000 | SH | Put | DFND | 1,2,3,4 | 300,000 | 0 | 0 |
LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | 5,224 | 50,961 | SH | DFND | 1,2,3,4 | 50,961 | 0 | 0 | |
LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | 33,828 | 330,000 | SH | Call | DFND | 1,2,3,4 | 330,000 | 0 | 0 |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 1,930 | 100,000 | SH | Call | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 14,580 | 755,460 | SH | DFND | 1,2,3,4 | 755,460 | 0 | 0 | |
MEDTRONIC PLC | SHS | G5960L103 | 9,372 | 95,274 | SH | DFND | 1,2,3,4 | 95,274 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 30,651 | 268,000 | SH | DFND | 1,2,3,4 | 268,000 | 0 | 0 | |
MIDDLEBY CORP | COM | 596278101 | 13,268 | 102,578 | SH | DFND | 1,2,3,4 | 102,578 | 0 | 0 | |
MOLECULAR TEMPLATES INC | COM | 608550109 | 2,662 | 493,949 | SH | DFND | 1,2,3,4 | 493,949 | 0 | 0 | |
NEWELL BRANDS INC | COM | 651229106 | 1,523 | 75,000 | SH | DFND | 1,2,3,4 | 75,000 | 0 | 0 | |
NOMAD FOODS LTD | USD ORD SHS | G6564A105 | 14,186 | 700,205 | SH | DFND | 1,2,3,4 | 700,205 | 0 | 0 | |
OASIS PETE INC NEW | COM | 674215108 | 29,285 | 2,065,249 | SH | DFND | 1,2,3,4 | 2,065,249 | 0 | 0 | |
PEABODY ENERGY CORP NEW | COM | 704551100 | 3,499 | 98,179 | SH | DFND | 1,2,3,4 | 98,179 | 0 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 14,926 | 230,306 | SH | DFND | 1,2,3,4 | 230,306 | 0 | 0 | |
RAMACO RES INC | COM | 75134P303 | 3,636 | 487,428 | SH | DFND | 1,2,3,4 | 487,428 | 0 | 0 | |
RIO TINTO PLC | SPONSORED ADR | 767204100 | 3,620 | 70,962 | SH | DFND | 1,2,3,4 | 70,962 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 13,565 | 85,300 | SH | DFND | 1,2,3,4 | 85,300 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 4,560 | 38,900 | SH | DFND | 1,2,3,4 | 38,900 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 529 | 9,800 | SH | DFND | 1,2,3,4 | 9,800 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 5,253 | 97,400 | SH | Put | DFND | 1,2,3,4 | 97,400 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 40,245 | 1,459,200 | SH | Call | DFND | 1,2,3,4 | 1,459,200 | 0 | 0 |
SESEN BIO INC | COM | 817763105 | 9,558 | 4,445,557 | SH | DFND | 1,2,3,4 | 4,445,557 | 0 | 0 | |
SIGNET JEWELERS LIMITED | SHS | G81276100 | 13,030 | 197,630 | SH | DFND | 1,2,3,4 | 197,630 | 0 | 0 | |
SITEONE LANDSCAPE SUPPLY INC | COM | 82982L103 | 3,963 | 52,600 | SH | DFND | 1,2,3,4 | 52,600 | 0 | 0 | |
SMUCKER J M CO | COM NEW | 832696405 | 3,163 | 30,825 | SH | DFND | 1,2,3,4 | 30,825 | 0 | 0 | |
SOL GEL TECHNOLOGIES | SHS | M8694L103 | 1,686 | 224,805 | SH | DFND | 1,2,3,4 | 224,805 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 59,481 | 204,600 | SH | Put | DFND | 1,2,3,4 | 204,600 | 0 | 0 |
SPECTRUM BRANDS HLDGS INC NE | COM | 84790A105 | 8,962 | 119,942 | SH | DFND | 1,2,3,4 | 119,942 | 0 | 0 | |
STARS GROUP INC | COM | 85570W100 | 12,169 | 488,700 | SH | DFND | 1,2,3,4 | 488,700 | 0 | 0 | |
STRYKER CORP | COM | 863667101 | 15,307 | 86,147 | SH | DFND | 1,2,3,4 | 86,147 | 0 | 0 | |
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 2,510 | 3,000,000 | PRN | DFND | 1,2,3,4 | 3,000,000 | 0 | 0 | |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 2,385 | 1,403,149 | SH | DFND | 1,2,3,4 | 1,403,149 | 0 | 0 | |
T MOBILE US INC | COM | 872590104 | 13,035 | 185,730 | SH | DFND | 1,2,3,4 | 185,730 | 0 | 0 | |
TABLEAU SOFTWARE INC | CL A | 87336U105 | 17,214 | 154,055 | SH | DFND | 1,2,3,4 | 154,055 | 0 | 0 | |
TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 | 14,390 | 104,282 | SH | DFND | 1,2,3,4 | 104,282 | 0 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 18,743 | 354,309 | SH | DFND | 1,2,3,4 | 354,309 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 8,988 | 36,824 | SH | DFND | 1,2,3,4 | 36,824 | 0 | 0 | |
TYSON FOODS INC | CL A | 902494103 | 9,187 | 154,330 | SH | DFND | 1,2,3,4 | 154,330 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 15,058 | 56,600 | SH | DFND | 1,2,3,4 | 56,600 | 0 | 0 | |
UNITI GROUP INC | COM | 91325V108 | 10,075 | 500,000 | SH | Put | DFND | 1,2,3,4 | 500,000 | 0 | 0 |
WABTEC CORP | COM | 929740108 | 13,023 | 124,168 | SH | DFND | 1,2,3,4 | 124,168 | 0 | 0 | |
WARRIOR MET COAL INC | COM | 93627C101 | 3,110 | 115,000 | SH | DFND | 1,2,3,4 | 115,000 | 0 | 0 | |
WILLSCOT CORP | COM | 971375126 | 13,947 | 813,262 | SH | DFND | 1,2,3,4 | 813,262 | 0 | 0 | |
WPX ENERGY INC | COM | 98212B103 | 17,877 | 888,533 | SH | DFND | 1,2,3,4 | 888,533 | 0 | 0 | |
XPO LOGISTICS INC | COM | 983793100 | 25,893 | 226,794 | SH | DFND | 1,2,3,4 | 226,794 | 0 | 0 | |
YANDEX N V | SHS CLASS A | N97284108 | 9,412 | 286,181 | SH | DFND | 1,2,3,4 | 286,181 | 0 | 0 | |
YUM CHINA HLDGS INC | COM | 98850P109 | 3,511 | 100,000 | SH | Call | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
YUM CHINA HLDGS INC | COM | 98850P109 | 5,339 | 152,078 | SH | DFND | 1,2,3,4 | 152,078 | 0 | 0 |