Chief Executive Officer

0000950123-19-001656.txt : 20190213 0000950123-19-001656.hdr.sgml : 20190213 20190213160700 ACCESSION NUMBER: 0000950123-19-001656 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OZ MANAGEMENT LP CENTRAL INDEX KEY: 0001054587 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06663 FILM NUMBER: 19597117 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127900165 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: OZ MANAGEMENT LLC DATE OF NAME CHANGE: 19980204 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001054587 XXXXXXXX 12-31-2018 12-31-2018 OZ MANAGEMENT LP

9 West 57th Street, 39th Floor New York NY 10019

13F HOLDINGS REPORT 028-06663 N Robert Shafir Chief Executive Officer (212) 790-0000 /s/ Robert Shafir New York NY 02-07-2019 1 259 14985184 false 1 028-13627 OZ Management II LP INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F BANK AMER CORP *W EXP 01/16/201 060505146 16301 1269078 SH SOLE 1269078 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 367 333333 SH SOLE 333333 0 0 ZIONS BANCORPORATION N A *W EXP 05/21/202 989701115 13197 1376859 SH SOLE 1376859 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 1300 1000000 SH SOLE 1000000 0 0 GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 600 500000 SH SOLE 500000 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 194 233333 SH SOLE 233333 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 30386 33388 SH DFND 1 0 33388 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 49858 47336 SH DFND 1 0 47336 0 CHEETAH MOBILE INC ADR 163075104 378 61800 SH DFND 1 0 61800 0 CHEETAH MOBILE INC ADR 163075104 378 61800 SH Put DFND 1 0 61800 0 MOMO INC ADR 60879B107 18993 799700 SH Put SOLE 799700 0 0 SOGOU INC ADR REPSTG A 83409V104 1664 316900 SH DFND 1 0 316900 0 SOGOU INC ADR REPSTG A 83409V104 1664 316900 SH Put DFND 1 0 316900 0 ISHARES TR BARCLAYS 7 10 YR 464287440 41680 400000 SH Call SOLE 400000 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 36470 350000 SH Put SOLE 350000 0 0 ALPHABET INC CAP STK CL A 02079K305 770 737 SH DFND 1 0 737 0 ALPHABET INC CAP STK CL A 02079K305 172513 165091 SH SOLE 165091 0 0 BLUE APRON HLDGS INC CL A 09523Q101 214 209900 SH DFND 1 0 209900 0 BLUE APRON HLDGS INC CL A 09523Q101 214 209900 SH Put DFND 1 0 209900 0 CAMPING WORLD HLDGS INC CL A 13462K109 721 62900 SH DFND 1 0 62900 0 CAMPING WORLD HLDGS INC CL A 13462K109 721 62900 SH Put DFND 1 0 62900 0 CARVANA CO CL A 146869102 687 21000 SH DFND 1 0 21000 0 CARVANA CO CL A 146869102 687 21000 SH Put DFND 1 0 21000 0 SENTINEL ENERGY SVCS INC CL A 81728P105 7014 699999 SH SOLE 699999 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 767 2692 SH DFND 1 0 2692 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 111697 391961 SH SOLE 391961 0 0 GAMESTOP CORP NEW CL A 36467W109 1247 98800 SH DFND 1 0 98800 0 GAMESTOP CORP NEW CL A 36467W109 1247 98800 SH Put DFND 1 0 98800 0 MASTERCARD INCORPORATED CL A 57636Q104 1555 8243 SH DFND 1 0 8243 0 MASTERCARD INCORPORATED CL A 57636Q104 271363 1438449 SH SOLE 1438449 0 0 NEW YORK TIMES CO CL A 650111107 1463 65637 SH DFND 1 0 65637 0 NEW YORK TIMES CO CL A 650111107 135211 6065984 SH SOLE 6065984 0 0 SNAP INC CL A 83304A106 11500 2087100 SH DFND 1 0 2087100 0 SNAP INC CL A 83304A106 11526 2091800 SH Put DFND 1 0 2091800 0 UNDER ARMOUR INC CL A 904311107 11903 673600 SH DFND 1 0 673600 0 UNDER ARMOUR INC CL A 904311107 12053 682100 SH Put DFND 1 0 682100 0 VMWARE INC CL A COM 928563402 110 800 SH Call DFND 1 0 800 0 VMWARE INC CL A COM 928563402 19500 142200 SH Call SOLE 142200 0 0 REVLON INC CL A NEW 761525609 652 25900 SH DFND 1 0 25900 0 REVLON INC CL A NEW 761525609 652 25900 SH Put DFND 1 0 25900 0 LENNAR CORP CL B 526057302 12090 385901 SH SOLE 385901 0 0 LGI HOMES INC COM 50187T106 959 21200 SH DFND 1 0 21200 0 LGI HOMES INC COM 50187T106 959 21200 SH Put DFND 1 0 21200 0 JPMORGAN CHASE & CO COM 46625H100 619 6342 SH DFND 1 0 6342 0 JPMORGAN CHASE & CO COM 46625H100 104519 1070673 SH SOLE 1070673 0 0 INTREXON CORP COM 46122T102 182 27900 SH DFND 1 0 27900 0 INTREXON CORP COM 46122T102 182 27900 SH Put DFND 1 0 27900 0 JAGGED PEAK ENERGY INC COM 47009K107 387 42400 SH DFND 1 0 42400 0 JAGGED PEAK ENERGY INC COM 47009K107 387 42400 SH Put DFND 1 0 42400 0 EXTRACTION OIL AND GAS INC COM 30227M105 4414 1028951 SH OTR 0 0 0 FOSSIL GROUP INC COM 34988V106 1329 84500 SH DFND 1 0 84500 0 FOSSIL GROUP INC COM 34988V106 1329 84500 SH Put DFND 1 0 84500 0 GOGO INC COM 38046C109 1108 370600 SH DFND 1 0 370600 0 GOGO INC COM 38046C109 1108 370600 SH Put DFND 1 0 370600 0 GTT COMMUNICATIONS INC COM 362393100 3409 144100 SH DFND 1 0 144100 0 GTT COMMUNICATIONS INC COM 362393100 1656 70000 SH Call DFND 1 0 70000 0 GTT COMMUNICATIONS INC COM 362393100 3409 144100 SH Put DFND 1 0 144100 0 HD SUPPLY HLDGS INC COM 40416M105 912 24298 SH DFND 1 0 24298 0 HD SUPPLY HLDGS INC COM 40416M105 128670 3429366 SH SOLE 3429366 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 1353 18844 SH DFND 1 0 18844 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 315685 4396730 SH SOLE 4396730 0 0 NEXTERA ENERGY INC COM 65339F101 15594 89716 SH DFND 1 0 89716 0 NEXTERA ENERGY INC COM 65339F101 6084 35000 SH Put DFND 1 0 35000 0 NEXTERA ENERGY INC COM 65339F101 55105 317024 SH SOLE 317024 0 0 MATTEL INC COM 577081102 2400 240200 SH DFND 1 0 240200 0 MATTEL INC COM 577081102 3399 340200 SH Put DFND 1 0 340200 0 MATTEL INC COM 577081102 3903 390700 SH Put SOLE 390700 0 0 MICROSOFT CORP COM 594918104 1163 11448 SH DFND 1 0 11448 0 MICROSOFT CORP COM 594918104 199075 1959975 SH SOLE 1959975 0 0 IROBOT CORP COM 462726100 7671 91600 SH DFND 1 0 91600 0 IROBOT CORP COM 462726100 7671 91600 SH Put DFND 1 0 91600 0 LOWES COS INC COM 548661107 1147 12418 SH DFND 1 0 12418 0 LOWES COS INC COM 548661107 204354 2212581 SH SOLE 2212581 0 0 CRONOS GROUP INC COM 22717L101 995 95800 SH DFND 1 0 95800 0 CRONOS GROUP INC COM 22717L101 1102 106100 SH Put DFND 1 0 106100 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 399 42300 SH DFND 1 0 42300 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 399 42300 SH Put DFND 1 0 42300 0 DIEBOLD NXDF INC COM 253651103 436 175000 SH DFND 1 0 175000 0 DIEBOLD NXDF INC COM 253651103 436 175000 SH Put DFND 1 0 175000 0 DOWDUPONT INC COM 26078J100 2243 41945 SH DFND 1 0 41945 0 DOWDUPONT INC COM 26078J100 1166 21800 SH Call DFND 1 0 21800 0 DOWDUPONT INC COM 26078J100 374847 7009103 SH SOLE 7009103 0 0 DOWDUPONT INC COM 26078J100 210144 3929400 SH Call SOLE 3929400 0 0 ELECTRONIC ARTS INC COM 285512109 11 143 SH DFND 1 0 143 0 ELECTRONIC ARTS INC COM 285512109 7880 99857 SH SOLE 99857 0 0 ENPHASE ENERGY INC COM 29355A107 1323 279600 SH DFND 1 0 279600 0 ENPHASE ENERGY INC COM 29355A107 1323 279600 SH Put DFND 1 0 279600 0 CERIDIAN HCM HLDG INC COM 15677J108 3663 106200 SH DFND 1 0 106200 0 CERIDIAN HCM HLDG INC COM 15677J108 3663 106200 SH Put DFND 1 0 106200 0 CHESAPEAKE ENERGY CORP COM 165167107 496 236100 SH DFND 1 0 236100 0 CHESAPEAKE ENERGY CORP COM 165167107 497 236800 SH Put DFND 1 0 236800 0 ACACIA COMMUNICATIONS INC COM 00401C108 996 26200 SH DFND 1 0 26200 0 ACACIA COMMUNICATIONS INC COM 00401C108 996 26200 SH Put DFND 1 0 26200 0 ACELRX PHARMACEUTICALS INC COM 00444T100 570 246800 SH DFND 1 0 246800 0 ACELRX PHARMACEUTICALS INC COM 00444T100 570 246800 SH Put DFND 1 0 246800 0 ACHAOGEN INC COM 004449104 53 43000 SH DFND 1 0 43000 0 ADVANCED MICRO DEVICES INC COM 007903107 11102 601400 SH Put SOLE 601400 0 0 AKCEA THERAPEUTICS INC COM 00972L107 3231 107200 SH DFND 1 0 107200 0 AKCEA THERAPEUTICS INC COM 00972L107 3231 107200 SH Put DFND 1 0 107200 0 CANOPY GROWTH CORP COM 138035100 5237 194900 SH DFND 1 0 194900 0 AVEO PHARMACEUTICALS INC COM 053588109 580 362800 SH Put DFND 1 0 362800 0 BANK AMER CORP COM 060505104 876 35557 SH DFND 1 0 35557 0 BANK AMER CORP COM 060505104 357064 14491217 SH SOLE 14491217 0 0 ALTABA INC COM 021346101 4287 73985 SH DFND 1 0 73985 0 ALTABA INC COM 021346101 588120 10150493 SH SOLE 10150493 0 0 AMAZON COM INC COM 023135106 1624 1081 SH DFND 1 0 1081 0 AMAZON COM INC COM 023135106 293291 195271 SH SOLE 195271 0 0 APHRIA INC COM 03765K104 427 75100 SH DFND 1 0 75100 0 APHRIA INC COM 03765K104 427 75100 SH Put DFND 1 0 75100 0 APPLIED OPTOELECTRONICS INC COM 03823U102 2631 170500 SH DFND 1 0 170500 0 APPLIED OPTOELECTRONICS INC COM 03823U102 2671 173100 SH Put DFND 1 0 173100 0 ARLO TECHNOLOGIES INC COM 04206A101 515 51600 SH DFND 1 0 51600 0 ARLO TECHNOLOGIES INC COM 04206A101 275 27600 SH Put DFND 1 0 27600 0 ASHLAND GLOBAL HLDGS INC COM 044186104 1588 22385 SH DFND 1 0 22385 0 ASHLAND GLOBAL HLDGS INC COM 044186104 147432 2077677 SH SOLE 2077677 0 0 AURORA CANNABIS INC COM 05156X108 1127 227200 SH DFND 1 0 227200 0 AURORA CANNABIS INC COM 05156X108 1133 228500 SH Put DFND 1 0 228500 0 AUTODESK INC COM 052769106 894 6951 SH DFND 1 0 6951 0 AUTODESK INC COM 052769106 150662 1171463 SH SOLE 1171463 0 0 AVEO PHARMACEUTICALS INC COM 053588109 580 362800 SH DFND 1 0 362800 0 CANOPY GROWTH CORP COM 138035100 5331 198400 SH Put DFND 1 0 198400 0 RH COM 74967X103 57645 481100 SH Put SOLE 481100 0 0 SANCHEZ ENERGY CORP COM 79970Y105 87 321300 SH DFND 1 0 321300 0 SANCHEZ ENERGY CORP COM 79970Y105 89 328800 SH Put DFND 1 0 328800 0 SHERWIN WILLIAMS CO COM 824348106 614 1561 SH DFND 1 0 1561 0 SHERWIN WILLIAMS CO COM 824348106 117630 298963 SH SOLE 298963 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 277 54000 SH DFND 1 0 54000 0 PARATEK PHARMACEUTICALS INC COM 699374302 277 54000 SH Put DFND 1 0 54000 0 PENNEY J C INC COM 708160106 1351 1298900 SH DFND 1 0 1298900 0 PENNEY J C INC COM 708160106 1358 1305900 SH Put DFND 1 0 1305900 0 SIRIUS XM HLDGS INC COM 82968B103 858 150200 SH DFND 1 0 150200 0 SIRIUS XM HLDGS INC COM 82968B103 2141 375000 SH Call DFND 1 0 375000 0 SIRIUS XM HLDGS INC COM 82968B103 2222 389200 SH Put DFND 1 0 389200 0 SMART SAND INC COM 83191H107 63 28500 SH DFND 1 0 28500 0 SMART SAND INC COM 83191H107 63 28500 SH Put DFND 1 0 28500 0 NXP SEMICONDUCTORS N V COM N6596X109 2056 28063 SH DFND 1 0 28063 0 NXP SEMICONDUCTORS N V COM N6596X109 22 300 SH Put DFND 1 0 300 0 NXP SEMICONDUCTORS N V COM N6596X109 4049 55259 SH SOLE 55259 0 0 NXP SEMICONDUCTORS N V COM N6596X109 2308 31500 SH Put SOLE 31500 0 0 OMEROS CORP COM 682143102 974 87400 SH DFND 1 0 87400 0 OMEROS CORP COM 682143102 974 87400 SH Put DFND 1 0 87400 0 OVERSTOCK COM INC DEL COM 690370101 3471 255600 SH DFND 1 0 255600 0 OVERSTOCK COM INC DEL COM 690370101 3485 256600 SH Put DFND 1 0 256600 0 POLARITYTE INC COM 731094108 135 10000 SH DFND 1 0 10000 0 POLARITYTE INC COM 731094108 135 10000 SH Put DFND 1 0 10000 0 PTC INC COM 69370C100 1660 20030 SH DFND 1 0 20030 0 PTC INC COM 69370C100 172366 2079201 SH SOLE 2079201 0 0 PYXUS INTL INC COM 74737V106 1468 123800 SH DFND 1 0 123800 0 PYXUS INTL INC COM 74737V106 282 23800 SH Put DFND 1 0 23800 0 RED HAT INC COM 756577102 329 1874 SH DFND 1 0 1874 0 RED HAT INC COM 756577102 56490 321625 SH SOLE 321625 0 0 REDFIN CORP COM 75737F108 2591 179900 SH DFND 1 0 179900 0 REDFIN CORP COM 75737F108 2591 179900 SH Put DFND 1 0 179900 0 UBIQUITI NETWORKS INC COM 90347A100 2386 24000 SH DFND 1 0 24000 0 UBIQUITI NETWORKS INC COM 90347A100 2386 24000 SH Put DFND 1 0 24000 0 SUNPOWER CORP COM 867652406 1367 275100 SH DFND 1 0 275100 0 SUNPOWER CORP COM 867652406 1367 275100 SH Put DFND 1 0 275100 0 T MOBILE US INC COM 872590104 1261 19830 SH DFND 1 0 19830 0 T MOBILE US INC COM 872590104 183856 2890356 SH SOLE 2890356 0 0 TELLURIAN INC NEW COM 87968A104 1254 180400 SH DFND 1 0 180400 0 TELLURIAN INC NEW COM 87968A104 1254 180400 SH Put DFND 1 0 180400 0 TESLA INC COM 88160R101 20534 61700 SH Call DFND 1 0 61700 0 TESLA INC COM 88160R101 20534 61700 SH Put DFND 1 0 61700 0 TESLA INC COM 88160R101 654351 1966200 SH Put SOLE 1966200 0 0 NEW AGE BEVERAGES CORP COM 64157V108 36 7000 SH Call DFND 1 0 7000 0 NEW AGE BEVERAGES CORP COM 64157V108 36 7000 SH Put DFND 1 0 7000 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 5963 169900 SH DFND 1 0 169900 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 5963 169900 SH Put DFND 1 0 169900 0 SONOS INC COM 83570H108 1202 122400 SH DFND 1 0 122400 0 SONOS INC COM 83570H108 246 25000 SH Call DFND 1 0 25000 0 SONOS INC COM 83570H108 1472 149900 SH Put DFND 1 0 149900 0 WESTERN DIGITAL CORP COM 958102105 739 20000 SH Call SOLE 20000 0 0 WYNN RESORTS LTD COM 983134107 1086 10984 SH DFND 1 0 10984 0 WYNN RESORTS LTD COM 983134107 192049 1941651 SH SOLE 1941651 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 411 219800 SH DFND 1 0 219800 0 ZIOPHARM ONCOLOGY INC COM 98973P101 411 219800 SH Put DFND 1 0 219800 0 ZSCALER INC COM 98980G102 3 72 SH DFND 1 0 72 0 ZSCALER INC COM 98980G102 1958 49928 SH SOLE 49928 0 0 VEONEER INCORPORATED COM 92336X109 2 79 SH DFND 1 0 79 0 VEONEER INCORPORATED COM 92336X109 1294 54921 SH SOLE 54921 0 0 VICI PPTYS INC COM 925652109 31584 1681791 SH DFND 1 0 1681791 0 VICI PPTYS INC COM 925652109 112252 5977191 SH SOLE 5977191 0 0 VISTRA ENERGY CORP COM 92840M102 11635 514157 SH DFND 1 0 514157 0 VISTRA ENERGY CORP COM 92840M102 132980 5899136 SH SOLE 5899136 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 2086 28939 SH DFND 1 0 28939 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 274016 3801021 SH SOLE 3801021 0 0 STITCH FIX INC COM CL A 860897107 5151 301400 SH DFND 1 0 301400 0 STITCH FIX INC COM CL A 860897107 5194 303900 SH Put DFND 1 0 303900 0 FAR PT ACQUISITION CORP COM CL A 30734W109 28950 3000000 SH SOLE 3000000 0 0 GS ACQUISITION HLDGS CORP COM CL A 36255F102 14700 1500000 SH SOLE 1500000 0 0 FUNKO INC COM CL A 361008105 83 6300 SH DFND 1 0 6300 0 FUNKO INC COM CL A 361008105 83 6300 SH Put DFND 1 0 6300 0 GNC HLDGS INC COM CL A 36191G107 755 318500 SH SOLE 318500 0 0 GNC HLDGS INC COM CL A 36191G107 755 318500 SH Put SOLE 318500 0 0 NEBULA ACQUISITION CORP COM CLASS A 629076100 9750 999999 SH SOLE 999999 0 0 3-D SYS CORP DEL COM NEW 88554D205 3972 390600 SH DFND 1 0 390600 0 3-D SYS CORP DEL COM NEW 88554D205 3972 390600 SH Put DFND 1 0 390600 0 TURTLE BEACH CORP COM NEW 900450206 388 27200 SH DFND 1 0 27200 0 TURTLE BEACH CORP COM NEW 900450206 388 27200 SH Put DFND 1 0 27200 0 TRANSENTERIX INC COM NEW 89366M201 340 150400 SH DFND 1 0 150400 0 TRANSENTERIX INC COM NEW 89366M201 357 157900 SH Put DFND 1 0 157900 0 EXPEDIA GROUP INC COM NEW 30212P303 2253 20000 SH Call SOLE 20000 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 205 21700 SH DFND 1 0 21700 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 205 21700 SH Put DFND 1 0 21700 0 SPRINT CORP COM SER 1 85207U105 11 1900 SH SOLE 1900 0 0 SPRINT CORP COM SER 1 85207U105 571 98100 SH Put SOLE 98100 0 0 LIBERTY MEDIA CORP DELAWARE COM SER C FRMLA 531229854 1032 33606 SH DFND 1 0 33606 0 LIBERTY MEDIA CORP DELAWARE COM SER C FRMLA 531229854 112511 3664847 SH SOLE 3664847 0 0 LIBERTY MEDIA CORP DEB 3.750% 2/1 530715AL5 7034 10577000 PRN SOLE 10577000 0 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 18382 27233000 PRN SOLE 27233000 0 0 HESS CORP DEP PDF SR A 42809H404 8226 165277 SH DFND 1 0 165277 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 319 12800 SH DFND 1 0 12800 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 354 14200 SH Put DFND 1 0 14200 0 TESLA INC NOTE 0.250% 3/0 88160RAB7 18179 17500000 PRN SOLE 17500000 0 0 RED HAT INC NOTE 0.250%10/0 756577AD4 42940 17996000 PRN SOLE 17996000 0 0 WORKDAY INC NOTE 0.250%10/0 98138HAF8 6200 5000000 PRN SOLE 5000000 0 0 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 26512 19676000 PRN SOLE 19676000 0 0 WAYFAIR INC NOTE 0.375% 9/0 94419LAB7 4324 4000000 PRN SOLE 4000000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 14640 16000000 PRN SOLE 16000000 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 110002 97730000 PRN SOLE 97730000 0 0 WORKDAY INC NOTE 1.500% 7/1 98138HAD3 760 385000 PRN SOLE 385000 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 42743 30241000 PRN DFND 1 0 30241000 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 20704 21604000 PRN SOLE 21604000 0 0 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 13249 12500000 PRN SOLE 12500000 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 87719 63455000 PRN SOLE 63455000 0 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 156721 64465000 PRN SOLE 64465000 0 0 WRIGHT MED GROUP N V NOTE 2.250%11/1 98236JAB4 21013 15250000 PRN SOLE 15250000 0 0 AEROJET ROCKETDYNE HLDGS INC NOTE 2.250%12/1 007800AB1 11435 7754000 PRN SOLE 7754000 0 0 ISTAR INC NOTE 3.125% 9/1 45031UCB5 10865 12000000 PRN SOLE 12000000 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 34916 30434000 PRN SOLE 30434000 0 0 INTREXON CORP NOTE 3.500% 7/0 46122TAA0 1385 2000000 PRN SOLE 2000000 0 0 UNISYS CORP NOTE 5.500% 3/0 909214BS6 22029 15795000 PRN SOLE 15795000 0 0 RESTORATION HARDWARE HLDGS I NOTE 6/1 761283AD2 23631 21036000 PRN SOLE 21036000 0 0 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 3356 1874622 SH SOLE 1874622 0 0 NIO INC SPON ADS 62914V106 829 130200 SH DFND 1 0 130200 0 NIO INC SPON ADS 62914V106 313 49100 SH Call DFND 1 0 49100 0 NIO INC SPON ADS 62914V106 1142 179300 SH Put DFND 1 0 179300 0 TRIVAGO N V SPON ADS A SHS 89686D105 659 117000 SH DFND 1 0 117000 0 TRIVAGO N V SPON ADS A SHS 89686D105 659 117000 SH Put DFND 1 0 117000 0 PAMPA ENERGIA S A SPONS ADR LVL I 697660207 8637 271509 SH DFND 1 0 271509 0 PAMPA ENERGIA S A SPONS ADR LVL I 697660207 51882 1631011 SH SOLE 1631011 0 0 BILIBILI INC SPONS ADS REP Z 090040106 1411 96700 SH DFND 1 0 96700 0 BILIBILI INC SPONS ADS REP Z 090040106 1430 98000 SH Put DFND 1 0 98000 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 586 59300 SH DFND 1 0 59300 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 586 59300 SH Put DFND 1 0 59300 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 2526 736500 SH DFND 1 0 736500 0 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 2562 747000 SH Put DFND 1 0 747000 0 SHIRE PLC SPONSORED ADR 82481R106 35 200 SH DFND 1 0 200 0 SHIRE PLC SPONSORED ADR 82481R106 33120 190300 SH SOLE 190300 0 0 PINDUODUO INC SPONSORED ADS 722304102 1685 75100 SH DFND 1 0 75100 0 PINDUODUO INC SPONSORED ADS 722304102 1685 75100 SH Put DFND 1 0 75100 0 IQIYI INC SPONSORED ADS 46267X108 462 31100 SH Put SOLE 31100 0 0 BITAUTO HLDGS LTD SPONSORED ADS 091727107 528 21300 SH DFND 1 0 21300 0 BITAUTO HLDGS LTD SPONSORED ADS 091727107 528 21300 SH Put DFND 1 0 21300 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 80529 587500 SH Put SOLE 587500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8347 33400 SH Call DFND 1 0 33400 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3128149 12516600 SH SOLE 12516600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1241253 4966600 SH Call SOLE 4966600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3128149 12516600 SH Put SOLE 12516600 0 0