The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| ABERCROMBIE & FITCH CO | CL A | 002896207 | 501 | 34,700 | SH | Call | DFND | 01, 03 | 34,700 | 0 | 0 | |
| ABERCROMBIE & FITCH CO | CL A | 002896207 | 2,947 | 204,100 | SH | Call | DFND | 02, 03 | 204,100 | 0 | 0 | |
| AIR PRODS & CHEMS INC | COM | 009158106 | 9,713 | 64,233 | SH | DFND | 01, 03 | 64,233 | 0 | 0 | ||
| AIR PRODS & CHEMS INC | COM | 009158106 | 54,339 | 359,336 | SH | DFND | 02, 03 | 359,336 | 0 | 0 | ||
| AIR PRODS & CHEMS INC | COM | 009158106 | 22,698 | 150,102 | SH | DFND | 3 | 0 | 150,102 | 0 | ||
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 8,343 | 586,311 | SH | DFND | 01, 03 | 586,311 | 0 | 0 | ||
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 20,781 | 1,460,387 | SH | DFND | 02, 03 | 1,460,387 | 0 | 0 | ||
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 25,755 | 1,809,924 | SH | DFND | 3 | 0 | 1,809,924 | 0 | ||
| ALTABA INC | COM | 021346101 | 10,114 | 152,691 | SH | DFND | 01, 03 | 152,691 | 0 | 0 | ||
| ALTABA INC | COM | 021346101 | 63,416 | 957,361 | SH | DFND | 02, 03 | 957,361 | 0 | 0 | ||
| ALTABA INC | COM | 021346101 | 29,059 | 438,694 | SH | DFND | 3 | 0 | 438,694 | 0 | ||
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 2,530 | 23,147 | SH | DFND | 01, 03 | 23,147 | 0 | 0 | ||
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 18,724 | 171,276 | SH | DFND | 02, 03 | 171,276 | 0 | 0 | ||
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 7,151 | 65,415 | SH | DFND | 3 | 0 | 65,415 | 0 | ||
| BEACON ROOFING SUPPLY INC | COM | 073685109 | 1,387 | 27,069 | SH | DFND | 01, 03 | 27,069 | 0 | 0 | ||
| BEACON ROOFING SUPPLY INC | COM | 073685109 | 10,207 | 199,170 | SH | DFND | 02, 03 | 199,170 | 0 | 0 | ||
| BEACON ROOFING SUPPLY INC | COM | 073685109 | 7,638 | 149,029 | SH | DFND | 3 | 0 | 149,029 | 0 | ||
| BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 6,980 | 225,022 | SH | DFND | 3 | 0 | 225,022 | 0 | ||
| CAMBREX CORP | COM | 132011107 | 2,010 | 36,547 | SH | DFND | 01, 03 | 36,547 | 0 | 0 | ||
| CAMBREX CORP | COM | 132011107 | 12,544 | 228,081 | SH | DFND | 02, 03 | 228,081 | 0 | 0 | ||
| CAMBREX CORP | COM | 132011107 | 7,427 | 135,039 | SH | DFND | 3 | 0 | 135,039 | 0 | ||
| CHINA PHARMA HLDGS INC | COM | 16941T104 | 35 | 200,000 | SH | DFND | 01, 03 | 200,000 | 0 | 0 | ||
| CHINA TECHFAITH WIRLS COMM T | SPON ADR NEW | 169424207 | 181 | 74,486 | SH | DFND | 01, 03 | 74,486 | 0 | 0 | ||
| CHINA XD PLASTICS CO LTD | COM | 16948F107 | 3,498 | 744,302 | SH | DFND | 01, 03 | 744,302 | 0 | 0 | ||
| CHINA XD PLASTICS CO LTD | COM | 16948F107 | 5,732 | 1,219,500 | SH | DFND | 02, 03 | 1,219,500 | 0 | 0 | ||
| CHINA XD PLASTICS CO LTD | COM | 16948F107 | 1,767 | 375,966 | SH | DFND | 3 | 0 | 375,966 | 0 | ||
| COMMSCOPE HLDG CO INC | COM | 20337X109 | 3,226 | 97,140 | SH | DFND | 01, 03 | 97,140 | 0 | 0 | ||
| COMMSCOPE HLDG CO INC | COM | 20337X109 | 20,227 | 609,057 | SH | DFND | 02, 03 | 609,057 | 0 | 0 | ||
| COMMSCOPE HLDG CO INC | COM | 20337X109 | 19,187 | 577,758 | SH | DFND | 3 | 0 | 577,758 | 0 | ||
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 5,714 | 140,716 | SH | DFND | 01, 03 | 140,716 | 0 | 0 | ||
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 34,026 | 837,871 | SH | DFND | 02, 03 | 837,871 | 0 | 0 | ||
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 15,067 | 371,006 | SH | DFND | 3 | 0 | 371,006 | 0 | ||
| DESTINATION XL GROUP INC | COM | 25065K104 | 3,441 | 1,810,896 | SH | DFND | 01, 03 | 1,810,896 | 0 | 0 | ||
| DESTINATION XL GROUP INC | COM | 25065K104 | 3,940 | 2,073,636 | SH | DFND | 02, 03 | 2,073,636 | 0 | 0 | ||
| DESTINATION XL GROUP INC | COM | 25065K104 | 1,861 | 979,359 | SH | DFND | 3 | 0 | 979,359 | 0 | ||
| DXC TECHNOLOGY CO | COM | 23355L106 | 2,516 | 29,299 | SH | DFND | 01, 03 | 29,299 | 0 | 0 | ||
| DXC TECHNOLOGY CO | COM | 23355L106 | 15,715 | 182,987 | SH | DFND | 02, 03 | 182,987 | 0 | 0 | ||
| DXC TECHNOLOGY CO | COM | 23355L106 | 7,110 | 82,795 | SH | DFND | 3 | 0 | 82,795 | 0 | ||
| DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 1,682 | 78,246 | SH | DFND | 01, 03 | 78,246 | 0 | 0 | ||
| DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 4,279 | 199,042 | SH | DFND | 02, 03 | 199,042 | 0 | 0 | ||
| ECHOSTAR CORP | CL A | 278768106 | 6,465 | 112,964 | SH | DFND | 01, 03 | 112,964 | 0 | 0 | ||
| ECHOSTAR CORP | CL A | 278768106 | 46,398 | 810,724 | SH | DFND | 02, 03 | 810,724 | 0 | 0 | ||
| ECHOSTAR CORP | CL A | 278768106 | 27,464 | 479,894 | SH | DFND | 3 | 0 | 479,894 | 0 | ||
| EXPEDIA INC DEL | COM NEW | 30212P303 | 2,551 | 17,720 | SH | DFND | 01, 03 | 17,720 | 0 | 0 | ||
| EXPEDIA INC DEL | COM NEW | 30212P303 | 15,856 | 110,158 | SH | DFND | 02, 03 | 110,158 | 0 | 0 | ||
| EXPEDIA INC DEL | COM NEW | 30212P303 | 10,740 | 74,615 | SH | DFND | 3 | 0 | 74,615 | 0 | ||
| GRACE W R & CO DEL NEW | COM | 38388F108 | 2,324 | 32,212 | SH | DFND | 01, 03 | 32,212 | 0 | 0 | ||
| GRACE W R & CO DEL NEW | COM | 38388F108 | 14,421 | 199,873 | SH | DFND | 02, 03 | 199,873 | 0 | 0 | ||
| GRACE W R & CO DEL NEW | COM | 38388F108 | 8,909 | 123,480 | SH | DFND | 3 | 0 | 123,480 | 0 | ||
| GRAINGER W W INC | COM | 384802104 | 19,773 | 110,000 | SH | Put | DFND | 02, 03 | 110,000 | 0 | 0 | |
| GULF RESOURCES INC | COM PAR $0.0005 | 40251W309 | 514 | 273,691 | SH | DFND | 01, 03 | 273,691 | 0 | 0 | ||
| HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 3,849 | 319,398 | SH | DFND | 01, 03 | 319,398 | 0 | 0 | ||
| HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 10,250 | 850,592 | SH | DFND | 3 | 0 | 850,592 | 0 | ||
| HYATT HOTELS CORP | COM CL A | 448579102 | 17,303 | 280,034 | SH | DFND | 02, 03 | 280,034 | 0 | 0 | ||
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 174,852 | 1,180,000 | SH | Put | DFND | 02, 03 | 1,180,000 | 0 | 0 | |
| JOINT CORP | COM | 47973J102 | 2,796 | 587,490 | SH | DFND | 01, 03 | 587,490 | 0 | 0 | ||
| JOINT CORP | COM | 47973J102 | 6,344 | 1,332,716 | SH | DFND | 02, 03 | 1,332,716 | 0 | 0 | ||
| JOINT CORP | COM | 47973J102 | 1,405 | 295,091 | SH | DFND | 3 | 0 | 295,091 | 0 | ||
| L3 TECHNOLOGIES INC | COM | 502413107 | 7,580 | 40,228 | SH | DFND | 3 | 0 | 40,228 | 0 | ||
| L3 TECHNOLOGIES INC | COM | 502413107 | 2,770 | 14,700 | SH | Call | DFND | 01, 03 | 14,700 | 0 | 0 | |
| L3 TECHNOLOGIES INC | COM | 502413107 | 20,275 | 107,600 | SH | Call | DFND | 02, 03 | 107,600 | 0 | 0 | |
| LADDER CAP CORP | CL A | 505743104 | 4,104 | 295,387 | SH | DFND | 01, 03 | 295,387 | 0 | 0 | ||
| LADDER CAP CORP | CL A | 505743104 | 15,624 | 1,133,814 | SH | DFND | 02, 03 | 1,133,814 | 0 | 0 | ||
| LADDER CAP CORP | CL A | 505743104 | 12,332 | 894,938 | SH | DFND | 3 | 0 | 894,938 | 0 | ||
| MGM RESORTS INTERNATIONAL | COM | 552953101 | 2,516 | 77,193 | SH | DFND | 01, 03 | 77,193 | 0 | 0 | ||
| MGM RESORTS INTERNATIONAL | COM | 552953101 | 15,692 | 481,502 | SH | DFND | 02, 03 | 481,502 | 0 | 0 | ||
| MICROSTRATEGY INC | CL A NEW | 594972408 | 3,794 | 29,709 | SH | DFND | 01, 03 | 29,709 | 0 | 0 | ||
| MICROSTRATEGY INC | CL A NEW | 594972408 | 20,115 | 157,505 | SH | DFND | 02, 03 | 157,505 | 0 | 0 | ||
| MICROSTRATEGY INC | CL A NEW | 594972408 | 8,453 | 66,192 | SH | DFND | 3 | 0 | 66,192 | 0 | ||
| NIC INC | COM | 62914B100 | 8,575 | 500,000 | SH | Put | DFND | 02, 03 | 500,000 | 0 | 0 | |
| SCHULMAN A INC | COM | 808194104 | 1,847 | 54,083 | SH | DFND | 01, 03 | 54,083 | 0 | 0 | ||
| SCHULMAN A INC | COM | 808194104 | 13,670 | 400,280 | SH | DFND | 02, 03 | 400,280 | 0 | 0 | ||
| SCHULMAN A INC | COM | 808194104 | 5,240 | 153,452 | SH | DFND | 3 | 0 | 153,452 | 0 | ||
| SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 177 | 74,330 | SH | DFND | 01, 03 | 74,330 | 0 | 0 | ||
| SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 952 | 401,013 | SH | DFND | 02, 03 | 401,013 | 0 | 0 | ||
| SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 249 | 104,657 | SH | DFND | 3 | 0 | 104,657 | 0 | ||
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 4,799 | 149,723 | SH | DFND | 01, 03 | 149,723 | 0 | 0 | ||
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 27,868 | 869,528 | SH | DFND | 02, 03 | 869,528 | 0 | 0 | ||
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 14,343 | 447,512 | SH | DFND | 3 | 0 | 447,512 | 0 | ||
| SMART & FINAL STORES INC | COM | 83190B101 | 1,890 | 240,772 | SH | DFND | 01, 03 | 240,772 | 0 | 0 | ||
| SMART & FINAL STORES INC | COM | 83190B101 | 11,342 | 1,444,874 | SH | DFND | 02, 03 | 1,444,874 | 0 | 0 | ||
| SMART & FINAL STORES INC | COM | 83190B101 | 6,542 | 833,430 | SH | DFND | 3 | 0 | 833,430 | 0 | ||
| STARWOOD PPTY TR INC | COM | 85571B105 | 6,346 | 289,058 | SH | DFND | 01, 03 | 289,058 | 0 | 0 | ||
| STARWOOD PPTY TR INC | COM | 85571B105 | 20,023 | 921,880 | SH | DFND | 02, 03 | 921,880 | 0 | 0 | ||
| STARWOOD PPTY TR INC | COM | 85571B105 | 9,142 | 420,899 | SH | DFND | 3 | 0 | 420,899 | 0 | ||
| TENET HEALTHCARE CORP | COM NEW | 88033G407 | 780 | 47,492 | SH | DFND | 01, 03 | 47,492 | 0 | 0 | ||
| TENET HEALTHCARE CORP | COM NEW | 88033G407 | 4,892 | 297,771 | SH | DFND | 02, 03 | 297,771 | 0 | 0 | ||
| TENET HEALTHCARE CORP | COM NEW | 88033G407 | 6,015 | 366,119 | SH | DFND | 3 | 0 | 366,119 | 0 | ||
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 3,848 | 33,146 | SH | DFND | 01, 03 | 33,146 | 0 | 0 | ||
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 23,974 | 206,530 | SH | DFND | 02, 03 | 206,530 | 0 | 0 | ||
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 9,042 | 77,897 | SH | DFND | 3 | 0 | 77,897 | 0 | ||
| UNIVAR INC | COM | 91336L107 | 2,122 | 73,335 | SH | DFND | 01, 03 | 73,335 | 0 | 0 | ||
| UNIVAR INC | COM | 91336L107 | 13,306 | 459,948 | SH | DFND | 02, 03 | 459,948 | 0 | 0 | ||
| UNIVAR INC | COM | 91336L107 | 7,407 | 256,025 | SH | DFND | 3 | 0 | 256,025 | 0 | ||
| VIAVI SOLUTIONS INC | COM | 925550105 | 2,034 | 215,063 | SH | DFND | 01, 03 | 215,063 | 0 | 0 | ||
| VIAVI SOLUTIONS INC | COM | 925550105 | 12,760 | 1,348,841 | SH | DFND | 02, 03 | 1,348,841 | 0 | 0 | ||
| VIAVI SOLUTIONS INC | COM | 925550105 | 5,600 | 591,952 | SH | DFND | 3 | 0 | 591,952 | 0 | ||
| YELP INC | CL A | 985817105 | 1,259 | 29,085 | SH | DFND | 01, 03 | 29,085 | 0 | 0 | ||
| YELP INC | CL A | 985817105 | 7,896 | 182,358 | SH | DFND | 02, 03 | 182,358 | 0 | 0 | ||
| YELP INC | CL A | 985817105 | 3,601 | 83,162 | SH | DFND | 3 | 0 | 83,162 | 0 | ||
| ZAYO GROUP HLDGS INC | COM | 98919V105 | 3,386 | 98,376 | SH | DFND | 01, 03 | 98,376 | 0 | 0 | ||
| ZAYO GROUP HLDGS INC | COM | 98919V105 | 21,230 | 616,807 | SH | DFND | 02, 03 | 616,807 | 0 | 0 | ||
| ZAYO GROUP HLDGS INC | COM | 98919V105 | 13,760 | 399,762 | SH | DFND | 3 | 0 | 399,762 | 0 | ||