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 |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 9,945 | 5,000,000 | SH | DFND | 01,02 | 0 | 5,000,000 | 0 | |
AKAMAI TECHNOLOGIES INC | COM | 00971T101 | 146,460 | 2,000,000 | SH | DFND | 01,02 | 0 | 2,000,000 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 28,349 | 152,800 | SH | Put | DFND | 01,02 | 0 | 152,800 | 0 |
ALTABA INC | COM | 021346101 | 1,621,454 | 22,147,979 | SH | DFND | 01, 02 | 0 | 22,147,979 | 0 | |
ANSYS INC | COM | 03662Q105 | 7,246 | 41,600 | SH | Put | DFND | 01,02 | 0 | 41,600 | 0 |
ANTHEM INC | NOTE 2.750%10/1 | 94973VBG1 | 16,347 | 5,000,000 | PRN | DFND | 01,02 | 0 | 5,000,000 | 0 | |
APPLE INC | COM | 037833100 | 6,331 | 34,200 | SH | Put | DFND | 01, 02 | 0 | 34,200 | 0 |
ARCONIC INC | COM | 03965L100 | 882,855 | 51,902,133 | SH | DFND | 01,02 | 0 | 51,902,133 | 0 | |
ATHENAHEALTH INC | COM | 04685W103 | 92,301 | 580,000 | SH | DFND | 01, 02 | 0 | 580,000 | 0 | |
B RILEY FINL INC | COM | 05580M108 | 52,010 | 2,306,450 | SH | DFND | 01,02 | 0 | 2,306,450 | 0 | |
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 6,150 | 142,000 | SH | Put | DFND | 01,02 | 0 | 142,000 | 0 |
CDK GLOBAL INC | COM | 12508E101 | 299,371 | 4,602,168 | SH | DFND | 01,02 | 0 | 4,602,168 | 0 | |
CENTURYLINK INC | COM | 156700106 | 9,320 | 500,000 | SH | Call | DFND | 01,02 | 0 | 500,000 | 0 |
CITRIX SYS INC | COM | 177376100 | 743,420 | 7,091,000 | SH | DFND | 01,02 | 0 | 7,091,000 | 0 | |
COMMVAULT SYSTEMS INC | COM | 204166102 | 138,285 | 2,100,000 | SH | DFND | 01,02 | 0 | 2,100,000 | 0 | |
CONVERGYS CORP | COM | 212485106 | 110,407 | 4,517,466 | SH | DFND | 01,02 | 0 | 4,517,466 | 0 | |
CORMEDIX INC | COM | 21900C100 | 990 | 4,166,868 | SH | DFND | 01,02 | 0 | 4,166,868 | 0 | |
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 731,038 | 8,643,159 | SH | DFND | 01,02 | 0 | 8,643,159 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 132,539 | 3,015,000 | SH | DFND | 01,02 | 0 | 3,015,000 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 219,800 | 5,000,000 | SH | Call | DFND | 01,02 | 0 | 5,000,000 | 0 |
DIGITAL RLTY TR INC | COM | 253868103 | 89,264 | 800,000 | SH | Put | DFND | 01,02 | 0 | 800,000 | 0 |
DISH NETWORK CORP | CL A | 25470M109 | 100,388 | 2,986,855 | SH | DFND | 01,02 | 0 | 2,986,855 | 0 | |
DISH NETWORK CORP | NOTE 2.375% 3/1 | 25470MAD1 | 100,064 | 113,700,000 | PRN | DFND | 01,02 | 0 | 113,700,000 | 0 | |
DISH NETWORK CORP | NOTE 3.375% 8/1 | 25470MAB5 | 224,576 | 233,300,000 | PRN | DFND | 01,02 | 0 | 233,300,000 | 0 | |
EQT CORP | COM | 26884L109 | 122,776 | 2,225,000 | SH | DFND | 01,02 | 0 | 2,225,000 | 0 | |
EQUINIX INC | COM PAR $0.001 | 29444U700 | 42,989 | 100,000 | SH | Put | DFND | 01,02 | 0 | 100,000 | 0 |
EXXON MOBIL CORP | COM | 30231G102 | 21,510 | 260,000 | SH | DFND | 01,02 | 0 | 260,000 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 44,440 | 4,400,000 | SH | DFND | 01,02 | 0 | 4,400,000 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | *W EXP 10/25/202 | G4182A128 | 1,833 | 1,466,666 | SH | DFND | 01,02 | 0 | 1,466,666 | 0 | |
HESS CORP | COM | 42809H107 | 1,467,901 | 21,945,000 | SH | DFND | 01,02 | 0 | 21,945,000 | 0 | |
HESS CORP | COM | 42809H107 | 10,034 | 150,000 | SH | Call | DFND | 01,02 | 0 | 150,000 | 0 |
IMPERVA INC | COM | 45321L100 | 90,759 | 1,881,017 | SH | DFND | 01,02 | 0 | 1,881,017 | 0 | |
INTEL CORP | SDCV 3.250% 8/0 | 458140AF7 | 23,954 | 10,000,000 | PRN | DFND | 01,02 | 0 | 10,000,000 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 204,092 | 1,189,000 | SH | DFND | 01,02 | 0 | 1,189,000 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 429,125 | 2,500,000 | SH | Call | DFND | 01,02 | 0 | 2,500,000 | 0 |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 2,332,209 | 13,587,000 | SH | Put | DFND | 01,02 | 0 | 13,587,000 | 0 |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 92,347 | 7,220,286 | SH | DFND | 01,02 | 0 | 7,220,286 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 212,700 | 2,500,000 | SH | Call | DFND | 01,02 | 0 | 2,500,000 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 589,572 | 3,600,000 | SH | Put | DFND | 01,02 | 0 | 3,600,000 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 241,740 | 3,000,000 | SH | Put | DFND | 01,02 | 0 | 3,000,000 | 0 |
ISHARES TR | PHLX SEMICND ETF | 464287523 | 10,481 | 58,800 | SH | Put | DFND | 01,02 | 0 | 58,800 | 0 |
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 29,146 | 2,950,000 | SH | DFND | 01,02 | 0 | 2,950,000 | 0 | |
MATLIN & PARTNERS ACQUISITIO | *W EXP 05/28/202 | 57682V114 | 2,005 | 2,950,000 | SH | DFND | 01,02 | 0 | 2,950,000 | 0 | |
MEDNAX INC | COM | 58502B106 | 107,118 | 2,475,000 | SH | DFND | 01,02 | 0 | 2,475,000 | 0 | |
MICRO FOCUS INTERNATIONAL PL S | SPON ADR NEW | 594837304 | 107,938 | 6,250,000 | SH | DFND | 01,02 | 0 | 6,250,000 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 1,883,280 | 17,235,105 | SH | DFND | 01,02 | 0 | 17,235,105 | 0 | |
OCEAN RIG UDW INC | COM CL A | G66964118 | 545,220 | 18,494,587 | SH | DFND | 01,02 | 0 | 18,494,587 | 0 | |
OPUS BK IRVINE CALIF | COM | 684000102 | 155,530 | 5,419,153 | SH | DFND | 01,02 | 0 | 5,419,153 | 0 | |
PEABODY ENERGY CORP NEW | COM | 704551100 | 1,607,254 | 35,339,802 | SH | DFND | 01,02 | 0 | 35,339,802 | 0 | |
PLATFORM SPECIALTY PRODS COR | COM | 72766Q105 | 127,035 | 10,951,281 | SH | DFND | 01,02 | 0 | 10,951,281 | 0 | |
PRA GROUP INC | NOTE 3.500% 6/0 | 69354NAB2 | 1,595 | 1,500,000 | SH | DFND | 01,02 | 0 | 1,500,000 | 0 | |
QEP RES INC | COM | 74733V100 | 128,730 | 10,500,000 | SH | DFND | 01,02 | 0 | 10,500,000 | 0 | |
ROADRUNNER TRNSN SVCS HLDG I | COM | 76973Q105 | 6,919 | 3,310,483 | SH | DFND | 01,02 | 0 | 3,310,483 | 0 | |
SABRE CORP | COM | 78573M104 | 18,480 | 750,000 | SH | Call | DFND | 01,02 | 0 | 750,000 | 0 |
SABRE CORP | COM | 78573M104 | 12,320 | 500,000 | SH | Put | DFND | 01,02 | 0 | 500,000 | 0 |
SANOFI | RIGHT 12/31/2020 | 80105N113 | 10,227 | 20,454,561 | SH | DFND | 01,02 | 0 | 20,454,561 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 389,700 | 7,500,000 | SH | Put | DFND | 01,02 | 0 | 7,500,000 | 0 |
SEMPRA ENERGY | COM | 816851109 | 87,083 | 750,000 | SH | DFND | 01,02 | 0 | 750,000 | 0 | |
SPDR SERIES TRUST | S&P REGL BKG | 78464A698 | 30,500 | 500,000 | SH | Put | DFND | 01,02 | 0 | 500,000 | 0 |
SPDR SERIES TRUST | S&P OILGAS EXP | 78464A730 | 990,380 | 23,000,000 | SH | Put | DFND | 01,02 | 0 | 23,000,000 | 0 |
SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | 70,940 | 2,000,000 | SH | Put | DFND | 01,02 | 0 | 2,000,000 | 0 |
SYNOPSYS INC | COM | 871607107 | 5,682 | 66,400 | SH | Put | DFND | 01,02 | 0 | 66,400 | 0 |
TRANSOCEAN LTD | REG SHS | H8817H100 | 26,880 | 2,000,000 | SH | Call | DFND | 01,02 | 0 | 2,000,000 | 0 |
TRANSOCEAN LTD | REG SHS | H8817H100 | 302,400 | 22,500,000 | SH | Put | DFND | 01,02 | 0 | 22,500,000 | 0 |
TRAVELPORT WORLDWIDE LTD | SHS | G9019D104 | 125,171 | 6,751,409 | SH | DFND | 01,02 | 0 | 6,751,409 | 0 | |
TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | 102,240 | 2,075,100 | SH | DFND | 01,02 | 0 | 2,075,100 | 0 | |
UNITI GROUP INC | COM | 91325V108 | 172,058 | 8,590,000 | SH | DFND | 01,02 | 0 | 8,590,000 | 0 | |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 534,521 | 5,206,200 | SH | Put | DFND | 01,02 | 0 | 5,206,200 | 0 |
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 19,703 | 750,000 | SH | Put | DFND | 01,02 | 0 | 750,000 | 0 |
VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 | 537,570 | 6,600,000 | SH | Put | DFND | 01,02 | 0 | 6,600,000 | 0 |
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 39,480 | 4,000,000 | SH | DFND | 01,02 | 0 | 4,000,000 | 0 | |
VANTAGE ENERGY ACQUISITION | *W EXP 04/12/202 | 92211L113 | 1,733 | 1,333,333 | SH | DFND | 01,02 | 0 | 1,333,333 | 0 | |
VMWARE INC | CL A COM | 928563402 | 120,933 | 822,840 | SH | DFND | 01,02 | 0 | 822,840 | 0 | |
VMWARE INC | CL A COM | 928563402 | 45,561 | 310,000 | SH | Call | DFND | 01,02 | 0 | 310,000 | 0 |
VMWARE INC | CL A COM | 928563402 | 29,394 | 200,000 | SH | Put | DFND | 01,02 | 0 | 200,000 | 0 |
WAYFAIR INC | NOTE 0.375% 9/0 | 94419LAA9 | 645 | 500,000 | PRN | DFND | 01,02 | 0 | 500,000 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 59,380 | 500,000 | SH | Put | DFND | 01,02 | 0 | 500,000 | 0 |
WESTERN DIGITAL CORP | COM | 958102105 | 19,353 | 250,000 | SH | Put | DFND | 01,02 | 0 | 250,000 | 0 |
WINDSTREAM HLDGS INC | COM PAR | 97382A309 | 9,760 | 1,852,000 | SH | DFND | 01,02 | 0 | 1,852,000 | 0 | |
WIPRO LTD | SPON ADR 1 SH | 97651M109 | 5,341 | 1,115,000 | SH | DFND | 01,02 | 0 | 1,115,000 | 0 | |
ZIONS BANCORPORATION | *W EXP 5/22/202 | 989701115 | 7,105 | 350,000 | SH | DFND | 01,02 | 0 | 350,000 | 0 |