0000950123-19-011433.txt : 20191114
0000950123-19-011433.hdr.sgml : 20191114
20191114163239
ACCESSION NUMBER: 0000950123-19-011433
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191114
DATE AS OF CHANGE: 20191114
EFFECTIVENESS DATE: 20191114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sculptor Capital 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: 191220929
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 LP
DATE OF NAME CHANGE: 20070703
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
09-30-2019
09-30-2019
Sculptor Capital 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
11-14-2019
1
305
9240947
false
1
028-13627
Sculptor Capital II LP
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
NEBULA ACQUISITION CORP
*W EXP 03/12/202
629076118
292
333333
SH
SOLE
333333
0
0
ZIONS BANCORPORATION N A
*W EXP 05/21/202
989701115
16433
1376859
SH
SOLE
1376859
0
0
FAR PT ACQUISITION CORP
*W EXP 06/01/202
30734W117
1195
1000000
SH
SOLE
1000000
0
0
GS ACQUISITION HLDGS CORP
*W EXP 06/12/202
36255F110
710
500000
SH
SOLE
500000
0
0
SENTINEL ENERGY SVCS INC
*W EXP 11/02/202
81728P113
81
233333
SH
SOLE
233333
0
0
FORTIVE CORP
5% PFD CNV SER A
34959J207
18601
20633
SH
DFND
1
0
20633
0
SEMPRA ENERGY
6% PFD CONV A
816851406
38854
328517
SH
DFND
1
0
328517
0
AVANTOR INC
6.25 PFD CNV SR
05352A209
5346
100000
SH
DFND
1
0
100000
0
CROWN CASTLE INTL CORP NEW
6.875% CON PFD A
22822V309
40597
32100
SH
DFND
1
0
32100
0
QUDIAN INC
ADR
747798106
13811
2004500
SH
Put
SOLE
2004500
0
0
MOMO INC
ADR
60879B107
56727
1831100
SH
Put
SOLE
1831100
0
0
UXIN LTD
ADS
91818X108
720
293900
SH
DFND
1
0
293900
0
UXIN LTD
ADS
91818X108
720
293900
SH
Put
DFND
1
0
293900
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
33741
300000
SH
Call
SOLE
300000
0
0
ALPHABET INC
CAP STK CL A
02079K305
173290
141908
SH
SOLE
141908
0
0
ALTICE USA INC
CL A
02156K103
3825
133375
SH
SOLE
133375
0
0
CARVANA CO
CL A
146869102
5273
79900
SH
DFND
1
0
79900
0
CARVANA CO
CL A
146869102
5273
79900
SH
Put
DFND
1
0
79900
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
167043
405326
SH
SOLE
405326
0
0
GREENSKY INC
CL A
39572G100
1164
170000
SH
DFND
1
0
170000
0
GREENSKY INC
CL A
39572G100
1165
170200
SH
Put
DFND
1
0
170200
0
FASTLY INC
CL A
31188V100
2294
95600
SH
DFND
1
0
95600
0
FASTLY INC
CL A
31188V100
2342
97600
SH
Put
DFND
1
0
97600
0
GAMESTOP CORP NEW
CL A
36467W109
2481
449500
SH
DFND
1
0
449500
0
GAMESTOP CORP NEW
CL A
36467W109
2482
449600
SH
Put
DFND
1
0
449600
0
FACEBOOK INC
CL A
30303M102
130257
731454
SH
SOLE
731454
0
0
FACEBOOK INC
CL A
30303M102
106848
600000
SH
Call
SOLE
600000
0
0
CROWDSTRIKE HLDGS INC
CL A
22788C105
10537
180700
SH
DFND
1
0
180700
0
CROWDSTRIKE HLDGS INC
CL A
22788C105
2332
40000
SH
Call
DFND
1
0
40000
0
CROWDSTRIKE HLDGS INC
CL A
22788C105
10659
182800
SH
Put
DFND
1
0
182800
0
DILLARDS INC
CL A
254067101
6677
101000
SH
DFND
1
0
101000
0
DILLARDS INC
CL A
254067101
3306
50000
SH
Call
DFND
1
0
50000
0
DILLARDS INC
CL A
254067101
7788
117800
SH
Put
DFND
1
0
117800
0
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
9091
119300
SH
DFND
1
0
119300
0
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
914
12000
SH
Call
DFND
1
0
12000
0
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
4641
60900
SH
Put
DFND
1
0
60900
0
REVOLVE GROUP INC
CL A
76156B107
1655
70800
SH
DFND
1
0
70800
0
REVOLVE GROUP INC
CL A
76156B107
1655
70800
SH
Put
DFND
1
0
70800
0
SENTINEL ENERGY SVCS INC
CL A
81728P105
7196
699999
SH
SOLE
699999
0
0
SNAP INC
CL A
83304A106
3801
240600
SH
DFND
1
0
240600
0
SNAP INC
CL A
83304A106
3801
240600
SH
Put
DFND
1
0
240600
0
SOCIAL CAP HEDOSOPHIA HLDGS
CL A
G8250R103
8103
757286
SH
SOLE
757286
0
0
NEW YORK TIMES CO
CL A
650111107
164437
5773759
SH
SOLE
5773759
0
0
MASTERCARD INC
CL A
57636Q104
236400
870493
SH
SOLE
870493
0
0
PELOTON INTERACTIVE INC
CL A COM
70614W100
7530
300000
SH
SOLE
300000
0
0
DATADOG INC
CL A COM
23804L103
1593
46969
SH
SOLE
46969
0
0
CLOUDFLARE INC
CL A COM
18915M107
2786
150000
SH
SOLE
150000
0
0
BLUE APRON HLDGS INC
CL A NEW
09523Q200
298
35300
SH
DFND
1
0
35300
0
BLUE APRON HLDGS INC
CL A NEW
09523Q200
298
35300
SH
Put
DFND
1
0
35300
0
LENNAR CORP
CL B
526057302
17122
385901
SH
SOLE
385901
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
1273
273200
SH
DFND
1
0
273200
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
1273
273200
SH
Put
DFND
1
0
273200
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
8032
194014
SH
DFND
1
0
194014
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
18994
458784
SH
SOLE
458784
0
0
LOWES COS INC
COM
548661107
93734
852436
SH
SOLE
852436
0
0
LOWES COS INC
COM
548661107
250610
2279100
SH
Call
SOLE
2279100
0
0
MATTEL INC
COM
577081102
2220
194900
SH
DFND
1
0
194900
0
MATTEL INC
COM
577081102
2220
194900
SH
Put
DFND
1
0
194900
0
MEDALLIA INC
COM
584021109
1646
60000
SH
SOLE
60000
0
0
NEXTERA ENERGY INC
COM
65339F101
124703
535231
SH
SOLE
535231
0
0
NETFLIX INC
COM
64110L106
243100
908378
SH
SOLE
908378
0
0
NEW AGE BEVERAGES CORP
COM
64157V108
652
236300
SH
DFND
1
0
236300
0
NEW AGE BEVERAGES CORP
COM
64157V108
680
246300
SH
Put
DFND
1
0
246300
0
NATIONAL RETAIL PPTYS INC
COM
637417106
2820
50000
SH
SOLE
50000
0
0
MICROSOFT CORP
COM
594918104
177100
1273828
SH
SOLE
1273828
0
0
DANAHER CORPORATION
COM
235851102
3921
27150
SH
DFND
1
0
27150
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
950
96300
SH
DFND
1
0
96300
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
950
96300
SH
Put
DFND
1
0
96300
0
PETMED EXPRESS INC
COM
716382106
1665
92400
SH
DFND
1
0
92400
0
PETMED EXPRESS INC
COM
716382106
1665
92400
SH
Put
DFND
1
0
92400
0
PG&E CORP
COM
69331C108
10819
1081909
SH
DFND
1
0
1081909
0
PG&E CORP
COM
69331C108
26946
2694561
SH
SOLE
2694561
0
0
PG&E CORP
COM
69331C108
2136
213600
SH
Put
SOLE
213600
0
0
PING IDENTITY HLDG CORP
COM
72341T103
518
30000
SH
SOLE
30000
0
0
PAPA JOHNS INTL INC
COM
698813102
3240
61900
SH
DFND
1
0
61900
0
PAPA JOHNS INTL INC
COM
698813102
3240
61900
SH
Put
DFND
1
0
61900
0
PTC INC
COM
69370C100
57245
839620
SH
SOLE
839620
0
0
PYXUS INTL INC
COM
74737V106
2552
195100
SH
DFND
1
0
195100
0
PYXUS INTL INC
COM
74737V106
2552
195100
SH
Put
DFND
1
0
195100
0
QUALCOMM INC
COM
747525103
6983
91546
SH
SOLE
91546
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
193873
1776696
SH
SOLE
1776696
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
3394
31100
SH
Put
SOLE
31100
0
0
OCULAR THERAPEUTIX INC
COM
67576A100
130
42800
SH
DFND
1
0
42800
0
OCULAR THERAPEUTIX INC
COM
67576A100
130
42800
SH
Put
DFND
1
0
42800
0
OMEROS CORP
COM
682143102
3686
225700
SH
DFND
1
0
225700
0
OMEROS CORP
COM
682143102
3686
225700
SH
Put
DFND
1
0
225700
0
PAGERDUTY INC
COM
69553P100
1240
43900
SH
DFND
1
0
43900
0
PAGERDUTY INC
COM
69553P100
1240
43900
SH
Put
DFND
1
0
43900
0
SONOS INC
COM
83570H108
1401
104500
SH
DFND
1
0
104500
0
SONOS INC
COM
83570H108
1401
104500
SH
Put
DFND
1
0
104500
0
RITE AID CORP
COM
767754872
1197
172300
SH
DFND
1
0
172300
0
RITE AID CORP
COM
767754872
1197
172300
SH
Put
DFND
1
0
172300
0
RESTAURANT BRANDS INTL INC
COM
76131D103
12450
175000
SH
SOLE
175000
0
0
PAYSIGN INC
COM
70451A104
2104
208300
SH
DFND
1
0
208300
0
PAYSIGN INC
COM
70451A104
2104
208300
SH
Put
DFND
1
0
208300
0
STANLEY BLACK & DECKER INC
COM
854502101
7637
52884
SH
DFND
1
0
52884
0
THE REALREAL INC
COM
88339P101
2122
94900
SH
DFND
1
0
94900
0
THE REALREAL INC
COM
88339P101
2122
94900
SH
Put
DFND
1
0
94900
0
THERAPEUTICSMD INC
COM
88338N107
820
225900
SH
DFND
1
0
225900
0
THERAPEUTICSMD INC
COM
88338N107
457
125900
SH
Put
DFND
1
0
125900
0
ZYNERBA PHARMACEUTICALS INC
COM
98986X109
1692
223800
SH
DFND
1
0
223800
0
ZYNERBA PHARMACEUTICALS INC
COM
98986X109
1692
223800
SH
Put
DFND
1
0
223800
0
WYNN RESORTS LTD
COM
983134107
162963
1498920
SH
SOLE
1498920
0
0
WYNN RESORTS LTD
COM
983134107
155274
1428200
SH
Call
SOLE
1428200
0
0
YETI HLDGS INC
COM
98585X104
1613
57600
SH
DFND
1
0
57600
0
YETI HLDGS INC
COM
98585X104
1613
57600
SH
Put
DFND
1
0
57600
0
SHERWIN WILLIAMS CO
COM
824348106
211912
385385
SH
SOLE
385385
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
11549
53143
SH
SOLE
53143
0
0
UPWORK INC
COM
91688F104
2657
199735
SH
SOLE
199735
0
0
VISTRA ENERGY CORP
COM
92840M102
8344
317981
SH
DFND
1
0
317981
0
VISTRA ENERGY CORP
COM
92840M102
90653
3481034
SH
SOLE
3481034
0
0
VEONEER INCORPORATED
COM
92336X109
396
26400
SH
DFND
1
0
26400
0
VEONEER INCORPORATED
COM
92336X109
396
26400
SH
Put
DFND
1
0
26400
0
VERASTEM INC
COM
92337C104
62
51100
SH
DFND
1
0
51100
0
VERASTEM INC
COM
92337C104
62
51100
SH
Put
DFND
1
0
51100
0
VICI PPTYS INC
COM
925652109
37607
1660375
SH
DFND
1
0
1660375
0
VICI PPTYS INC
COM
925652109
86586
3822800
SH
SOLE
3822800
0
0
VIKING THERAPEUTICS INC
COM
92686J106
1194
173500
SH
DFND
1
0
173500
0
VIKING THERAPEUTICS INC
COM
92686J106
1202
174700
SH
Put
DFND
1
0
174700
0
T MOBILE US INC
COM
872590104
19781
251119
SH
SOLE
251119
0
0
TESLA INC
COM
88160R101
21510
89300
SH
DFND
1
0
89300
0
TESLA INC
COM
88160R101
21510
89300
SH
Put
DFND
1
0
89300
0
TESLA INC
COM
88160R101
978077
4060600
SH
Put
SOLE
4060600
0
0
UBER TECHNOLOGIES INC
COM
90353T100
5859
192300
SH
DFND
1
0
192300
0
UBER TECHNOLOGIES INC
COM
90353T100
5878
192900
SH
Put
DFND
1
0
192900
0
UBER TECHNOLOGIES INC
COM
90353T100
24589
807000
SH
SOLE
807000
0
0
UBER TECHNOLOGIES INC
COM
90353T100
45263
1500710
SH
OTR
0
0
0
BOOKING HLDGS INC
COM
09857L108
4269
2175
SH
SOLE
2175
0
0
BOOKING HLDGS INC
COM
09857L108
4907
2500
SH
Call
SOLE
2500
0
0
CELGENE CORP
COM
151020104
329230
3315508
SH
SOLE
3315508
0
0
CENTENE CORP DEL
COM
15135B101
50106
1158248
SH
SOLE
1158248
0
0
CANNTRUST HLDGS INC
COM
137800207
335
298800
SH
DFND
1
0
298800
0
CANNTRUST HLDGS INC
COM
137800207
208
186000
SH
Put
DFND
1
0
186000
0
CANOPY GROWTH CORP
COM
138035100
3130
136500
SH
DFND
1
0
136500
0
CANOPY GROWTH CORP
COM
138035100
3440
150000
SH
Call
DFND
1
0
150000
0
CANOPY GROWTH CORP
COM
138035100
5648
246300
SH
Put
DFND
1
0
246300
0
CLOVIS ONCOLOGY INC
COM
189464100
690
175600
SH
DFND
1
0
175600
0
CLOVIS ONCOLOGY INC
COM
189464100
690
175600
SH
Put
DFND
1
0
175600
0
CIGNA CORP NEW
COM
125523100
37746
248670
SH
SOLE
248670
0
0
CLEAR CHANNEL OUTDOOR HLDGS
COM
18453H106
641
254496
SH
DFND
1
0
254496
0
CLEAR CHANNEL OUTDOOR HLDGS
COM
18453H106
1563
620404
SH
SOLE
620404
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
610
432500
SH
DFND
1
0
432500
0
CHESAPEAKE ENERGY CORP
COM
165167107
610
432600
SH
Put
DFND
1
0
432600
0
CERIDIAN HCM HLDG INC
COM
15677J108
14812
300025
SH
SOLE
300025
0
0
CERNER CORP
COM
156782104
10226
150000
SH
SOLE
150000
0
0
CHARLES RIV LABS INTL INC
COM
159864107
15839
119660
SH
DFND
1
0
119660
0
CHARLES RIV LABS INTL INC
COM
159864107
42018
317426
SH
SOLE
317426
0
0
AMAZON COM INC
COM
023135106
299892
172758
SH
SOLE
172758
0
0
APHRIA INC
COM
03765K104
337
65000
SH
DFND
1
0
65000
0
APHRIA INC
COM
03765K104
668
128700
SH
Put
DFND
1
0
128700
0
APPLIED OPTOELECTRONICS INC
COM
03823U102
827
73700
SH
DFND
1
0
73700
0
APPLIED OPTOELECTRONICS INC
COM
03823U102
827
73700
SH
Put
DFND
1
0
73700
0
AURORA CANNABIS INC
COM
05156X108
4372
995800
SH
DFND
1
0
995800
0
AURORA CANNABIS INC
COM
05156X108
881
200700
SH
Call
DFND
1
0
200700
0
AURORA CANNABIS INC
COM
05156X108
3905
889600
SH
Put
DFND
1
0
889600
0
CONDUENT INC
COM
206787103
5820
935613
SH
SOLE
935613
0
0
CORBUS PHARMACEUTICALS HLDGS
COM
21833P103
681
139900
SH
DFND
1
0
139900
0
ACELRX PHARMACEUTICALS INC
COM
00444T100
176
79800
SH
DFND
1
0
79800
0
ACELRX PHARMACEUTICALS INC
COM
00444T100
176
79800
SH
Put
DFND
1
0
79800
0
ADVANCED MICRO DEVICES INC
COM
007903107
4244
146400
SH
Put
SOLE
146400
0
0
AKCEA THERAPEUTICS INC
COM
00972L107
2863
186000
SH
DFND
1
0
186000
0
AKCEA THERAPEUTICS INC
COM
00972L107
2886
187500
SH
Put
DFND
1
0
187500
0
ALTABA INC
COM
021346101
86813
4456515
SH
SOLE
4456515
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
2109
31294
SH
SOLE
31294
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
930
13800
SH
Call
SOLE
13800
0
0
CORBUS PHARMACEUTICALS HLDGS
COM
21833P103
681
139900
SH
Put
DFND
1
0
139900
0
AXALTA COATING SYS LTD
COM
G0750C108
85907
2849318
SH
SOLE
2849318
0
0
AXALTA COATING SYS LTD
COM
G0750C108
15075
500000
SH
Call
SOLE
500000
0
0
BANK AMER CORP
COM
060505104
313130
10734664
SH
SOLE
10734664
0
0
BED BATH & BEYOND INC
COM
075896100
4561
428700
SH
DFND
1
0
428700
0
BED BATH & BEYOND INC
COM
075896100
4561
428700
SH
Put
DFND
1
0
428700
0
BEYOND MEAT INC
COM
08862E109
18481
124350
SH
DFND
1
0
124350
0
BEYOND MEAT INC
COM
08862E109
35104
236200
SH
Put
DFND
1
0
236200
0
BEYOND MEAT INC
COM
08862E109
18578
125000
SH
Call
SOLE
125000
0
0
CRONOS GROUP INC
COM
22717L101
1768
195400
SH
DFND
1
0
195400
0
CRONOS GROUP INC
COM
22717L101
1762
194700
SH
Put
DFND
1
0
194700
0
DOVA PHARMACEUTICALS INC
COM
25985T102
679
24300
SH
DFND
1
0
24300
0
DOVA PHARMACEUTICALS INC
COM
25985T102
679
24300
SH
Put
DFND
1
0
24300
0
DYNATRACE INC
COM
268150109
3734
200000
SH
SOLE
200000
0
0
ENERGOUS CORP
COM
29272C103
107
32200
SH
DFND
1
0
32200
0
ENERGOUS CORP
COM
29272C103
107
32200
SH
Put
DFND
1
0
32200
0
ENVISTA HLDGS CORP
COM
29415F104
12546
450000
SH
SOLE
450000
0
0
EVOLUS INC
COM
30052C107
361
23100
SH
DFND
1
0
23100
0
EVOLUS INC
COM
30052C107
405
25900
SH
Put
DFND
1
0
25900
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
1614
290200
SH
DFND
1
0
290200
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
1614
290200
SH
Put
DFND
1
0
290200
0
EURONET WORLDWIDE INC
COM
298736109
6894
47121
SH
SOLE
47121
0
0
EURONET WORLDWIDE INC
COM
298736109
4067
27800
SH
Call
SOLE
27800
0
0
HD SUPPLY HLDGS INC
COM
40416M105
159769
4078348
SH
SOLE
4078348
0
0
HEXO CORP
COM
428304109
1565
395100
SH
DFND
1
0
395100
0
HEXO CORP
COM
428304109
1565
395100
SH
Put
DFND
1
0
395100
0
HILTON WORLDWIDE HLDGS INC
COM
43300A203
176723
1898003
SH
SOLE
1898003
0
0
HUMANA INC
COM
444859102
63691
249116
SH
SOLE
249116
0
0
HYRECAR INC
COM
44916T107
21
8400
SH
DFND
1
0
8400
0
HYRECAR INC
COM
44916T107
21
8400
SH
Put
DFND
1
0
8400
0
JPMORGAN CHASE & CO
COM
46625H100
84937
721699
SH
SOLE
721699
0
0
ILLUMINA INC
COM
452327109
14605
48008
SH
SOLE
48008
0
0
ILLUMINA INC
COM
452327109
5871
19300
SH
Put
SOLE
19300
0
0
INSEEGO CORP
COM
45782B104
1384
288400
SH
DFND
1
0
288400
0
INSULET CORP
COM
45784P101
4717
28600
SH
SOLE
28600
0
0
INTEL CORP
COM
458140100
6317
122591
SH
SOLE
122591
0
0
INTREXON CORP
COM
46122T102
223
39000
SH
DFND
1
0
39000
0
INTREXON CORP
COM
46122T102
223
39000
SH
Put
DFND
1
0
39000
0
INTREXON CORP
COM
46122T102
442
77258
SH
SOLE
77258
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
23
5300
SH
DFND
1
0
5300
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
23
5300
SH
Put
DFND
1
0
5300
0
TILRAY INC
COM CL 2
88688T100
1272
51400
SH
DFND
1
0
51400
0
TILRAY INC
COM CL 2
88688T100
524
21200
SH
Put
DFND
1
0
21200
0
STITCH FIX INC
COM CL A
860897107
3361
174600
SH
DFND
1
0
174600
0
STITCH FIX INC
COM CL A
860897107
2214
115000
SH
Call
DFND
1
0
115000
0
STITCH FIX INC
COM CL A
860897107
5575
289600
SH
Put
DFND
1
0
289600
0
SPIRIT AEROSYSTEMS HLDGS INC
COM CL A
848574109
226948
2759576
SH
SOLE
2759576
0
0
GS ACQUISITION HLDGS CORP
COM CL A
36255F102
15300
1500000
SH
SOLE
1500000
0
0
IHEARTMEDIA INC
COM CL A
45174J509
10896
726415
SH
DFND
1
0
726415
0
IHEARTMEDIA INC
COM CL A
45174J509
4552
303477
SH
SOLE
303477
0
0
HEALTH INS INNOVATIONS INC
COM CL A
42225K106
1735
69613
SH
DFND
1
0
69613
0
HEALTH INS INNOVATIONS INC
COM CL A
42225K106
1735
69600
SH
Put
DFND
1
0
69600
0
EVENTBRITE INC
COM CL A
29975E109
503
28400
SH
DFND
1
0
28400
0
EVENTBRITE INC
COM CL A
29975E109
503
28400
SH
Put
DFND
1
0
28400
0
FAR PT ACQUISITION CORP
COM CL A
30734W109
30660
3000000
SH
SOLE
3000000
0
0
BLOOM ENERGY CORP
COM CL A
093712107
146
44800
SH
DFND
1
0
44800
0
BLOOM ENERGY CORP
COM CL A
093712107
146
44800
SH
Put
DFND
1
0
44800
0
NEBULA ACQUISITION CORP
COM CLASS A
629076100
10200
999999
SH
SOLE
999999
0
0
MELINTA THERAPEUTICS INC
COM NEW
58549G209
374
98200
SH
DFND
1
0
98200
0
MELINTA THERAPEUTICS INC
COM NEW
58549G209
376
98700
SH
Put
DFND
1
0
98700
0
PARETEUM CORP
COM NEW
69946T207
562
435300
SH
DFND
1
0
435300
0
PARETEUM CORP
COM NEW
69946T207
577
446900
SH
Put
DFND
1
0
446900
0
PLUG POWER INC
COM NEW
72919P202
596
226800
SH
DFND
1
0
226800
0
PLUG POWER INC
COM NEW
72919P202
596
226800
SH
Put
DFND
1
0
226800
0
TRANSENTERIX INC
COM NEW
89366M201
143
230600
SH
DFND
1
0
230600
0
TRANSENTERIX INC
COM NEW
89366M201
143
230600
SH
Put
DFND
1
0
230600
0
TURTLE BEACH CORP
COM NEW
900450206
934
80000
SH
DFND
1
0
80000
0
TURTLE BEACH CORP
COM NEW
900450206
977
83700
SH
Put
DFND
1
0
83700
0
RAYTHEON CO
COM NEW
755111507
240526
1225985
SH
SOLE
1225985
0
0
CALIFORNIA RES CORP
COM NEW
13057Q206
1836
180000
SH
DFND
1
0
180000
0
CALIFORNIA RES CORP
COM NEW
13057Q206
1836
180000
SH
Put
DFND
1
0
180000
0
AMYRIS INC
COM NEW
03236M200
1246
261830
SH
DFND
1
0
261830
0
AMYRIS INC
COM NEW
03236M200
1247
261900
SH
Put
DFND
1
0
261900
0
CRYOPORT INC
COM PAR $0.001
229050307
229
14000
SH
DFND
1
0
14000
0
CRYOPORT INC
COM PAR $0.001
229050307
229
14000
SH
Put
DFND
1
0
14000
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
202497
4868887
SH
SOLE
4868887
0
0
CLEVELAND CLIFFS INC
DBCV 1.500% 1/1
185899AA9
28159
25775000
PRN
SOLE
25775000
0
0
NRG ENERGY INC
DBCV 2.750% 6/0
629377CG5
26868
23839000
PRN
SOLE
23839000
0
0
RESTORATION HARDWARE HLDGS I
DBCV 7/1
761283AC4
17329
11658000
PRN
SOLE
11658000
0
0
LIBERTY MEDIA CORP
DEB 3.750% 2/1
530715AL5
5929
8235000
PRN
SOLE
8235000
0
0
LIBERTY MEDIA CORP
DEB 4.000%11/1
530715AG6
20578
28383000
PRN
SOLE
28383000
0
0
CENTERPOINT ENERGY INC
DEP RP PFD CV B
15189T503
21355
407733
SH
DFND
1
0
407733
0
CRISPR THERAPEUTICS AG
NAMEN AKT
H17182108
3144
76700
SH
DFND
1
0
76700
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
10102
1346900
SH
SOLE
1346900
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
10102
1346900
SH
Put
SOLE
1346900
0
0
CHEGG INC
NOTE 0.250% 5/1
163092AB5
23143
18000000
PRN
SOLE
18000000
0
0
WORKDAY INC
NOTE 0.250%10/0
98138HAF8
25370
19395000
PRN
SOLE
19395000
0
0
COUPA SOFTWARE INC
NOTE 0.375% 1/1
22266LAB2
47742
16395000
PRN
SOLE
16395000
0
0
DEXCOM INC
NOTE 0.750% 5/1
252131AF4
11922
7500000
PRN
SOLE
7500000
0
0
TWITTER INC
NOTE 1.000% 9/1
90184LAD4
66283
67289000
PRN
SOLE
67289000
0
0
NXP SEMICONDUCTORS N V
NOTE 1.000%12/0
62952QAB6
36108
33130000
PRN
SOLE
33130000
0
0
TESLA INC
NOTE 1.250% 3/0
88160RAC5
128002
130950000
PRN
SOLE
130950000
0
0
MOMO INC
NOTE 1.250% 7/0
60879BAB3
32090
35610000
PRN
SOLE
35610000
0
0
MICROCHIP TECHNOLOGY INC
NOTE 1.625% 2/1
595017AD6
40906
21480000
PRN
DFND
1
0
21480000
0
TESLA INC
NOTE 2.000% 5/1
88160RAG6
49330
48500000
PRN
SOLE
48500000
0
0
GDS HLDGS LTD
NOTE 2.000% 6/0
36165LAB4
10479
10135000
PRN
SOLE
10135000
0
0
ADVANCED MICRO DEVICES INC
NOTE 2.125% 9/0
007903BD8
114654
30628000
PRN
SOLE
30628000
0
0
MICROCHIP TECHNOLOGY INC
NOTE 2.250% 2/1
595017AH7
6457
5000000
PRN
DFND
1
0
5000000
0
WRIGHT MED GROUP N V
NOTE 2.250%11/1
98236JAB4
12230
10420000
PRN
SOLE
10420000
0
0
AEROJET ROCKETDYNE HLDGS INC
NOTE 2.250%12/1
007800AB1
17731
8884000
PRN
SOLE
8884000
0
0
TESLA INC
NOTE 2.375% 3/1
88160RAD3
10094
9900000
PRN
SOLE
9900000
0
0
OASIS PETE INC NEW
NOTE 2.625% 9/1
674215AJ7
5900
8000000
PRN
SOLE
8000000
0
0
ISTAR INC
NOTE 3.125% 9/1
45031UCB5
24990
23500000
PRN
SOLE
23500000
0
0
J2 GLOBAL INC
NOTE 3.250% 6/1
48123VAC6
10280
7239000
PRN
DFND
1
0
7239000
0
J2 GLOBAL INC
NOTE 3.250% 6/1
48123VAC6
17545
12355000
PRN
SOLE
12355000
0
0
ETSY INC
NOTE 3/0
29786AAC0
19391
11500000
PRN
SOLE
11500000
0
0
GANNETT CO INC
NOTE 4.750% 4/1
36473HAB0
3516
3250000
PRN
SOLE
3250000
0
0
CAESARS ENTMT CORP
NOTE 5.000%10/0
127686AA1
8497
5000000
PRN
SOLE
5000000
0
0
CHESAPEAKE ENERGY CORP
NOTE 5.500% 9/1
165167CY1
18295
30769000
PRN
SOLE
30769000
0
0
RH
NOTE 6/1
74967XAA1
18140
16750000
PRN
SOLE
16750000
0
0
VIRTUS INVT PARTNERS INC
PFD CV SER D
92828Q208
1268
13250
SH
DFND
1
0
13250
0
BECTON DICKINSON & CO
PFD SHS CONV A
075887208
1586
25599
SH
DFND
1
0
25599
0
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
95880
841050
SH
SOLE
841050
0
0
UNITED MICROELECTRONICS CORP
SPON ADR NEW
910873405
3567
1706876
SH
SOLE
1706876
0
0
GOL LINHAS AEREAS INTLG S A
SPON ADR PFD NEW
38045R206
675
43610
SH
SOLE
43610
0
0
NIO INC
SPON ADS
62914V106
1289
826200
SH
DFND
1
0
826200
0
NIO INC
SPON ADS
62914V106
312
200000
SH
Call
DFND
1
0
200000
0
NIO INC
SPON ADS
62914V106
1599
1025000
SH
Put
DFND
1
0
1025000
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
4713
271509
SH
DFND
1
0
271509
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
28059
1616330
SH
SOLE
1616330
0
0
BILIBILI INC
SPONS ADS REP Z
090040106
7355
520900
SH
Put
SOLE
520900
0
0
BAOZUN INC
SPONSORED ADR
06684L103
2544
59567
SH
SOLE
59567
0
0
BAOZUN INC
SPONSORED ADR
06684L103
11316
265000
SH
Put
SOLE
265000
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
28484
327782
SH
SOLE
327782
0
0
LUCKIN COFFEE INC
SPONSORED ADS
54951L109
1704
89700
SH
DFND
1
0
89700
0
LUCKIN COFFEE INC
SPONSORED ADS
54951L109
1733
91200
SH
Put
DFND
1
0
91200
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
372301
2226279
SH
SOLE
2226279
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
285880
1709500
SH
Call
SOLE
1709500
0
0
JUMIA TECHNOLOGIES AG
SPONSORED ADS
48138M105
1029
129800
SH
DFND
1
0
129800
0
JUMIA TECHNOLOGIES AG
SPONSORED ADS
48138M105
1043
131500
SH
Put
DFND
1
0
131500
0
IQIYI INC
SPONSORED ADS
46267X108
12442
771376
SH
SOLE
771376
0
0
IQIYI INC
SPONSORED ADS
46267X108
41243
2556900
SH
Put
SOLE
2556900
0
0
GDS HLDGS LTD
SPONSORED ADS
36165L108
16397
409100
SH
Put
SOLE
409100
0
0
YY INC
SPONSORED ADS A
98426T106
15609
277600
SH
Put
SOLE
277600
0
0
COLFAX CORP
UNIT 01/15/2022T
194014205
20997
161000
SH
SOLE
161000
0
0
NEBULA ACQUISITION CORP
UNIT 03/12/2025
629076209
0
1
SH
SOLE
1
0
0
SOUTHERN CO
UNIT 08/01/2022
842587602
12762
238437
SH
SOLE
238437
0
0
NEXTERA ENERGY INC
UNIT 09/01/2022S
65339F796
18843
375000
SH
SOLE
375000
0
0
SENTINEL ENERGY SVCS INC
UNIT 99/99/9999
81728P204
0
1
SH
SOLE
1
0
0
ISHARES TR
US HOME CONS ETF
464288752
35853
827834
SH
SOLE
827834
0
0