0001172661-18-000606.txt : 20180214
0001172661-18-000606.hdr.sgml : 20180214
20180214092703
ACCESSION NUMBER: 0001172661-18-000606
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180214
DATE AS OF CHANGE: 20180214
EFFECTIVENESS DATE: 20180214
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: 18607793
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
12-31-2017
12-31-2017
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
02-14-2018
5
406
2177282
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
3M CO
COM
88579Y101
353
1500
SH
DFND
2
1500
0
0
ABBVIE INC
COM
00287Y109
73
750
SH
DFND
1
750
0
0
ABBVIE INC
COM
00287Y109
967
10000
SH
DFND
2
10000
0
0
ACADIA HEALTHCARE COMPANY IN
COM
00404A109
85
2600
SH
DFND
1
2600
0
0
ACADIA HEALTHCARE COMPANY IN
COM
00404A109
1044
32000
SH
DFND
2
32000
0
0
ACORDA THERAPEUTICS INC
COM
00484M106
332
15500
SH
DFND
2
15500
0
0
ADAMAS PHARMACEUTICALS INC
COM
00548A106
61
1800
SH
DFND
1
1800
0
0
ADAMAS PHARMACEUTICALS INC
COM
00548A106
532
15700
SH
DFND
2
15700
0
0
ADECOAGRO S A
COM
L00849106
2382
230342
SH
DFND
2
230342
0
0
ADECOAGRO S A
COM
L00849106
1649
159480
SH
SOLE
159480
0
0
AIMMUNE THERAPEUTICS INC
COM
00900T107
5578
147500
SH
DFND
2
147500
0
0
AIMMUNE THERAPEUTICS INC
COM
00900T107
85
2250
SH
DFND
1
2250
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
233
1950
SH
SOLE
1950
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
40
336
SH
DFND
1
336
0
0
ALEXION PHARMACEUTICALS INC
COM
015351109
402
3364
SH
DFND
2
3364
0
0
ALON USA PARTNERS LP
UT LTDPART INT
02052T109
421
24651
SH
DFND
2
24651
0
0
ALPHABET INC
CAP STK CL A
02079K305
7901
7500
SH
DFND
2
7500
0
0
ALPHABET INC
CAP STK CL C
02079K107
7011
6700
SH
DFND
2
6700
0
0
AMAG PHARMACEUTICALS INC
COM
00163U106
815
61500
SH
SOLE
61500
0
0
AMARIN CORP PLC
SPONS ADR NEW
023111206
343
85601
SH
DFND
1
85601
0
0
AMARIN CORP PLC
SPONS ADR NEW
023111206
4457
1111399
SH
DFND
2
1111399
0
0
AMAZON COM INC
COM
023135106
16373
14000
SH
DFND
2
14000
0
0
AMAZON COM INC
COM
023135106
3508
3000
SH
Put
DFND
2
3000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
78045
1500000
SH
Call
DFND
2
1500000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
2507
48175
SH
SOLE
48175
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
8762
168400
SH
DFND
2
168400
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
2497
17500
SH
DFND
2
17500
0
0
AMICUS THERAPEUTICS INC
COM
03152W109
369
25651
SH
DFND
1
25651
0
0
AMICUS THERAPEUTICS INC
COM
03152W109
3833
266349
SH
DFND
2
266349
0
0
ANDEAVOR LOGISTICS LP
COM UNIT LP INT
03350F106
3999
86585
SH
DFND
2
86585
0
0
ANI PHARMACEUTICALS INC
COM
00182C103
284
4400
SH
DFND
2
4400
0
0
ANSYS INC
COM
03662Q105
221
1500
SH
DFND
2
1500
0
0
ANTHEM INC
COM
036752103
524
2330
SH
DFND
1
2330
0
0
ANTHEM INC
COM
036752103
5326
23670
SH
DFND
2
23670
0
0
APPLE INC
COM
037833100
5669
33500
SH
DFND
2
33500
0
0
ARCH COAL INC
CL A
039380407
39372
422630
SH
SOLE
422630
0
0
ARCH COAL INC
CL A
039380407
1893
20318
SH
DFND
2
20318
0
0
ATENTO S A
SHS
L0427L105
3857
380000
SH
DFND
2
380000
0
0
ATLANTIC ACQUISITION CORP
COM
048206106
579
58700
SH
DFND
2
58700
0
0
AUDENTES THERAPEUTICS INC
COM
05070R104
47
1500
SH
DFND
1
1500
0
0
AUDENTES THERAPEUTICS INC
COM
05070R104
469
15000
SH
DFND
2
15000
0
0
AUTOLIV INC
COM
052800109
508
4000
SH
DFND
2
4000
0
0
AVISTA CORP
COM
05379B107
1251
24300
SH
DFND
2
24300
0
0
BANCO MACRO SA
SPON ADR B
05961W105
2592
22370
SH
DFND
2
22370
0
0
BANCO MACRO SA
SPON ADR B
05961W105
1738
15000
SH
DFND
3
15000
0
0
BANK AMER CORP
*W EXP 10/28/201
060505153
1545
721832
SH
Call
SOLE
721832
0
0
BARNES & NOBLE INC
COM
067774109
1565
233527
SH
DFND
2
233527
0
0
BARNES & NOBLE INC
COM
067774109
1973
294500
SH
DFND
3
294500
0
0
BBVA BANCO FRANCES S A
SPONSORED ADR
07329M100
2520
100000
SH
DFND
3
100000
0
0
BBVA BANCO FRANCES S A
SPONSORED ADR
07329M100
3168
125719
SH
SOLE
125719
0
0
BBVA BANCO FRANCES S A
SPONSORED ADR
07329M100
291
11540
SH
DFND
2
11540
0
0
BERRY GLOBAL GROUP INC
COM
08579W103
7156
121968
SH
DFND
2
121968
0
0
BIO RAD LABS INC
CL A
090572207
95
400
SH
DFND
1
400
0
0
BIO RAD LABS INC
CL A
090572207
955
4000
SH
DFND
2
4000
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
218
2450
SH
SOLE
2450
0
0
BLACK RIDGE ACQUISITION CORP
COM
09216T107
261
27083
SH
DFND
2
27083
0
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
346
26000
SH
DFND
4
26000
0
0
BLACKROCK INC
COM
09247X101
257
500
SH
DFND
2
500
0
0
BLUE BUFFALO PET PRODS INC
COM
09531U102
3935
120000
SH
DFND
2
120000
0
0
BLUEBIRD BIO INC
COM
09609G100
327
1837
SH
DFND
1
1837
0
0
BLUEBIRD BIO INC
COM
09609G100
2968
16663
SH
DFND
2
16663
0
0
BMC STK HLDGS INC
COM
05591B109
19702
778743
SH
SOLE
778743
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
17370
1345502
SH
DFND
2
1345502
0
0
BROADCOM LTD
SHS
Y09827109
9248
36000
SH
DFND
2
36000
0
0
BROOKDALE SR LIVING INC
COM
112463104
598
61625
SH
DFND
2
61625
0
0
BROOKDALE SR LIVING INC
COM
112463104
550
56700
SH
DFND
3
56700
0
0
C&J ENERGY SVCS INC NEW
COM
12674R100
8036
240100
SH
DFND
2
240100
0
0
CALPINE CORP
COM NEW
131347304
424
28040
SH
DFND
2
28040
0
0
CANNAE HLDGS INC
COM
13765N107
325
19070
SH
DFND
2
19070
0
0
CATHAY GEN BANCORP
COM
149150104
548
13000
SH
DFND
2
13000
0
0
CBOE GLOBAL MARKETS INC
COM
12503M108
5762
46250
SH
DFND
2
46250
0
0
CDK GLOBAL INC
COM
12508E101
19327
271143
SH
DFND
2
271143
0
0
CDK GLOBAL INC
COM
12508E101
59
833
SH
DFND
3
833
0
0
CDN IMPERIAL BK COMM TORONTO
COM
136069101
301
3094
SH
DFND
2
3094
0
0
CERNER CORP
COM
156782104
108
1600
SH
DFND
1
1600
0
0
CERNER CORP
COM
156782104
1078
16000
SH
DFND
2
16000
0
0
CHARLES RIV LABS INTL INC
COM
159864107
283
2582
SH
DFND
2
2582
0
0
CIT GROUP INC
COM NEW
125581801
23976
487028
SH
DFND
2
487028
0
0
CIT GROUP INC
COM NEW
125581801
3298
67000
SH
SOLE
67000
0
0
CITIGROUP INC
COM NEW
172967424
5891
79170
SH
DFND
3
79170
0
0
CITIGROUP INC
COM NEW
172967424
86688
1165000
SH
Call
DFND
3
1165000
0
0
CME GROUP INC
COM CL A
12572Q105
11582
79300
SH
DFND
2
79300
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
7706
108500
SH
DFND
2
108500
0
0
COHERUS BIOSCIENCES INC
COM
19249H103
975
110825
SH
DFND
2
110825
0
0
COHERUS BIOSCIENCES INC
COM
19249H103
3357
381505
SH
SOLE
381505
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
1087
58888
SH
DFND
3
58888
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
2097
113600
SH
SOLE
113600
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
7376
399552
SH
DFND
2
399552
0
0
COLLEGIUM PHARMACEUTICAL INC
COM
19459J104
133
7194
SH
DFND
1
7194
0
0
COLUMBIA SPORTSWEAR CO
COM
198516106
288
4000
SH
DFND
2
4000
0
0
COMCAST CORP NEW
CL A
20030N101
7388
184470
SH
DFND
2
184470
0
0
COMMUNITY HEALTH SYS INC NEW
COM
203668108
2186
513100
SH
DFND
2
513100
0
0
CONSOLIDATED TOMOKA LD CO
COM
210226106
319
5027
SH
DFND
3
5027
0
0
CONSTELLATION ALPHA CAP CORP
SHS
G2379F108
474
48600
SH
DFND
2
48600
0
0
CONTINENTAL RESOURCES INC
COM
212015101
2384
45000
SH
DFND
2
45000
0
0
CORELOGIC INC
COM
21871D103
446
9650
SH
DFND
2
9650
0
0
CORNING INC
COM
219350105
6270
196000
SH
DFND
2
196000
0
0
CORNING INC
COM
219350105
7898
246875
SH
SOLE
246875
0
0
COSTCO WHSL CORP NEW
COM
22160K105
1210
6500
SH
DFND
2
6500
0
0
COSTCO WHSL CORP NEW
COM
22160K105
918
4930
SH
DFND
3
4930
0
0
COUPA SOFTWARE INC
COM
22266L106
3122
100000
SH
DFND
2
100000
0
0
CRESTWOOD EQUITY PARTNERS LP
UNIT LTD PARTNER
226344208
802
31078
SH
DFND
2
31078
0
0
CRESUD S A C I F Y A
SPONSORED ADR
226406106
614
27800
SH
DFND
3
27800
0
0
CSRA INC
COM
12650T104
571
19100
SH
DFND
2
19100
0
0
CSRA INC
COM
12650T104
972
32500
SH
DFND
3
32500
0
0
CYRUSONE INC
COM
23283R100
12591
211500
SH
DFND
2
211500
0
0
DENTSPLY SIRONA INC
COM
24906P109
230
3500
SH
DFND
2
3500
0
0
DESPEGAR COM CORP
ORD SHS
G27358103
27
1000
SH
DFND
2
1000
0
0
DESPEGAR COM CORP
ORD SHS
G27358103
55
2000
SH
DFND
3
2000
0
0
DESPEGAR COM CORP
ORD SHS
G27358103
412
15000
SH
SOLE
15000
0
0
DISCOVERY COMMUNICATNS NEW
COM SER C
25470F302
1059
50000
SH
DFND
2
50000
0
0
DISCOVERY COMMUNICATNS NEW
COM SER C
25470F302
2034
96100
SH
Call
DFND
2
96100
0
0
DISNEY WALT CO
COM DISNEY
254687106
323
3000
SH
DFND
2
3000
0
0
DIVIDEND & INCOME FUND
COM NEW
25538A204
163
12116
SH
DFND
3
12116
0
0
DR PEPPER SNAPPLE GROUP INC
COM
26138E109
442
4550
SH
DFND
2
4550
0
0
DRIL-QUIP INC
COM
262037104
306
6420
SH
DFND
2
6420
0
0
DYNAGAS LNG PARTNERS LP
COM UNIT LTD PT
Y2188B108
575
52925
SH
DFND
2
52925
0
0
DYNEGY INC NEW DEL
COM
26817R108
1371
115700
SH
DFND
3
115700
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
9906
199841
SH
DFND
2
199841
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
300
22000
SH
DFND
4
22000
0
0
ECOLAB INC
COM
278865100
671
5000
SH
DFND
2
5000
0
0
EGALET CORP
COM
28226B104
120
119520
SH
DFND
2
119520
0
0
EMPRESA DIST Y COMERCIAL NOR
SPON ADR
29244A102
524
10550
SH
DFND
2
10550
0
0
EMPRESA DIST Y COMERCIAL NOR
SPON ADR
29244A102
999
20100
SH
SOLE
20100
0
0
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
23095
1338085
SH
DFND
2
1338085
0
0
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
29278N103
17057
951816
SH
DFND
2
951816
0
0
ENERGY TRANSFER PARTNERS LP
UNIT LTD PRT INT
29278N103
1935
108000
SH
DFND
3
108000
0
0
ENLINK MIDSTREAM LLC
COM UNIT REP LTD
29336T100
765
43479
SH
DFND
2
43479
0
0
ENLINK MIDSTREAM PARTNERS LP
COM UNIT REP LTD
29336U107
1854
120611
SH
DFND
2
120611
0
0
ENLINK MIDSTREAM PARTNERS LP
COM UNIT REP LTD
29336U107
2020
131400
SH
DFND
3
131400
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
42923
1619113
SH
DFND
2
1619113
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
4109
155000
SH
DFND
3
155000
0
0
ENVISION HEALTHCARE CORP
COM
29414D100
292
8442
SH
DFND
1
8442
0
0
ENVISION HEALTHCARE CORP
COM
29414D100
2646
76558
SH
DFND
2
76558
0
0
ENZYMOTEC LTD
SHS
M4059L101
1291
108941
SH
DFND
2
108941
0
0
EOG RES INC
COM
26875P101
324
3000
SH
DFND
2
3000
0
0
EPAM SYS INC
COM
29414B104
8809
82000
SH
DFND
2
82000
0
0
EQT CORP
COM
26884L109
3954
69468
SH
DFND
2
69468
0
0
EQT MIDSTREAM PARTNERS LP
UNIT LTD PARTN
26885B100
1881
25727
SH
DFND
2
25727
0
0
EXXON MOBIL CORP
COM
30231G102
335
4000
SH
DFND
2
4000
0
0
F M C CORP
COM NEW
302491303
16707
176500
SH
DFND
2
176500
0
0
FACEBOOK INC
CL A
30303M102
20893
118400
SH
DFND
2
118400
0
0
FACEBOOK INC
CL A
30303M102
10588
60000
SH
Put
DFND
2
60000
0
0
FASTENAL CO
COM
311900104
273
5000
SH
DFND
2
5000
0
0
FGL HLDGS
ORD SHS
G3402M102
11984
1190100
SH
DFND
2
1190100
0
0
FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
436
11110
SH
DFND
2
11110
0
0
FINISH LINE INC
CL A
317923100
1524
104900
SH
DFND
2
104900
0
0
FINISH LINE INC
CL A
317923100
4483
308500
SH
DFND
3
308500
0
0
FLIR SYS INC
COM
302445101
5221
112000
SH
DFND
2
112000
0
0
FNB BANCORP CALIF
COM
302515101
409
11208
SH
DFND
2
11208
0
0
FOREST CITY RLTY TR INC
COM CL A
345605109
978
40575
SH
DFND
2
40575
0
0
FORTINET INC
COM
34959E109
9863
225750
SH
DFND
2
225750
0
0
FORTINET INC
COM
34959E109
31359
717755
SH
SOLE
717755
0
0
FORTINET INC
COM
34959E109
15095
345500
SH
DFND
3
345500
0
0
FORUM MERGER CORP
COM CL A
34985B103
387
38800
SH
DFND
2
38800
0
0
FRANCESCAS HLDGS CORP
COM
351793104
428
58500
SH
DFND
2
58500
0
0
GENESCO INC
COM
371532102
710
21850
SH
DFND
2
21850
0
0
GENTHERM INC
COM
37253A103
260
8200
SH
DFND
2
8200
0
0
GLOBAL BLOOD THERAPEUTICS IN
COM
37890U108
51
1300
SH
DFND
1
1300
0
0
GLOBAL BLOOD THERAPEUTICS IN
COM
37890U108
484
12300
SH
DFND
2
12300
0
0
GLOBAL X FDS
GLB X MLP ENRG I
37950E226
2115
155600
SH
DFND
3
155600
0
0
GRAY TELEVISION INC
CL A
389375205
150
10436
SH
DFND
3
10436
0
0
GRUPO FINANCIERO GALICIA S A
SP ADR 10 SH B
399909100
1434
21773
SH
SOLE
21773
0
0
GRUPO FINANCIERO GALICIA S A
SP ADR 10 SH B
399909100
1385
21029
SH
DFND
2
21029
0
0
GRUPO SUPERVIELLE S A
SPONSORED ADR
40054A108
9304
317327
SH
DFND
2
317327
0
0
GRUPO SUPERVIELLE S A
SPONSORED ADR
40054A108
2245
76558
SH
SOLE
76558
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
212
5000
SH
DFND
2
5000
0
0
HARDINGE INC
COM
412324303
573
32900
SH
DFND
2
32900
0
0
HAWAIIAN HOLDINGS INC
COM
419879101
11477
288000
SH
SOLE
288000
0
0
HAWAIIAN TELCOM HOLDCO INC
COM
420031106
943
30567
SH
DFND
2
30567
0
0
HAYMAKER ACQUISITION
UNIT 10/19/2022
420870206
594
60000
SH
DFND
2
60000
0
0
HENNESSY CAP ACQUSTON CORP I
COM
42588L105
516
52700
SH
DFND
2
52700
0
0
HERON THERAPEUTICS INC
COM
427746102
6044
333932
SH
DFND
2
333932
0
0
HERON THERAPEUTICS INC
COM
427746102
21000
1160243
SH
SOLE
1160243
0
0
HIGHLAND FLOATNG RATE OPPRT
SHS BEN INT
43010E404
1007
64998
SH
SOLE
64998
0
0
HORMEL FOODS CORP
COM
440452100
291
8000
SH
DFND
2
8000
0
0
HP INC
COM
40434L105
210
10000
SH
DFND
2
10000
0
0
HSN INC
COM
404303109
1830
45353
SH
DFND
2
45353
0
0
HUMANA INC
COM
444859102
861
3472
SH
DFND
1
3472
0
0
HUMANA INC
COM
444859102
7523
30328
SH
DFND
2
30328
0
0
ILG INC
COM
44967H101
5540
194540
SH
DFND
2
194540
0
0
IMMUNOMEDICS INC
COM
452907108
110
6779
SH
DFND
1
6779
0
0
IMMUNOMEDICS INC
COM
452907108
1022
63221
SH
DFND
2
63221
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
18398
1823405
SH
DFND
2
1823405
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
3488
345727
SH
DFND
3
345727
0
0
INDEPENDENCE RLTY TR INC
COM
45378A106
2979
295274
SH
SOLE
295274
0
0
INDUSTREA ACQUISITION CORP
CL A
45579J104
98
10000
SH
DFND
2
10000
0
0
INDUSTREA ACQUISITION CORP
UNIT 07/21/2024
45579J203
402
40000
SH
DFND
2
40000
0
0
INTEL CORP
COM
458140100
346
7500
SH
DFND
2
7500
0
0
INTERFACE INC
COM
458665304
377
15000
SH
DFND
2
15000
0
0
INTERSECT ENT INC
COM
46071F103
215
6650
SH
DFND
2
6650
0
0
INTERXION HOLDING N.V
SHS
N47279109
324
5495
SH
DFND
3
5495
0
0
INTUIT
COM
461202103
5680
36000
SH
DFND
2
36000
0
0
IRSA PROPIEDADES COMERCIALES
SPONSORED ADR
463588103
365
6453
SH
DFND
2
6453
0
0
IRSA PROPIEDADES COMERCIALES
SPONSORED ADR
463588103
59
1047
SH
DFND
3
1047
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
32031
300000
SH
Put
DFND
2
300000
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
1215
15000
SH
Put
DFND
2
15000
0
0
JENSYN ACQUISITION CORP
COM
47632B102
960
93225
SH
DFND
2
93225
0
0
JERNIGAN CAP INC
COM
476405105
3942
207379
SH
DFND
2
207379
0
0
JERNIGAN CAP INC
COM
476405105
2691
141553
SH
DFND
3
141553
0
0
JETBLUE AIRWAYS CORP
COM
477143101
313
14000
SH
DFND
2
14000
0
0
JOHNSON & JOHNSON
COM
478160104
489
3500
SH
DFND
2
3500
0
0
JONES LANG LASALLE INC
COM
48020Q107
298
2000
SH
DFND
2
2000
0
0
K12 INC
COM
48273U102
1090
68532
SH
DFND
3
68532
0
0
K12 INC
COM
48273U102
14071
884948
SH
DFND
2
884948
0
0
K2M GROUP HLDGS INC
COM
48273J107
360
20000
SH
DFND
2
20000
0
0
KADMON HLDGS INC
COM
48283N106
159
43831
SH
DFND
2
43831
0
0
KAYNE ANDERSON ACQUISITION
COM CL A
48661U102
382
39300
SH
DFND
2
39300
0
0
KAYNE ANDERSON ACQUISITION
UNIT 06/30/2022
48661U201
100
10000
SH
DFND
2
10000
0
0
KBL MERGER CORP IV
COM
48242A104
194
20000
SH
DFND
2
20000
0
0
KINDER MORGAN INC DEL
COM
49456B101
9064
501624
SH
DFND
2
501624
0
0
KRAFT HEINZ CO
COM
500754106
5241
67400
SH
DFND
2
67400
0
0
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
479
3000
SH
DFND
2
3000
0
0
LEGACY ACQUISITION CORP
UNIT 05/31/2024
524643202
746
75000
SH
DFND
2
75000
0
0
LENNAR CORP
CL A
526057104
2207
34900
SH
DFND
2
34900
0
0
LHC GROUP INC
COM
50187A107
4228
69025
SH
DFND
2
69025
0
0
LHC GROUP INC
COM
50187A107
337
5500
SH
DFND
1
5500
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
1557
46000
SH
DFND
2
46000
0
0
LIFEPOINT HEALTH INC
COM
53219L109
443
8900
SH
DFND
2
8900
0
0
LKQ CORP
COM
501889208
288
7075
SH
DFND
2
7075
0
0
LOGMEIN INC
COM
54142L109
11565
101000
SH
DFND
2
101000
0
0
LOMA NEGRA CORP
SPONSORED ADS
54150E104
601
26100
SH
DFND
2
26100
0
0
LOMA NEGRA CORP
SPONSORED ADS
54150E104
3283
142500
SH
DFND
3
142500
0
0
LOMA NEGRA CORP
SPONSORED ADS
54150E104
864
37500
SH
SOLE
37500
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
86809
1970691
SH
SOLE
1970691
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
3433
77945
SH
DFND
2
77945
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
604
13722
SH
DFND
3
13722
0
0
LOWES COS INC
COM
548661107
4647
50000
SH
DFND
2
50000
0
0
LPL FINL HLDGS INC
COM
50212V100
9971
174500
SH
DFND
2
174500
0
0
LUXFER HOLDINGS PLC
SHS
G5698W116
444
28100
SH
DFND
2
28100
0
0
M III ACQUISITION CORP
COM
55378T104
248
25000
SH
DFND
2
25000
0
0
MACERICH CO
COM
554382101
608
9250
SH
DFND
3
9250
0
0
MAGICJACK VOCALTEC LTD
SHS
M6787E101
1352
160000
SH
DFND
2
160000
0
0
MARINUS PHARMACEUTICALS INC
COM
56854Q101
93
11420
SH
DFND
1
11420
0
0
MARINUS PHARMACEUTICALS INC
COM
56854Q101
862
105605
SH
DFND
2
105605
0
0
MASCO CORP
COM
574599106
330
7500
SH
DFND
2
7500
0
0
MATSON INC
COM
57686G105
237
7950
SH
DFND
2
7950
0
0
MEDICINOVA INC
COM NEW
58468P206
105
16272
SH
SOLE
16272
0
0
MEDNAX INC
COM
58502B106
323
6045
SH
DFND
2
6045
0
0
MERCADOLIBRE INC
COM
58733R102
5056
16069
SH
DFND
2
16069
0
0
MICRON TECHNOLOGY INC
COM
595112103
7525
183000
SH
DFND
2
183000
0
0
MICROSOFT CORP
COM
594918104
15813
184858
SH
DFND
2
184858
0
0
MIMEDX GROUP INC
COM
602496101
815
64600
SH
DFND
2
64600
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
326
53847
SH
DFND
1
53847
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
12378
2045907
SH
DFND
2
2045907
0
0
MINERVA NEUROSCIENCES INC
COM
603380106
368
60790
SH
SOLE
60790
0
0
MODERN MEDIA ACQUISITION
COM
60765P103
471
48100
SH
DFND
2
48100
0
0
MOLINA HEALTHCARE INC
COM
60855R100
630
8220
SH
DFND
2
8220
0
0
MONSANTO CO NEW
COM
61166W101
2114
18100
SH
DFND
2
18100
0
0
MPLX LP
COM UNIT REP LTD
55336V100
29137
821441
SH
DFND
2
821441
0
0
NATIONAL ENERGY SERVICES REU
SHS
G6375R107
103
10304
SH
DFND
2
10304
0
0
NEKTAR THERAPEUTICS
COM
640268108
260
4350
SH
DFND
2
4350
0
0
NETSHOES CAYMAN LTD
COM
G6455X107
79
10000
SH
DFND
2
10000
0
0
NEWMARK GROUP INC
CL A
65158N102
4929
310000
SH
DFND
2
310000
0
0
NEXPOINT CR STRATEGIES FD
COM NEW
65340G205
50
1992
SH
DFND
2
1992
0
0
NEXPOINT CR STRATEGIES FD
COM NEW
65340G205
17
664
SH
DFND
3
664
0
0
NEXPOINT CR STRATEGIES FD
COM NEW
65340G205
49268
953717
SH
SOLE
953717
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
1537
55010
SH
DFND
2
55010
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
549
19662
SH
DFND
3
19662
0
0
NEXPOINT RESIDENTIAL TR INC
COM
65341D102
55088
2140803
SH
SOLE
2140803
0
0
NEXTDECADE CORP
COM
65342K105
250
30000
SH
DFND
2
30000
0
0
NEXTDECADE CORP
COM
65342K105
17135
2059555
SH
DFND
3
2059555
0
0
NGL ENERGY PARTNERS LP
COM UNIT REPST
62913M107
1620
115297
SH
DFND
2
115297
0
0
NRG ENERGY INC
COM NEW
629377508
25
862
SH
SOLE
862
0
0
NRG ENERGY INC
COM NEW
629377508
304
10675
SH
DFND
2
10675
0
0
NRG ENERGY INC
COM NEW
629377508
484
17000
SH
DFND
4
17000
0
0
NUTANIX INC
CL A
67059N108
4410
125000
SH
DFND
2
125000
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
9354
79885
SH
DFND
2
79885
0
0
OAKTREE SPECIALTY LENDING CO
COM
67401P108
279
57120
SH
DFND
2
57120
0
0
OIL STS INTL INC
COM
678026105
301
10650
SH
DFND
2
10650
0
0
OSPREY ENERGY ACQUISITION CO
CL A COM
688397108
470
49000
SH
DFND
2
49000
0
0
OTONOMY INC
COM
68906L105
21
3850
SH
DFND
1
3850
0
0
OTONOMY INC
COM
68906L105
201
36150
SH
DFND
2
36150
0
0
OXFORD INDS INC
COM
691497309
451
6000
SH
DFND
2
6000
0
0
PALO ALTO NETWORKS INC
COM
697435105
3826
26400
SH
DFND
2
26400
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
3801
56500
SH
DFND
2
56500
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
1124
16700
SH
DFND
3
16700
0
0
PAMPA ENERGIA S A
SPONS ADR LVL I
697660207
4449
66130
SH
SOLE
66130
0
0
PARATEK PHARMACEUTICALS INC
COM
699374302
100
5600
SH
DFND
2
5600
0
0
PARATEK PHARMACEUTICALS INC
COM
699374302
3979
222300
SH
SOLE
222300
0
0
PARKER HANNIFIN CORP
COM
701094104
8584
43010
SH
DFND
2
43010
0
0
PATTERSON COMPANIES INC
COM
703395103
22099
611660
SH
DFND
2
611660
0
0
PATTERSON COMPANIES INC
COM
703395103
1788
49500
SH
DFND
3
49500
0
0
PATTERSON COMPANIES INC
COM
703395103
11058
306050
SH
SOLE
306050
0
0
PEPSICO INC
COM
713448108
3598
30000
SH
DFND
2
30000
0
0
PFIZER INC
COM
717081103
217
6000
SH
DFND
1
6000
0
0
PHILLIPS 66
COM
718546104
202
2000
SH
DFND
2
2000
0
0
PHILLIPS 66 PARTNERS LP
COM UNIT REP INT
718549207
1099
21000
SH
DFND
2
21000
0
0
PINNACLE FOODS INC DEL
COM
72348P104
5827
97978
SH
DFND
2
97978
0
0
PIONEER NAT RES CO
COM
723787107
7665
44343
SH
DFND
2
44343
0
0
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
365
17671
SH
DFND
2
17671
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
15026
684558
SH
DFND
2
684558
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
1879
85600
SH
DFND
3
85600
0
0
PNC FINL SVCS GROUP INC
COM
693475105
10533
73000
SH
DFND
2
73000
0
0
POOL CORPORATION
COM
73278L105
6897
53200
SH
DFND
2
53200
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
1667
34250
SH
DFND
2
34250
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
8214
168740
SH
DFND
3
168740
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
11757
241523
SH
SOLE
241523
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
9346
60000
SH
Put
DFND
2
60000
0
0
PRA HEALTH SCIENCES INC
COM
69354M108
388
4255
SH
DFND
2
4255
0
0
PROOFPOINT INC
COM
743424103
5151
58000
SH
DFND
2
58000
0
0
PUMA BIOTECHNOLOGY INC
COM
74587V107
59
600
SH
Call
DFND
1
600
0
0
PUMA BIOTECHNOLOGY INC
COM
74587V107
583
5900
SH
Call
DFND
2
5900
0
0
QUAKER CHEM CORP
COM
747316107
332
2205
SH
DFND
2
2205
0
0
QUORUM HEALTH CORP
COM
74909E106
2184
350000
SH
DFND
3
350000
0
0
QUORUM HEALTH CORP
COM
74909E106
8234
1319501
SH
DFND
2
1319501
0
0
QUORUM HEALTH CORP
COM
74909E106
331
53008
SH
DFND
1
53008
0
0
RADIUS HEALTH INC
COM NEW
750469207
76
2400
SH
DFND
1
2400
0
0
RADIUS HEALTH INC
COM NEW
750469207
591
18600
SH
DFND
2
18600
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
1062
2833250
SH
DFND
2
2833250
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
44
117040
SH
DFND
3
117040
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
653
1741521
SH
SOLE
1741521
0
0
RAYMOND JAMES FINANCIAL INC
COM
754730109
342
3835
SH
DFND
2
3835
0
0
REALPAGE INC
COM
75606N109
6025
136000
SH
DFND
2
136000
0
0
RESOURCES CONNECTION INC
COM
76122Q105
309
20000
SH
DFND
2
20000
0
0
RLJ LODGING TR
COM
74965L101
314
14300
SH
DFND
2
14300
0
0
RSP PERMIAN INC
COM
74978Q105
5817
143000
SH
DFND
2
143000
0
0
S&P GLOBAL INC
COM
78409V104
7623
45000
SH
DFND
2
45000
0
0
SABRE CORP
COM
78573M104
4920
240000
SH
DFND
2
240000
0
0
SAGE THERAPEUTICS INC
COM
78667J108
225
1368
SH
DFND
1
1368
0
0
SAGE THERAPEUTICS INC
COM
78667J108
2081
12632
SH
DFND
2
12632
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
873
17000
SH
DFND
2
17000
0
0
SCIENCE APPLICATNS INTL CP N
COM
808625107
517
6750
SH
DFND
2
6750
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
2168
30000
SH
Put
DFND
2
30000
0
0
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369Y407
4935
50000
SH
Put
DFND
2
50000
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
3982
70000
SH
Put
DFND
2
70000
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
8268
100000
SH
Call
DFND
2
100000
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
13229
160000
SH
Put
DFND
2
160000
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
3907
140000
SH
Put
DFND
2
140000
0
0
SELECT SECTOR SPDR TR
SBI INT-INDS
81369Y704
4540
60000
SH
Put
DFND
2
60000
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
1317
25000
SH
Put
DFND
2
25000
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
1279
20000
SH
Put
DFND
2
20000
0
0
SEMGROUP CORP
CL A
81663A105
14299
473464
SH
DFND
2
473464
0
0
SEMTECH CORP
COM
816850101
484
14150
SH
DFND
2
14150
0
0
SENSIENT TECHNOLOGIES CORP
COM
81725T100
483
6600
SH
DFND
2
6600
0
0
SHELL MIDSTREAM PARTNERS L P
UNIT LTD INT
822634101
3292
110392
SH
DFND
2
110392
0
0
SHIRE PLC
SPONSORED ADR
82481R106
534
3445
SH
DFND
1
3445
0
0
SHIRE PLC
SPONSORED ADR
82481R106
5634
36320
SH
DFND
2
36320
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
7013
185275
SH
DFND
2
185275
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
1117
29500
SH
DFND
3
29500
0
0
SM ENERGY CO
COM
78454L100
352
15920
SH
DFND
2
15920
0
0
SONIC CORP
COM
835451105
559
20350
SH
DFND
2
20350
0
0
SPARTANNASH CO
COM
847215100
491
18400
SH
DFND
2
18400
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
26686
100000
SH
Put
DFND
2
100000
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
4244
50000
SH
Put
DFND
2
50000
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
881
102669
SH
DFND
2
102669
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
5447
634900
SH
DFND
3
634900
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
15736
1834020
SH
SOLE
1834020
0
0
SS&C TECHNOLOGIES HLDGS INC
COM
78467J100
680
16800
SH
DFND
2
16800
0
0
STATE STR CORP
COM
857477103
3221
33000
SH
DFND
2
33000
0
0
STEADYMED LTD
SHS
M84920103
231
62500
SH
DFND
2
62500
0
0
STEADYMED LTD
SHS
M84920103
231
62500
SH
DFND
3
62500
0
0
STELLAR ACQUISITION III INC
COM
Y8172W107
389
38090
SH
DFND
2
38090
0
0
SUBURBAN PROPANE PARTNERS L
UNIT LTD PARTN
864482104
704
29059
SH
DFND
2
29059
0
0
SUN BANCORP INC
COM NEW
86663B201
1230
50605
SH
DFND
2
50605
0
0
SUNOCO LP
COM U REP LP
86765K109
794
27970
SH
DFND
2
27970
0
0
SURGERY PARTNERS INC
COM
86881A100
265
21888
SH
DFND
1
21888
0
0
SURGERY PARTNERS INC
COM
86881A100
3886
321136
SH
DFND
2
321136
0
0
SYSCO CORP
COM
871829107
304
5000
SH
DFND
2
5000
0
0
TARGA RES CORP
COM
87612G101
27319
564201
SH
DFND
2
564201
0
0
TARGA RES CORP
COM
87612G101
1121
23150
SH
DFND
3
23150
0
0
TAUBMAN CTRS INC
COM
876664103
695
10625
SH
DFND
3
10625
0
0
TD AMERITRADE HLDG CORP
COM
87236Y108
409
8000
SH
DFND
2
8000
0
0
TELEDYNE TECHNOLOGIES INC
COM
879360105
349
1925
SH
DFND
2
1925
0
0
TERADATA CORP DEL
COM
88076W103
663
17240
SH
DFND
2
17240
0
0
TERNIUM SA
SPON ADR
880890108
948
30000
SH
SOLE
30000
0
0
TERNIUM SA
SPON ADR
880890108
506
16020
SH
DFND
2
16020
0
0
TRACTOR SUPPLY CO
COM
892356106
613
8195
SH
DFND
2
8195
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
1412
63500
SH
DFND
3
63500
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
3621
162909
SH
SOLE
162909
0
0
TRANSPORTADORA DE GAS SUR
SPON ADR B
893870204
1086
48845
SH
DFND
2
48845
0
0
TRIBUNE MEDIA CO
CL A
896047503
943
22201
SH
DFND
2
22201
0
0
TRINITY INDS INC
COM
896522109
5788
154500
SH
DFND
2
154500
0
0
TWITTER INC
COM
90184L102
12663
527398
SH
DFND
2
527398
0
0
TWITTER INC
COM
90184L102
26080
1086200
SH
DFND
3
1086200
0
0
TWITTER INC
COM
90184L102
27039
1126150
SH
SOLE
1126150
0
0
ULTRAGENYX PHARMACEUTICAL IN
COM
90400D108
1264
27255
SH
DFND
2
27255
0
0
UMPQUA HLDGS CORP
COM
904214103
416
20000
SH
DFND
2
20000
0
0
UNITED RENTALS INC
COM
911363109
7306
42500
SH
DFND
2
42500
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
3712
29100
SH
Put
DFND
2
29100
0
0
UNITI GROUP INC
COM
91325V108
105
5900
SH
SOLE
5900
0
0
UNITI GROUP INC
COM
91325V108
587
32968
SH
DFND
3
32968
0
0
VANTAGE ENERGY ACQUISITION
COM CL A
92211L105
402
41325
SH
DFND
2
41325
0
0
VERACYTE INC
COM
92337F107
163
25000
SH
DFND
2
25000
0
0
VERTEX PHARMACEUTICALS INC
COM
92532F100
225
1500
SH
DFND
2
1500
0
0
VISA INC
COM CL A
92826C839
27146
238084
SH
DFND
2
238084
0
0
VISTRA ENERGY CORP
COM
92840M102
171454
9358855
SH
DFND
2
9358855
0
0
VISTRA ENERGY CORP
COM
92840M102
27913
1523642
SH
DFND
3
1523642
0
0
VISTRA ENERGY CORP
COM
92840M102
951
51910
SH
DFND
4
51910
0
0
VISTRA ENERGY CORP
COM
92840M102
67548
3687127
SH
SOLE
3687127
0
0
WALTER INVT MGMT CORP
COM
93317W102
464
550000
SH
DFND
2
550000
0
0
WARRIOR MET COAL INC
COM
93627C101
3916
155706
SH
SOLE
155706
0
0
WARRIOR MET COAL INC
COM
93627C101
89
3556
SH
DFND
5
3556
0
0
WESTERN GAS EQUITY PARTNERS
COMUNT LTD PT
95825R103
12528
337138
SH
DFND
2
337138
0
0
WILLIAMS COS INC DEL
COM
969457100
1085
35600
SH
DFND
3
35600
0
0
WILLIAMS COS INC DEL
COM
969457100
24234
794819
SH
DFND
2
794819
0
0
WILLIAMS PARTNERS L P NEW
COM UNIT LTD PAR
96949L105
10200
263031
SH
DFND
2
263031
0
0
WILLIAMS PARTNERS L P NEW
COM UNIT LTD PAR
96949L105
1066
27500
SH
DFND
3
27500
0
0
WMIH CORP
COM
92936P100
9
10310
SH
SOLE
10310
0
0
WRIGHT MED GROUP N V
RIGHT 03/01/2019
N96617126
105
69326
SH
DFND
2
69326
0
0
XPO LOGISTICS INC
COM
983793100
17938
195849
SH
DFND
2
195849
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
545
23800
SH
DFND
3
23800
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
6410
279800
SH
SOLE
279800
0
0
ZEBRA TECHNOLOGIES CORP
CL A
989207105
352
3390
SH
DFND
2
3390
0
0
ZOGENIX INC
COM NEW
98978L204
2894
72271
SH
DFND
2
72271
0
0
ZOGENIX INC
COM NEW
98978L204
310
7729
SH
DFND
1
7729
0
0