0001172661-17-002008.txt : 20171114
0001172661-17-002008.hdr.sgml : 20171114
20171114081749
ACCESSION NUMBER: 0001172661-17-002008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171114
DATE AS OF CHANGE: 20171114
EFFECTIVENESS DATE: 20171114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HIGHLAND CAPITAL MANAGEMENT LP
CENTRAL INDEX KEY: 0001167365
IRS NUMBER: 752716725
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10659
FILM NUMBER: 171198427
BUSINESS ADDRESS:
STREET 1: 300 CRESCENT COURT, SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 972-628-4100
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT, SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001167365
XXXXXXXX
09-30-2017
09-30-2017
false
HIGHLAND CAPITAL MANAGEMENT LP
300 Crescent Court, Suite 700
Dallas
TX
75201
13F COMBINATION REPORT
028-10659
0001329883
028-11465
Sterling Capital Management LLC
0001086763
028-05785
FIRST FOUNDATION ADVISORS
N
James D. Dondero
President
972-628-4100
/s/ James D. Dondero
Dallas
TX
11-14-2017
5
412
2268518
1
0001524098
028-16919
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P.
2
0001469877
028-16918
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.
3
0001617621
028-16920
NexPoint Advisors, L.P.
4
0001638651
028-16917
GRANITE BAY ADVISORS, L.P.
5
0001523993
Acis Capital Management, L.P.
INFORMATION TABLE
2
infotable.xml
ABBVIE INC
COM
00287Y109
2844
32000
SH
DFND
2
32000
0
0
ABBVIE INC
COM
00287Y109
178
2000
SH
DFND
1
2000
0
0
ABIOMED INC
COM
003654100
964
5719
SH
DFND
2
5719
0
0
ABIOMED INC
COM
003654100
47
281
SH
DFND
1
281
0
0
ACORDA THERAPEUTICS INC
COM
00484M106
367
15500
SH
DFND
2
15500
0
0
ADECOAGRO S A
COM
L00849106
2372
219642
SH
DFND
2
219642
0
0
ADECOAGRO S A
COM
L00849106
1722
159480
SH
SOLE
159480
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
1592
32759
SH
DFND
2
32759
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
109
2241
SH
DFND
1
2241
0
0
ALDER BIOPHARMACEUTICALS INC
COM
014339105
1126
91895
SH
DFND
2
91895
0
0
ALDER BIOPHARMACEUTICALS INC
COM
014339105
99
8105
SH
DFND
1
8105
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
2573
18342
SH
DFND
2
18342
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
274
1950
SH
SOLE
1950
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
233
1658
SH
DFND
1
1658
0
0
ALLERGAN PLC
SHS
G0177J108
1845
9000
SH
DFND
2
9000
0
0
ALLERGAN PLC
SHS
G0177J108
143
700
SH
DFND
1
700
0
0
ALPHABET INC
CAP STK CL C
02079K107
6426
6700
SH
DFND
2
6700
0
0
ALPHABET INC
CAP STK CL A
02079K305
487
500
SH
DFND
2
500
0
0
AMAG PHARMACEUTICALS INC
COM
00163U106
1135
61500
SH
SOLE
61500
0
0
AMARIN CORP PLC
SPONS ADR NEW
023111206
1575
450000
SH
DFND
2
450000
0
0
AMARIN CORP PLC
SPONS ADR NEW
023111206
84
24000
SH
DFND
1
24000
0
0
AMAZON COM INC
COM
023135106
7210
7500
SH
DFND
2
7500
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
71235
1500000
SH
Call
DFND
2
1500000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
15491
326200
SH
DFND
2
326200
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
4130
86975
SH
SOLE
86975
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
2392
17500
SH
DFND
2
17500
0
0
AMERICAN WTR WKS CO INC NEW
COM
030420103
405
5000
SH
DFND
2
5000
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
2355
28456
SH
DFND
2
28456
0
0
AMERISOURCEBERGEN CORP
COM
03073E105
211
2544
SH
DFND
1
2544
0
0
AMICUS THERAPEUTICS INC
COM
03152W109
2590
171782
SH
DFND
2
171782
0
0
AMICUS THERAPEUTICS INC
COM
03152W109
153
10118
SH
DFND
1
10118
0
0
ANALOG DEVICES INC
COM
032654105
259
3000
SH
DFND
2
3000
0
0
ANDEAVOR LOGISTICS LP
COM UNIT LP INT
03350F106
3277
65456
SH
DFND
2
65456
0
0
ANI PHARMACEUTICALS INC
COM
00182C103
315
6000
SH
DFND
2
6000
0
0
ANTHEM INC
COM
036752103
8389
44179
SH
DFND
2
44179
0
0
ANTHEM INC
COM
036752103
704
3707
SH
DFND
1
3707
0
0
APPLE INC
COM
037833100
12098
78500
SH
DFND
2
78500
0
0
ARAMARK
COM
03852U106
406
10000
SH
DFND
2
10000
0
0
ARC LOGISTICS PARTNERS LP
COM UT REP LPN
03879N101
3067
183666
SH
DFND
2
183666
0
0
ARCH COAL INC
CL A
039380407
31073
433130
SH
SOLE
433130
0
0
ARCH COAL INC
CL A
039380407
2869
39989
SH
DFND
2
39989
0
0
AT&T INC
COM
00206R102
1520
38800
SH
Put
DFND
2
38800
0
0
AT&T INC
COM
00206R102
5605
143100
SH
Call
DFND
2
143100
0
0
AUDENTES THERAPEUTICS INC
COM
05070R104
560
20000
SH
DFND
2
20000
0
0
AUDENTES THERAPEUTICS INC
COM
05070R104
56
2000
SH
DFND
1
2000
0
0
AVISTA CORP
COM
05379B107
2594
50100
SH
DFND
2
50100
0
0
AXOVANT SCIENCES LTD
COM
G0750W104
947
137577
SH
DFND
2
137577
0
0
AXOVANT SCIENCES LTD
COM
G0750W104
85
12423
SH
DFND
1
12423
0
0
BANCO MACRO SA
SPON ADR B
05961W105
3606
30730
SH
DFND
2
30730
0
0
BANCO MACRO SA
SPON ADR B
05961W105
1760
15000
SH
DFND
3
15000
0
0
BANCO MACRO SA
SPON ADR B
05961W105
1536
13089
SH
SOLE
13089
0
0
BANK AMER CORP
*W EXP 10/28/201
060505153
564
721832
SH
Call
SOLE
721832
0
0
BARNES & NOBLE INC
COM
067774109
2238
294500
SH
DFND
3
294500
0
0
BARNES & NOBLE INC
COM
067774109
1775
233527
SH
DFND
2
233527
0
0
BBVA BANCO FRANCES S A
SPONSORED ADR
07329M100
3338
163719
SH
SOLE
163719
0
0
BBVA BANCO FRANCES S A
SPONSORED ADR
07329M100
2039
100000
SH
DFND
3
100000
0
0
BBVA BANCO FRANCES S A
SPONSORED ADR
07329M100
1218
59740
SH
DFND
2
59740
0
0
BERRY GLOBAL GROUP INC
COM
08579W103
5776
101968
SH
DFND
2
101968
0
0
BIO RAD LABS INC
CL A
090572207
1248
5617
SH
DFND
2
5617
0
0
BIO RAD LABS INC
CL A
090572207
85
383
SH
DFND
1
383
0
0
BIO TECHNE CORP
COM
09073M104
363
3000
SH
DFND
2
3000
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
228
2450
SH
SOLE
2450
0
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
353
26000
SH
DFND
4
26000
0
0
BLUEBIRD BIO INC
COM
09609G100
2948
21465
SH
DFND
2
21465
0
0
BLUEBIRD BIO INC
COM
09609G100
252
1835
SH
DFND
1
1835
0
0
BMC STK HLDGS INC
COM
05591B109
16626
778743
SH
SOLE
778743
0
0
BMC STK HLDGS INC
COM
05591B109
747
35000
SH
DFND
2
35000
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
14222
967502
SH
DFND
2
967502
0
0
BOULEVARD ACQUISITION
CL A
10157Q102
301
30100
SH
DFND
2
30100
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
1275
20000
SH
DFND
2
20000
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
255
4000
SH
DFND
1
4000
0
0
BROADCOM LTD
SHS
Y09827109
10453
43100
SH
DFND
2
43100
0
0
BROOKDALE SR LIVING INC
COM
112463104
653
61625
SH
DFND
2
61625
0
0
BROOKDALE SR LIVING INC
COM
112463104
232
21850
SH
DFND
3
21850
0
0
C&J ENERGY SVCS INC NEW
COM
12674R100
7382
246300
SH
DFND
2
246300
0
0
CALGON CARBON CORP
COM
129603106
1014
47400
SH
DFND
2
47400
0
0
CALPINE CORP
COM NEW
131347304
855
57940
SH
DFND
2
57940
0
0
CAPITAL BK FINL CORP
CL A COM
139794101
2024
49297
SH
DFND
2
49297
0
0
CAVIUM INC
COM
14964U108
5902
89500
SH
DFND
2
89500
0
0
CBOE HLDGS INC
COM
12503M108
8045
74750
SH
DFND
2
74750
0
0
CDK GLOBAL INC
COM
12508E101
21491
340643
SH
DFND
2
340643
0
0
CDK GLOBAL INC
COM
12508E101
53
833
SH
DFND
3
833
0
0
CDN IMPERIAL BK COMM TORONTO
COM
136069101
338
3094
SH
DFND
2
3094
0
0
CERNER CORP
COM
156782104
285
4000
SH
DFND
2
4000
0
0
CF CORP
SHS CL A
G20307107
2689
240100
SH
DFND
2
240100
0
0
CHARLES RIV LABS INTL INC
COM
159864107
279
2582
SH
DFND
2
2582
0
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
4943
13600
SH
DFND
2
13600
0
0
CHEVRON CORP NEW
COM
166764100
353
3000
SH
DFND
2
3000
0
0
CIT GROUP INC
COM NEW
125581801
23987
489028
SH
DFND
2
489028
0
0
CITIGROUP INC
COM NEW
172967424
84742
1165000
SH
Call
DFND
3
1165000
0
0
CITIGROUP INC
COM NEW
172967424
21095
290000
SH
DFND
3
290000
0
0
CLEAN ENERGY FUELS CORP
COM
184499101
124
50000
SH
DFND
2
50000
0
0
CME GROUP INC
COM CL A
12572Q105
12320
90800
SH
DFND
2
90800
0
0
COCA COLA CO
COM
191216100
338
7500
SH
DFND
2
7500
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
19180
264400
SH
DFND
2
264400
0
0
COHERUS BIOSCIENCES INC
COM
19249H103
4313
323105
SH
SOLE
323105
0
0
COHERUS BIOSCIENCES INC
COM
19249H103
1480
110825
SH
DFND
2
110825
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
8389
799759
SH
DFND
2
799759
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
618
58888
SH
DFND
3
58888
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
85
8100
SH
DFND
1
8100
0
0
COMCAST CORP NEW
CL A
20030N101
7098
184470
SH
DFND
2
184470
0
0
COMMUNITY HEALTH SYS INC NEW
COM
203668108
3941
513100
SH
DFND
2
513100
0
0
CONSOLIDATED TOMOKA LD CO
COM
210226106
302
5027
SH
DFND
3
5027
0
0
CONTINENTAL RESOURCES INC
COM
212015101
1737
45000
SH
DFND
2
45000
0
0
COOPER COS INC
COM NEW
216648402
3082
13000
SH
DFND
2
13000
0
0
CORELOGIC INC
COM
21871D103
552
11950
SH
DFND
2
11950
0
0
CORNERSTONE ONDEMAND INC
COM
21925Y103
223
5500
SH
DFND
2
5500
0
0
CORNING INC
COM
219350105
7859
262675
SH
SOLE
262675
0
0
CORNING INC
COM
219350105
5864
196000
SH
DFND
2
196000
0
0
COSTCO WHSL CORP NEW
COM
22160K105
1089
6630
SH
DFND
3
6630
0
0
COSTCO WHSL CORP NEW
COM
22160K105
1068
6500
SH
DFND
2
6500
0
0
CRESTWOOD EQUITY PARTNERS LP
UNIT LTD PARTNER
226344208
758
31078
SH
DFND
2
31078
0
0
CRESUD S A C I F Y A
SPONSORED ADR
226406106
519
27800
SH
DFND
3
27800
0
0
CSRA INC
COM
12650T104
1049
32500
SH
DFND
3
32500
0
0
CSRA INC
COM
12650T104
616
19100
SH
DFND
2
19100
0
0
CUBESMART
COM
229663109
221
8503
SH
DFND
3
8503
0
0
CUMULUS MEDIA INC
CL A NEW
231082603
166
519845
SH
SOLE
519845
0
0
CUMULUS MEDIA INC
CL A NEW
231082603
63
196250
SH
DFND
2
196250
0
0
CUMULUS MEDIA INC
CL A NEW
231082603
3
9295
SH
DFND
3
9295
0
0
CYRUSONE INC
COM
23283R100
12199
207000
SH
DFND
2
207000
0
0
DBV TECHNOLOGIES S A
SPONSORED ADR
23306J101
1020
24032
SH
DFND
2
24032
0
0
DBV TECHNOLOGIES S A
SPONSORED ADR
23306J101
84
1968
SH
DFND
1
1968
0
0
DECIPHERA PHARMACEUTICALS IN
COM
24344T101
914
48154
SH
DFND
2
48154
0
0
DECIPHERA PHARMACEUTICALS IN
COM
24344T101
83
4346
SH
DFND
1
4346
0
0
DEPOMED INC
COM
249908104
1612
278428
SH
SOLE
278428
0
0
DEPOMED INC
COM
249908104
727
125570
SH
DFND
2
125570
0
0
DISCOVERY COMMUNICATNS NEW
COM SER C
25470F302
2107
104000
SH
Call
DFND
2
104000
0
0
DIVIDEND & INCOME FUND
COM NEW
25538A204
156
12116
SH
DFND
3
12116
0
0
DR PEPPER SNAPPLE GROUP INC
COM
26138E109
973
11000
SH
DFND
2
11000
0
0
DRIL-QUIP INC
COM
262037104
283
6420
SH
DFND
2
6420
0
0
DYNAGAS LNG PARTNERS LP
COM UNIT LTD PT
Y2188B108
1279
91725
SH
DFND
2
91725
0
0
DYNEGY INC NEW DEL
COM
26817R108
2325
237500
SH
DFND
3
237500
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
7712
176841
SH
DFND
2
176841
0
0
EASTERLY ACQUISITION CORP
COM
27616L102
185
18500
SH
DFND
2
18500
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
309
22000
SH
DFND
4
22000
0
0
EGALET CORP
COM
28226B104
153
119520
SH
DFND
2
119520
0
0
EMPRESA DIST Y COMERCIAL NOR
SPON ADR
29244A102
1634
41106
SH
SOLE
41106
0
0
EMPRESA DIST Y COMERCIAL NOR
SPON ADR
29244A102
1391
35000
SH
DFND
2
35000
0
0
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
23256
1338085
SH
DFND
2
1338085
0
0
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
29278N103
17409
951816
SH
DFND
2
951816
0
0
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
29278N103
2173
118800
SH
DFND
3
118800
0
0
ENLINK MIDSTREAM LLC
COM UNIT REP LTD
29336T100
750
43479
SH
DFND
2
43479
0
0
ENLINK MIDSTREAM PARTNERS LP
COM UNIT REP LTD
29336U107
2422
144500
SH
DFND
3
144500
0
0
ENLINK MIDSTREAM PARTNERS LP
COM UNIT REP LTD
29336U107
2021
120611
SH
DFND
2
120611
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
22345
857113
SH
DFND
2
857113
0
0
EPAM SYS INC
COM
29414B104
7562
86000
SH
DFND
2
86000
0
0
EQT CORP
COM
26884L109
7124
109200
SH
DFND
2
109200
0
0
EQT MIDSTREAM PARTNERS LP
UNIT LTD PARTN
26885B100
1929
25727
SH
DFND
2
25727
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
2830
44689
SH
DFND
2
44689
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
252
3977
SH
DFND
1
3977
0
0
F M C CORP
COM NEW
302491303
18693
209300
SH
DFND
2
209300
0
0
FACEBOOK INC
CL A
30303M102
20556
120300
SH
DFND
2
120300
0
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
527
11110
SH
DFND
2
11110
0
0
FIDELITY NATIONAL FINANCIAL
FNFV GROUP COM
31620R402
327
19070
SH
DFND
2
19070
0
0
FIFTH STREET FINANCE CORP
COM
31678A103
312
57120
SH
DFND
2
57120
0
0
FINISH LINE INC
CL A
317923100
6562
545500
SH
DFND
3
545500
0
0
FINISH LINE INC
CL A
317923100
2614
217250
SH
DFND
2
217250
0
0
FIRST SOUTH BANCORP INC VA
COM
33646W100
581
31369
SH
DFND
2
31369
0
0
FOREST CITY RLTY TR INC
COM CL A
345605109
1354
53075
SH
DFND
2
53075
0
0
FOREST CITY RLTY TR INC
COM CL A
345605109
153
6000
SH
DFND
3
6000
0
0
FORTINET INC
COM
34959E109
26577
741555
SH
SOLE
741555
0
0
FORTINET INC
COM
34959E109
12383
345500
SH
DFND
3
345500
0
0
FORTINET INC
COM
34959E109
8259
230450
SH
DFND
2
230450
0
0
FORTRESS INVESTMENT GROUP LL
CL A
34958B106
2555
320623
SH
DFND
2
320623
0
0
FORUM MERGER CORP
COM CL A
34985B103
371
38000
SH
DFND
2
38000
0
0
FORWARD PHARMA A/S
SPONSORED ADR
34986J105
100
17000
SH
DFND
3
17000
0
0
FRANCESCAS HLDGS CORP
COM
351793104
431
58500
SH
DFND
2
58500
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
211
15000
SH
DFND
2
15000
0
0
GENESCO INC
COM
371532102
581
21850
SH
DFND
2
21850
0
0
GENTHERM INC
COM
37253A103
305
8200
SH
DFND
2
8200
0
0
GLOBAL X FDS
GLB X MLP ENRG I
37950E226
2146
155600
SH
DFND
3
155600
0
0
GRAY TELEVISION INC
CL A
389375205
134
10436
SH
DFND
3
10436
0
0
GRUPO FINANCIERO GALICIA S A
SP ADR 10 SH B
399909100
2771
53773
SH
SOLE
53773
0
0
GRUPO FINANCIERO GALICIA S A
SP ADR 10 SH B
399909100
2749
53334
SH
DFND
2
53334
0
0
GRUPO SUPERVIELLE S A
SPONSORED ADR
40054A108
8335
337577
SH
DFND
2
337577
0
0
GRUPO SUPERVIELLE S A
SPONSORED ADR
40054A108
3051
123558
SH
SOLE
123558
0
0
GW PHARMACEUTICALS PLC
ADS
36197T103
3349
33000
SH
DFND
2
33000
0
0
GW PHARMACEUTICALS PLC
ADS
36197T103
254
2500
SH
DFND
1
2500
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
2881
70000
SH
DFND
2
70000
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
4468
119000
SH
SOLE
119000
0
0
HEALTHEQUITY INC
COM
42226A107
1486
29372
SH
DFND
2
29372
0
0
HEALTHEQUITY INC
COM
42226A107
133
2628
SH
DFND
1
2628
0
0
HENNESSY CAP ACQUSTON CORP I
COM
42588L105
373
37800
SH
DFND
2
37800
0
0
HERON THERAPEUTICS INC
COM
427746102
18260
1130646
SH
SOLE
1130646
0
0
HERON THERAPEUTICS INC
COM
427746102
5984
370531
SH
DFND
2
370531
0
0
HERSHEY CO
COM
427866108
218
2000
SH
DFND
2
2000
0
0
HSN INC
COM
404303109
2633
67426
SH
DFND
2
67426
0
0
HUMANA INC
COM
444859102
7953
32642
SH
DFND
2
32642
0
0
HUMANA INC
COM
444859102
657
2698
SH
DFND
1
2698
0
0
IBERIABANK CORP
COM
450828108
200
2430
SH
DFND
2
2430
0
0
ICON PLC
SHS
G4705A100
1599
14043
SH
DFND
2
14043
0
0
ICON PLC
SHS
G4705A100
109
957
SH
DFND
1
957
0
0
IGNYTA INC
COM
451731103
1137
92084
SH
DFND
2
92084
0
0
IGNYTA INC
COM
451731103
79
6416
SH
DFND
1
6416
0
0
ILG INC
COM
44967H101
5066
189540
SH
DFND
2
189540
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
26729
2628236
SH
DFND
2
2628236
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
3516
345727
SH
DFND
3
345727
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
3003
295274
SH
SOLE
295274
0
0
INDUSTREA ACQUISITION CORP
UNIT 07/21/2024
45579J203
505
50000
SH
DFND
2
50000
0
0
INTERSECT ENT INC
COM
46071F103
207
6650
SH
DFND
2
6650
0
0
INTERXION HOLDING N.V
SHS
N47279109
280
5495
SH
DFND
3
5495
0
0
INTUIT
COM
461202103
5117
36000
SH
DFND
2
36000
0
0
IRSA INVERSIONES Y REP S A
GLOBL DEP RCPT
450047204
1312
53445
SH
DFND
2
53445
0
0
IRSA INVERSIONES Y REP S A
GLOBL DEP RCPT
450047204
214
8700
SH
DFND
3
8700
0
0
ISHARES TR
20 YR TR BD ETF
464287432
37428
300000
SH
Put
DFND
2
300000
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
23351
70000
SH
Put
DFND
2
70000
0
0
JERNIGAN CAP INC
COM
476405105
5267
256279
SH
DFND
2
256279
0
0
JERNIGAN CAP INC
COM
476405105
3244
157850
SH
DFND
3
157850
0
0
JETBLUE AIRWAYS CORP
COM
477143101
259
14000
SH
DFND
2
14000
0
0
K12 INC
COM
48273U102
17579
985348
SH
DFND
2
985348
0
0
K12 INC
COM
48273U102
1223
68532
SH
DFND
3
68532
0
0
K2M GROUP HLDGS INC
COM
48273J107
2100
98991
SH
DFND
2
98991
0
0
K2M GROUP HLDGS INC
COM
48273J107
135
6342
SH
DFND
1
6342
0
0
KADMON HLDGS INC
COM
48283N106
1148
342700
SH
DFND
2
342700
0
0
KADMON HLDGS INC
COM
48283N106
761
227300
SH
DFND
3
227300
0
0
KANSAS CITY SOUTHERN
COM NEW
485170302
2174
20000
SH
DFND
2
20000
0
0
KAYNE ANDERSON ACQUISITION
COM CL A
48661U102
307
31500
SH
DFND
2
31500
0
0
KAYNE ANDERSON ACQUISITION
UNIT 06/30/2022
48661U201
101
10000
SH
DFND
2
10000
0
0
KINDER MORGAN INC DEL
COM
49456B101
1163
60624
SH
DFND
2
60624
0
0
KKR & CO L P DEL
COM UNITS
48248M102
253
12425
SH
DFND
2
12425
0
0
LEIDOS HLDGS INC
COM
525327102
237
4000
SH
DFND
2
4000
0
0
LHC GROUP INC
COM
50187A107
4801
67691
SH
DFND
2
67691
0
0
LHC GROUP INC
COM
50187A107
307
4334
SH
DFND
1
4334
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
1504
46000
SH
DFND
2
46000
0
0
LIFE STORAGE INC
COM
53223X107
276
3372
SH
DFND
3
3372
0
0
LIFEPOINT HEALTH INC
COM
53219L109
515
8900
SH
DFND
2
8900
0
0
LKQ CORP
COM
501889208
532
14775
SH
DFND
2
14775
0
0
LOGMEIN INC
COM
54142L109
11665
106000
SH
DFND
2
106000
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
97549
1970691
SH
SOLE
1970691
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
3858
77945
SH
DFND
2
77945
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
679
13722
SH
DFND
3
13722
0
0
LOWES COS INC
COM
548661107
5308
66400
SH
DFND
2
66400
0
0
LPL FINL HLDGS INC
COM
50212V100
5157
100000
SH
DFND
2
100000
0
0
LUXFER HLDGS PLC
SPONSORED ADR
550678106
350
28100
SH
DFND
2
28100
0
0
MACERICH CO
COM
554382101
508
9250
SH
DFND
3
9250
0
0
MARRIOTT INTL INC NEW
CL A
571903202
276
2500
SH
DFND
2
2500
0
0
MATSON INC
COM
57686G105
224
7950
SH
DFND
2
7950
0
0
MAXPOINT INTERACTIVE INC
COM NEW
57777M201
735
52936
SH
DFND
2
52936
0
0
MEDICINOVA INC
COM NEW
58468P206
104
16272
SH
SOLE
16272
0
0
MEDNAX INC
COM
58502B106
261
6045
SH
DFND
2
6045
0
0
MERCADOLIBRE INC
COM
58733R102
4161
16069
SH
DFND
2
16069
0
0
MICRON TECHNOLOGY INC
COM
595112103
10304
262000
SH
DFND
2
262000
0
0
MICROSOFT CORP
COM
594918104
15007
201458
SH
DFND
2
201458
0
0
MIMEDX GROUP INC
COM
602496101
767
64600
SH
DFND
2
64600
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
13870
1824977
SH
DFND
2
1824977
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
462
60790
SH
SOLE
60790
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
396
52135
SH
DFND
1
52135
0
0
MOLINA HEALTHCARE INC
COM
60855R100
4302
62563
SH
DFND
2
62563
0
0
MOLINA HEALTHCARE INC
COM
60855R100
269
3916
SH
DFND
1
3916
0
0
MONSANTO CO NEW
COM
61166W101
2996
25000
SH
DFND
2
25000
0
0
MPLX LP
COM UNIT REP LTD
55336V100
21223
606208
SH
DFND
2
606208
0
0
MTS SYS CORP
COM
553777103
224
4200
SH
DFND
2
4200
0
0
NEKTAR THERAPEUTICS
COM
640268108
276
11500
SH
DFND
2
11500
0
0
NETSHOES CAYMAN LTD
COM
G6455X107
132
10000
SH
DFND
2
10000
0
0
NEURODERM LTD
ORD SHS
M74231107
533
13700
SH
DFND
2
13700
0
0
NEXPOINT CR STRATEGIES FD
COM NEW
65340G205
21596
936925
SH
SOLE
936925
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
41210
1736625
SH
SOLE
1736625
0
0
NEXSTAR MEDIA GROUP INC
CL A
65336K103
4044
64919
SH
DFND
2
64919
0
0
NEXTDECADE CORP
COM
65342K105
20781
2059555
SH
DFND
3
2059555
0
0
NEXTDECADE CORP
COM
65342K105
475
47100
SH
DFND
2
47100
0
0
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
1332
115297
SH
DFND
2
115297
0
0
NRG ENERGY INC
COM NEW
629377508
1512
59075
SH
DFND
2
59075
0
0
NRG ENERGY INC
COM NEW
629377508
435
17000
SH
DFND
4
17000
0
0
NRG ENERGY INC
COM NEW
629377508
22
862
SH
SOLE
862
0
0
NUVASIVE INC
COM
670704105
2132
38435
SH
DFND
2
38435
0
0
NUVASIVE INC
COM
670704105
127
2282
SH
DFND
1
2282
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
3323
29385
SH
DFND
2
29385
0
0
OCWEN FINL CORP
COM NEW
675746309
688
200000
SH
DFND
2
200000
0
0
OIL STS INTL INC
COM
678026105
270
10650
SH
DFND
2
10650
0
0
OMEGA PROTEIN CORP
COM
68210P107
251
15100
SH
DFND
2
15100
0
0
OPIANT PHARMACEUTICALS INC
COM
683750103
471
12800
SH
DFND
2
12800
0
0
ORACLE CORP
COM
68389X105
4835
100000
SH
DFND
2
100000
0
0
ORMAT TECHNOLOGIES INC
COM
686688102
305
5000
SH
DFND
2
5000
0
0
OXFORD INDS INC
COM
691497309
554
8725
SH
DFND
2
8725
0
0
PACIFIC CONTINENTAL CORP
COM
69412V108
3378
125347
SH
DFND
2
125347
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
3678
56500
SH
DFND
2
56500
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
2612
40130
SH
SOLE
40130
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
1087
16700
SH
DFND
3
16700
0
0
PARATEK PHARMACEUTICALS INC
COM
699374302
1139
45385
SH
DFND
2
45385
0
0
PARATEK PHARMACEUTICALS INC
COM
699374302
68
2715
SH
DFND
1
2715
0
0
PAREXEL INTL CORP
COM
699462107
2184
24800
SH
DFND
2
24800
0
0
PARKER HANNIFIN CORP
COM
701094104
8088
46210
SH
DFND
2
46210
0
0
PARSLEY ENERGY INC
CL A
701877102
5010
190221
SH
DFND
2
190221
0
0
PATTERSON COMPANIES INC
COM
703395103
26794
693246
SH
DFND
2
693246
0
0
PATTERSON COMPANIES INC
COM
703395103
8350
216050
SH
SOLE
216050
0
0
PATTERSON COMPANIES INC
COM
703395103
1913
49500
SH
DFND
3
49500
0
0
PATTERSON COMPANIES INC
COM
703395103
74
1914
SH
DFND
1
1914
0
0
PENDRELL CORP
CL A NEW
70686R302
8701
1273884
SH
SOLE
1273884
0
0
PENDRELL CORP
CL A NEW
70686R302
1544
226052
SH
DFND
3
226052
0
0
PENDRELL CORP
CL A NEW
70686R302
245
35807
SH
DFND
2
35807
0
0
PEPSICO INC
COM
713448108
3343
30000
SH
DFND
2
30000
0
0
PFIZER INC
COM
717081103
214
6000
SH
DFND
1
6000
0
0
PINNACLE FOODS INC DEL
COM
72348P104
5601
97978
SH
DFND
2
97978
0
0
PIONEER NAT RES CO
COM
723787107
5333
36143
SH
DFND
2
36143
0
0
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
374
17671
SH
DFND
2
17671
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
14971
684558
SH
DFND
2
684558
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
1872
85600
SH
DFND
3
85600
0
0
PNC FINL SVCS GROUP INC
COM
693475105
11590
86000
SH
DFND
2
86000
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
10049
185983
SH
SOLE
185983
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
9117
168740
SH
DFND
3
168740
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
2561
47400
SH
DFND
2
47400
0
0
POWERSHS DB US DOLLAR INDEX
DOLL INDX BULL
73936D107
12090
500000
SH
Put
DFND
2
500000
0
0
POWERSHS DB US DOLLAR INDEX
DOLL INDX BULL
73936D107
605
25000
SH
Put
SOLE
25000
0
0
POWERSHS DB US DOLLAR INDEX
DOLL INDX BULL
73936D107
12090
500000
SH
Call
DFND
2
500000
0
0
POWERSHS DB US DOLLAR INDEX
DOLL INDX BULL
73936D107
605
25000
SH
Call
SOLE
25000
0
0
PRA HEALTH SCIENCES INC
COM
69354M108
1120
14700
SH
DFND
2
14700
0
0
PRICE T ROWE GROUP INC
COM
74144T108
317
3500
SH
DFND
2
3500
0
0
PROOFPOINT INC
COM
743424103
4878
55924
SH
DFND
2
55924
0
0
PUMA BIOTECHNOLOGY INC
COM
74587V107
1777
14836
SH
DFND
2
14836
0
0
PUMA BIOTECHNOLOGY INC
COM
74587V107
138
1151
SH
DFND
1
1151
0
0
QUAKER CHEM CORP
COM
747316107
559
3775
SH
DFND
2
3775
0
0
QUORUM HEALTH CORP
COM
74909E106
5340
1030975
SH
DFND
2
1030975
0
0
QUORUM HEALTH CORP
COM
74909E106
140
27046
SH
DFND
1
27046
0
0
RADIUS HEALTH INC
COM NEW
750469207
2003
51968
SH
DFND
2
51968
0
0
RADIUS HEALTH INC
COM NEW
750469207
177
4600
SH
DFND
1
4600
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
2068
2833250
SH
DFND
2
2833250
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
1271
1741521
SH
SOLE
1741521
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
85
117040
SH
DFND
3
117040
0
0
RAYMOND JAMES FINANCIAL INC
COM
754730109
323
3835
SH
DFND
2
3835
0
0
REALPAGE INC
COM
75606N109
5586
140000
SH
DFND
2
140000
0
0
RESOURCES CONNECTION INC
COM
76122Q105
278
20000
SH
DFND
2
20000
0
0
RICE ENERGY INC
COM
762760106
1051
36319
SH
DFND
2
36319
0
0
RLJ LODGING TR
COM
74965L101
315
14300
SH
DFND
2
14300
0
0
ROCKWELL COLLINS INC
COM
774341101
651
4983
SH
DFND
2
4983
0
0
S&P GLOBAL INC
COM
78409V104
7581
48500
SH
DFND
2
48500
0
0
SAGE THERAPEUTICS INC
COM
78667J108
1143
18346
SH
DFND
2
18346
0
0
SAGE THERAPEUTICS INC
COM
78667J108
103
1654
SH
DFND
1
1654
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
1618
37000
SH
DFND
2
37000
0
0
SCIENCE APPLICATNS INTL CP N
COM
808625107
729
10900
SH
DFND
2
10900
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
12260
150000
SH
Put
DFND
2
150000
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
8173
100000
SH
Call
DFND
2
100000
0
0
SEMGROUP CORP
CL A
81663A105
13612
473464
SH
DFND
2
473464
0
0
SEMTECH CORP
COM
816850101
531
14150
SH
DFND
2
14150
0
0
SENSIENT TECHNOLOGIES CORP
COM
81725T100
508
6600
SH
DFND
2
6600
0
0
SERVICENOW INC
COM
81762P102
4936
42000
SH
DFND
2
42000
0
0
SHELL MIDSTREAM PARTNERS L P
UNIT LTD INT
822634101
3073
110392
SH
DFND
2
110392
0
0
SHIRE PLC
SPONSORED ADR
82481R106
4594
30000
SH
DFND
2
30000
0
0
SHIRE PLC
SPONSORED ADR
82481R106
306
2000
SH
DFND
1
2000
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
6822
212850
SH
DFND
2
212850
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
945
29500
SH
DFND
3
29500
0
0
SIRIUS XM HLDGS INC
COM
82968B103
1518
275000
SH
DFND
2
275000
0
0
SM ENERGY CO
COM
78454L100
282
15920
SH
DFND
2
15920
0
0
SONIC CORP
COM
835451105
624
24500
SH
DFND
2
24500
0
0
SPARK THERAPEUTICS INC
COM
84652J103
3820
42842
SH
DFND
2
42842
0
0
SPARK THERAPEUTICS INC
COM
84652J103
192
2158
SH
DFND
1
2158
0
0
SPARTANNASH CO
COM
847215100
485
18400
SH
DFND
2
18400
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
100492
400000
SH
Call
DFND
2
400000
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
6060
70000
SH
Put
DFND
2
70000
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
15718
1834020
SH
SOLE
1834020
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
8220
959200
SH
DFND
3
959200
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
1991
232269
SH
DFND
2
232269
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
675
16800
SH
DFND
2
16800
0
0
STATE STR CORP
COM
857477103
3774
39500
SH
DFND
2
39500
0
0
SUBURBAN PROPANE PARTNERS L
UNIT LTD PARTN
864482104
758
29059
SH
DFND
2
29059
0
0
SUN BANCORP INC
COM NEW
86663B201
729
29355
SH
DFND
2
29355
0
0
SUNOCO LP
COM U REP LP
86765K109
870
27970
SH
DFND
2
27970
0
0
SURGERY PARTNERS INC
COM
86881A100
3692
356670
SH
DFND
2
356670
0
0
SURGERY PARTNERS INC
COM
86881A100
210
20330
SH
DFND
1
20330
0
0
TARGA RES CORP
COM
87612G101
20205
427176
SH
DFND
2
427176
0
0
TARGA RES CORP
COM
87612G101
1331
28150
SH
DFND
3
28150
0
0
TAUBMAN CTRS INC
COM
876664103
349
7025
SH
DFND
3
7025
0
0
TELECOM ARGENTINA S A
SPON ADR REP B
879273209
972
31527
SH
SOLE
31527
0
0
TELEDYNE TECHNOLOGIES INC
COM
879360105
394
2475
SH
DFND
2
2475
0
0
TELEFLEX INC
COM
879369106
9123
37701
SH
DFND
2
37701
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
158
9600
SH
Call
DFND
1
9600
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
4853
295400
SH
Call
DFND
2
295400
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
4993
303870
SH
DFND
2
303870
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
162
9830
SH
DFND
1
9830
0
0
TERADATA CORP DEL
COM
88076W103
1387
41040
SH
DFND
2
41040
0
0
TERNIUM SA
SPON ADR
880890108
1494
48300
SH
DFND
2
48300
0
0
TESARO INC
COM
881569107
839
6500
SH
DFND
2
6500
0
0
TESARO INC
COM
881569107
42
325
SH
DFND
1
325
0
0
TRACTOR SUPPLY CO
COM
892356106
1762
27845
SH
DFND
2
27845
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
4441
218683
SH
SOLE
218683
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
2802
137980
SH
DFND
2
137980
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
1290
63500
SH
DFND
3
63500
0
0
TWITTER INC
COM
90184L102
48505
2875250
SH
SOLE
2875250
0
0
TWITTER INC
COM
90184L102
28163
1669400
SH
DFND
3
1669400
0
0
TWITTER INC
COM
90184L102
17664
1047058
SH
DFND
2
1047058
0
0
ULTRAGENYX PHARMACEUTICAL IN
COM
90400D108
2076
38975
SH
DFND
2
38975
0
0
UNITED RENTALS INC
COM
911363109
5896
42500
SH
DFND
2
42500
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
8696
44400
SH
DFND
2
44400
0
0
UNITI GROUP INC
COM
91325V108
483
32968
SH
DFND
3
32968
0
0
UNITI GROUP INC
COM
91325V108
86
5900
SH
SOLE
5900
0
0
VANTAGE ENERGY ACQUISITION
COM CL A
92211L105
307
31325
SH
DFND
2
31325
0
0
VERACYTE INC
COM
92337F107
219
25000
SH
DFND
2
25000
0
0
VISA INC
COM CL A
92826C839
23162
220084
SH
DFND
2
220084
0
0
VISTRA ENERGY CORP
COM
92840M102
181236
9696955
SH
DFND
2
9696955
0
0
VISTRA ENERGY CORP
COM
92840M102
69305
3708158
SH
SOLE
3708158
0
0
VISTRA ENERGY CORP
COM
92840M102
32400
1733542
SH
DFND
3
1733542
0
0
VISTRA ENERGY CORP
COM
92840M102
467
25010
SH
DFND
4
25010
0
0
WALTER INVT MGMT CORP
COM
93317W102
326
550000
SH
DFND
2
550000
0
0
WARRIOR MET COAL INC
COM
93627C101
3670
155706
SH
SOLE
155706
0
0
WARRIOR MET COAL INC
COM
93627C101
84
3556
SH
DFND
5
3556
0
0
WEST CORP
COM
952355204
343
14600
SH
DFND
2
14600
0
0
WESTERN DIGITAL CORP
COM
958102105
4320
50000
SH
DFND
2
50000
0
0
WESTERN GAS EQUITY PARTNERS
COMUNT LTD PT
95825R103
13883
337138
SH
DFND
2
337138
0
0
WILLIAMS COS INC DEL
COM
969457100
21212
706819
SH
DFND
2
706819
0
0
WILLIAMS COS INC DEL
COM
969457100
1068
35600
SH
DFND
3
35600
0
0
WILLIAMS PARTNERS L P NEW
COM UNIT LTD PAR
96949L105
5875
151031
SH
DFND
2
151031
0
0
WILLIAMS PARTNERS L P NEW
COM UNIT LTD PAR
96949L105
1070
27500
SH
DFND
3
27500
0
0
WMIH CORP
COM
92936P100
10
10310
SH
SOLE
10310
0
0
WRIGHT MED GROUP N V
ORD SHS 0.03 PAR
N96617118
1211
46810
SH
DFND
2
46810
0
0
WRIGHT MED GROUP N V
RIGHT 03/01/2019
N96617126
107
69326
SH
DFND
2
69326
0
0
WRIGHT MED GROUP N V
ORD SHS 0.03 PAR
N96617118
52
2000
SH
DFND
1
2000
0
0
XEROX CORP
COM NEW
984121608
250
7500
SH
DFND
2
7500
0
0
XPO LOGISTICS INC
COM
983793100
15816
233349
SH
DFND
2
233349
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
3895
174800
SH
SOLE
174800
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
530
23800
SH
DFND
3
23800
0
0
ZEBRA TECHNOLOGIES CORP
CL A
989207105
574
5290
SH
DFND
2
5290
0
0
ZOGENIX INC
COM NEW
98978L204
3247
92638
SH
DFND
2
92638
0
0
ZOGENIX INC
COM NEW
98978L204
293
8362
SH
DFND
1
8362
0
0