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 |
ALPHABET INC | CAP STK CL A | 02079K305 | 34,772 | 29,546 | SH | DFND | 1,2,3,4 | 29,546 | 0 | 0 | |
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 8,160 | 813,561 | SH | DFND | 1,2,3,4 | 813,561 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 23,992 | 13,473 | SH | DFND | 1,2,3,4 | 13,473 | 0 | 0 | |
ARGENX SE | SPONSORED ADR | 04016X101 | 33,775 | 270,548 | SH | DFND | 1,2,3,4 | 270,548 | 0 | 0 | |
ASHLAND GLOBAL HLDGS INC | COM | 044186104 | 8,831 | 113,025 | SH | DFND | 1,2,3,4 | 113,025 | 0 | 0 | |
ATHENEX INC | COM | 04685N103 | 6,594 | 538,291 | SH | DFND | 1,2,3,4 | 538,291 | 0 | 0 | |
AUDENTES THERAPEUTICS INC | COM | 05070R104 | 4,215 | 108,031 | SH | DFND | 1,2,3,4 | 108,031 | 0 | 0 | |
BIOHAVEN PHARMACTL HLDG CO L | COM | G11196105 | 5,147 | 100,000 | SH | Call | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
BIOHAVEN PHARMACTL HLDG CO L | COM | G11196105 | 43,454 | 844,266 | SH | DFND | 1,2,3,4 | 844,266 | 0 | 0 | |
BOSTON SCIENTIFIC CORP | COM | 101137107 | 21,594 | 562,641 | SH | DFND | 1,2,3,4 | 562,641 | 0 | 0 | |
CAMECO CORP | COM | 13321L108 | 9,699 | 822,683 | SH | DFND | 1,2,3,4 | 822,683 | 0 | 0 | |
CANADIAN PAC RY LTD | COM | 13645T100 | 21,740 | 105,521 | SH | DFND | 1,2,3,4 | 105,521 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 23,985 | 254,244 | SH | DFND | 1,2,3,4 | 254,244 | 0 | 0 | |
CONSTELLIUM NV | CL A | N22035104 | 16,503 | 2,068,005 | SH | DFND | 1,2,3,4 | 2,068,005 | 0 | 0 | |
DECIPHERA PHARMACEUTICALS IN | COM | 24344T101 | 4,294 | 184,994 | SH | DFND | 1,2,3,4 | 184,994 | 0 | 0 | |
DELL TECHNOLOGIES INC | CL C | 24703L202 | 414 | 7,050 | SH | DFND | 1,2,3,4 | 7,050 | 0 | 0 | |
DESTINATION MATERNITY CORP | COM | 25065D100 | 381 | 174,816 | SH | DFND | 1,2,3,4 | 174,816 | 0 | 0 | |
DOCUSIGN INC | COM | 256163106 | 4,399 | 84,864 | SH | DFND | 1,2,3,4 | 84,864 | 0 | 0 | |
EDWARDS LIFESCIENCES CORP | COM | 28176E108 | 9,567 | 50,000 | SH | Put | DFND | 1,2,3,4 | 50,000 | 0 | 0 |
ELDORADO RESORTS INC | COM | 28470R102 | 27,928 | 598,167 | SH | DFND | 1,2,3,4 | 598,167 | 0 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 5,435 | 100,000 | SH | Put | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 11,033 | 884,018 | SH | DFND | 1,2,3,4 | 884,018 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 5,385 | 1,267,030 | SH | DFND | 1,2,3,4 | 1,267,030 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | *W EXP 02/19/202 | 362409112 | 241 | 400,000 | SH | DFND | 1,2,3,4 | 400,000 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 3,666 | 150,000 | SH | Call | DFND | 1,2,3,4 | 150,000 | 0 | 0 |
HERON THERAPEUTICS INC | COM | 427746102 | 26,595 | 1,088,166 | SH | DFND | 1,2,3,4 | 1,088,166 | 0 | 0 | |
IMMUNOGEN INC | COM | 45253H101 | 542 | 200,000 | SH | Call | DFND | 1,2,3,4 | 200,000 | 0 | 0 |
INFLARX NV | COM | N44821101 | 6,629 | 175,414 | SH | DFND | 1,2,3,4 | 175,414 | 0 | 0 | |
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 11,186 | 100,000 | SH | Put | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 8,117 | 100,000 | SH | Put | DFND | 1,2,3,4 | 100,000 | 0 | 0 |
IQVIA HLDGS INC | COM | 46266C105 | 14,927 | 103,768 | SH | DFND | 1,2,3,4 | 103,768 | 0 | 0 | |
KEMPHARM INC | NOTE 5.500% 2/0 | 488445AB3 | 1,496 | 3,000,000 | PRN | DFND | 1,2,3,4 | 3,000,000 | 0 | 0 | |
KEYSIGHT TECHNOLOGIES INC | COM | 49338L103 | 20,212 | 231,794 | SH | DFND | 1,2,3,4 | 231,794 | 0 | 0 | |
LAMB WESTON HLDGS INC | COM | 513272104 | 14,708 | 196,260 | SH | DFND | 1,2,3,4 | 196,260 | 0 | 0 | |
LATTICE SEMICONDUCTOR CORP | COM | 518415104 | 7,975 | 668,468 | SH | DFND | 1,2,3,4 | 668,468 | 0 | 0 | |
LIONS GATE ENTMNT CORP | CL A VTG | 535919401 | 15,662 | 1,001,427 | SH | DFND | 1,2,3,4 | 1,001,427 | 0 | 0 | |
LYFT INC | CL A COM | 55087P104 | 431 | 5,500 | SH | DFND | 1,2,3,4 | 5,500 | 0 | 0 | |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 12,391 | 622,979 | SH | DFND | 1,2,3,4 | 622,979 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 31,852 | 270,067 | SH | DFND | 1,2,3,4 | 270,067 | 0 | 0 | |
MIDDLEBY CORP | COM | 596278101 | 34,130 | 262,481 | SH | DFND | 1,2,3,4 | 262,481 | 0 | 0 | |
MOLECULAR TEMPLATES INC | COM | 608550109 | 2,988 | 514,225 | SH | DFND | 1,2,3,4 | 514,225 | 0 | 0 | |
NOMAD FOODS LTD | USD ORD SHS | G6564A105 | 11,295 | 552,317 | SH | DFND | 1,2,3,4 | 552,317 | 0 | 0 | |
NORFOLK SOUTHERN CORP | COM | 655844108 | 28,404 | 151,980 | SH | DFND | 1,2,3,4 | 151,980 | 0 | 0 | |
ONESPAWORLD HOLDINGS LIMITED | COM | P73684113 | 1,417 | 103,756 | SH | DFND | 1,2,3,4 | 103,756 | 0 | 0 | |
RAMACO RES INC | COM | 75134P303 | 1,602 | 276,246 | SH | DFND | 1,2,3,4 | 276,246 | 0 | 0 | |
RAPID7 INC | COM | 753422104 | 5,061 | 100,000 | SH | DFND | 1,2,3,4 | 100,000 | 0 | 0 | |
RH | COM | 74967X103 | 16,398 | 159,285 | SH | DFND | 1,2,3,4 | 159,285 | 0 | 0 | |
ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | 25,605 | 223,393 | SH | DFND | 1,2,3,4 | 223,393 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 12,273 | 77,494 | SH | DFND | 1,2,3,4 | 77,494 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 550 | 9,800 | SH | DFND | 1,2,3,4 | 9,800 | 0 | 0 | |
SESEN BIO INC | COM | 817763105 | 5,397 | 5,239,557 | SH | DFND | 1,2,3,4 | 5,239,557 | 0 | 0 | |
SOL GEL TECHNOLOGIES | SHS | M8694L103 | 1,624 | 239,949 | SH | DFND | 1,2,3,4 | 239,949 | 0 | 0 | |
STEALTH BIOTHERAPEUTICS CORP | SPONSORED ADS | 85789A105 | 2,284 | 178,453 | SH | DFND | 1,2,3,4 | 178,453 | 0 | 0 | |
TECK RESOURCES LTD | CL B | 878742204 | 12,730 | 549,191 | SH | DFND | 1,2,3,4 | 549,191 | 0 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 20,433 | 354,309 | SH | DFND | 1,2,3,4 | 354,309 | 0 | 0 | |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 15,767 | 57,603 | SH | DFND | 1,2,3,4 | 57,603 | 0 | 0 | |
TRILOGY METALS INC NEW | COM | 89621C105 | 2,470 | 1,004,135 | SH | DFND | 1,2,3,4 | 1,004,135 | 0 | 0 | |
TRONOX HOLDINGS PLC | SHS | G9087Q102 | 6,512 | 495,195 | SH | DFND | 1,2,3,4 | 495,195 | 0 | 0 | |
TYSON FOODS INC | CL A | 902494103 | 15,777 | 227,230 | SH | DFND | 1,2,3,4 | 227,230 | 0 | 0 | |
WILLSCOT CORP | COM | 971375126 | 8,944 | 806,476 | SH | DFND | 1,2,3,4 | 806,476 | 0 | 0 | |
ZIMMER BIOMET HLDGS INC | COM | 98956P102 | 8,399 | 65,775 | SH | DFND | 1,2,3,4 | 65,775 | 0 | 0 |