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 | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| AIR PRODS & CHEMS INC | COM | 009158106 | 9,907 | 62,295 | SH | DFND | 01, 03 | 62,295 | 0 | 0 | |
| AIR PRODS & CHEMS INC | COM | 009158106 | 38,834 | 244,191 | SH | DFND | 02, 03 | 244,191 | 0 | 0 | |
| AIR PRODS & CHEMS INC | COM | 009158106 | 30,659 | 192,785 | SH | DFND | 3 | 0 | 192,785 | 0 | |
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 4,358 | 352,895 | SH | DFND | 01, 03 | 352,895 | 0 | 0 | |
| ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 9,769 | 791,025 | SH | DFND | 3 | 0 | 791,025 | 0 | |
| ALPHABET INC | CAP STK CL A | 02079K305 | 2,063 | 1,989 | SH | DFND | 01, 03 | 1,989 | 0 | 0 | |
| ALPHABET INC | CAP STK CL A | 02079K305 | 9,009 | 8,686 | SH | DFND | 02, 03 | 8,686 | 0 | 0 | |
| ALPHABET INC | CAP STK CL A | 02079K305 | 10,502 | 10,126 | SH | DFND | 3 | 0 | 10,126 | 0 | |
| ARRIS INTL INC | SHS | G0551A103 | 5,542 | 208,567 | SH | DFND | 01, 03 | 208,567 | 0 | 0 | |
| ARRIS INTL INC | SHS | G0551A103 | 24,254 | 912,831 | SH | DFND | 02, 03 | 912,831 | 0 | 0 | |
| ARRIS INTL INC | SHS | G0551A103 | 14,584 | 548,887 | SH | DFND | 3 | 0 | 548,887 | 0 | |
| ASHLAND GLOBAL HLDGS INC | COM | 044186104 | 6,599 | 94,556 | SH | DFND | 01, 03 | 94,556 | 0 | 0 | |
| ASHLAND GLOBAL HLDGS INC | COM | 044186104 | 28,900 | 414,099 | SH | DFND | 02, 03 | 414,099 | 0 | 0 | |
| ASHLAND GLOBAL HLDGS INC | COM | 044186104 | 16,721 | 239,593 | SH | DFND | 3 | 0 | 239,593 | 0 | |
| BEACON ROOFING SUPPLY INC | COM | 073685109 | 3,723 | 70,146 | SH | DFND | 01, 03 | 70,146 | 0 | 0 | |
| BEACON ROOFING SUPPLY INC | COM | 073685109 | 16,299 | 307,127 | SH | DFND | 02, 03 | 307,127 | 0 | 0 | |
| BEACON ROOFING SUPPLY INC | COM | 073685109 | 10,193 | 192,068 | SH | DFND | 3 | 0 | 192,068 | 0 | |
| CHINA PHARMA HLDGS INC | COM | 16941T104 | 63 | 200,000 | SH | DFND | 01, 03 | 200,000 | 0 | 0 | |
| CHINA TECHFAITH WIRLS COMM T | SPON ADR NEW | 169424207 | 159 | 74,486 | SH | DFND | 01, 03 | 74,486 | 0 | 0 | |
| CHINA XD PLASTICS CO LTD | COM | 16948F107 | 3,163 | 744,302 | SH | DFND | 01, 03 | 744,302 | 0 | 0 | |
| CHINA XD PLASTICS CO LTD | COM | 16948F107 | 5,183 | 1,219,500 | SH | DFND | 02, 03 | 1,219,500 | 0 | 0 | |
| CHINA XD PLASTICS CO LTD | COM | 16948F107 | 1,598 | 375,966 | SH | DFND | 3 | 0 | 375,966 | 0 | |
| COMCAST CORP NEW | CL A | 20030N101 | 4,000 | 117,059 | SH | DFND | 3 | 0 | 117,059 | 0 | |
| DESTINATION XL GROUP INC | COM | 25065K104 | 3,559 | 2,033,910 | SH | DFND | 01, 03 | 2,033,910 | 0 | 0 | |
| DESTINATION XL GROUP INC | COM | 25065K104 | 3,865 | 2,208,549 | SH | DFND | 02, 03 | 2,208,549 | 0 | 0 | |
| DESTINATION XL GROUP INC | COM | 25065K104 | 2,473 | 1,413,361 | SH | DFND | 3 | 0 | 1,413,361 | 0 | |
| ECHOSTAR CORP | CL A | 278768106 | 6,327 | 119,897 | SH | DFND | 01, 03 | 119,897 | 0 | 0 | |
| ECHOSTAR CORP | CL A | 278768106 | 29,202 | 553,379 | SH | DFND | 02, 03 | 553,379 | 0 | 0 | |
| ECHOSTAR CORP | CL A | 278768106 | 17,410 | 329,924 | SH | DFND | 3 | 0 | 329,924 | 0 | |
| EVERTEC INC | COM | 30040P103 | 4,239 | 259,279 | SH | DFND | 01, 03 | 259,279 | 0 | 0 | |
| EVERTEC INC | COM | 30040P103 | 18,341 | 1,121,756 | SH | DFND | 02, 03 | 1,121,756 | 0 | 0 | |
| EVERTEC INC | COM | 30040P103 | 11,293 | 690,703 | SH | DFND | 3 | 0 | 690,703 | 0 | |
| EXPEDIA GROUP INC | COM NEW | 30212P303 | 2,980 | 26,991 | SH | DFND | 01, 03 | 26,991 | 0 | 0 | |
| EXPEDIA GROUP INC | COM NEW | 30212P303 | 9,869 | 89,387 | SH | DFND | 02, 03 | 89,387 | 0 | 0 | |
| EXPEDIA GROUP INC | COM NEW | 30212P303 | 12,777 | 115,725 | SH | DFND | 3 | 0 | 115,725 | 0 | |
| GULF RESOURCES INC | COM PAR $0.0005 | 40251W309 | 391 | 273,691 | SH | DFND | 01, 03 | 273,691 | 0 | 0 | |
| HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 2,607 | 375,051 | SH | DFND | 01, 03 | 375,051 | 0 | 0 | |
| HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 4,107 | 590,957 | SH | DFND | 3 | 0 | 590,957 | 0 | |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 118,427 | 780,000 | SH | Put | DFND | 02, 03 | 780,000 | 0 | 0 |
| JOINT CORP | COM | 47973J102 | 4,024 | 587,490 | SH | DFND | 01, 03 | 587,490 | 0 | 0 | |
| JOINT CORP | COM | 47973J102 | 9,129 | 1,332,716 | SH | DFND | 02, 03 | 1,332,716 | 0 | 0 | |
| JOINT CORP | COM | 47973J102 | 2,021 | 295,091 | SH | DFND | 3 | 0 | 295,091 | 0 | |
| LADDER CAP CORP | CL A | 505743104 | 4,861 | 322,340 | SH | DFND | 01, 03 | 322,340 | 0 | 0 | |
| LADDER CAP CORP | CL A | 505743104 | 13,865 | 919,402 | SH | DFND | 02, 03 | 919,402 | 0 | 0 | |
| LADDER CAP CORP | CL A | 505743104 | 14,473 | 959,773 | SH | DFND | 3 | 0 | 959,773 | 0 | |
| LEIDOS HLDGS INC | COM | 525327102 | 5,723 | 87,512 | SH | DFND | 01, 03 | 87,512 | 0 | 0 | |
| LEIDOS HLDGS INC | COM | 525327102 | 24,542 | 375,266 | SH | DFND | 02, 03 | 375,266 | 0 | 0 | |
| LEIDOS HLDGS INC | COM | 525327102 | 15,227 | 232,829 | SH | DFND | 3 | 0 | 232,829 | 0 | |
| LENNAR CORP | CL A | 526057104 | 18,242 | 309,507 | SH | DFND | 3 | 0 | 309,507 | 0 | |
| LENNAR CORP | CL A | 526057104 | 8,039 | 136,400 | SH | Call | DFND | 01, 03 | 136,400 | 0 | 0 |
| LENNAR CORP | CL A | 526057104 | 35,329 | 599,400 | SH | Call | DFND | 02, 03 | 599,400 | 0 | 0 |
| MITEL NETWORKS CORP | COM | 60671Q104 | 2,649 | 285,413 | SH | DFND | 01, 03 | 285,413 | 0 | 0 | |
| MITEL NETWORKS CORP | COM | 60671Q104 | 11,637 | 1,254,021 | SH | DFND | 02, 03 | 1,254,021 | 0 | 0 | |
| MITEL NETWORKS CORP | COM | 60671Q104 | 7,004 | 754,726 | SH | DFND | 3 | 0 | 754,726 | 0 | |
| PACKAGING CORP AMER | COM | 695156109 | 7,099 | 62,989 | SH | DFND | 3 | 0 | 62,989 | 0 | |
| SCHULMAN A INC | COM | 808194104 | 3,441 | 80,026 | SH | DFND | 01, 03 | 80,026 | 0 | 0 | |
| SCHULMAN A INC | COM | 808194104 | 15,073 | 350,546 | SH | DFND | 02, 03 | 350,546 | 0 | 0 | |
| SCHULMAN A INC | COM | 808194104 | 8,247 | 191,787 | SH | DFND | 3 | 0 | 191,787 | 0 | |
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 4,014 | 128,228 | SH | DFND | 01, 03 | 128,228 | 0 | 0 | |
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 16,406 | 524,141 | SH | DFND | 02, 03 | 524,141 | 0 | 0 | |
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 12,941 | 413,446 | SH | DFND | 3 | 0 | 413,446 | 0 | |
| SMART & FINAL STORES INC | COM | 83190B101 | 1,352 | 243,584 | SH | DFND | 01, 03 | 243,584 | 0 | 0 | |
| SMART & FINAL STORES INC | COM | 83190B101 | 2,389 | 430,489 | SH | DFND | 3 | 0 | 430,489 | 0 | |
| STARWOOD PPTY TR INC | COM | 85571B105 | 6,277 | 299,601 | SH | DFND | 01, 03 | 299,601 | 0 | 0 | |
| STARWOOD PPTY TR INC | COM | 85571B105 | 14,692 | 701,279 | SH | DFND | 02, 03 | 701,279 | 0 | 0 | |
| STARWOOD PPTY TR INC | COM | 85571B105 | 12,385 | 591,160 | SH | DFND | 3 | 0 | 591,160 | 0 | |
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 1,244 | 9,887 | SH | DFND | 01, 03 | 9,887 | 0 | 0 | |
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 9,869 | 78,436 | SH | DFND | 3 | 0 | 78,436 | 0 | |
| UNIVAR INC | COM | 91336L107 | 6,333 | 228,202 | SH | DFND | 01, 03 | 228,202 | 0 | 0 | |
| UNIVAR INC | COM | 91336L107 | 27,607 | 994,861 | SH | DFND | 02, 03 | 994,861 | 0 | 0 | |
| UNIVAR INC | COM | 91336L107 | 16,844 | 606,984 | SH | DFND | 3 | 0 | 606,984 | 0 | |
| ZAYO GROUP HLDGS INC | COM | 98919V105 | 3,909 | 114,420 | SH | DFND | 01, 03 | 114,420 | 0 | 0 | |
| ZAYO GROUP HLDGS INC | COM | 98919V105 | 12,176 | 356,435 | SH | DFND | 02, 03 | 356,435 | 0 | 0 | |
| ZAYO GROUP HLDGS INC | COM | 98919V105 | 12,528 | 366,741 | SH | DFND | 3 | 0 | 366,741 | 0 | |