The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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 |
ACCELERON PHARMA INC | COM | 00434H108 | 36,084 | 1,193,258 | SH | DFND | 1,193,258 | 0 | 0 | ||
ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | 24,997 | 2,504,677 | SH | DFND | 2,504,677 | 0 | 0 | ||
ADECOAGRO S A | COM | L00849106 | 1,063 | 120,800 | SH | DFND | 120,800 | 0 | 0 | ||
AGENUS INC | COM NEW | 00847G705 | 27,648 | 9,259,260 | SH | DFND | 9,259,260 | 0 | 0 | ||
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 8,350 | 136,100 | SH | DFND | 136,100 | 0 | 0 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 31,098 | 350,000 | SH | DFND | 350,000 | 0 | 0 | ||
ALLY FINL INC | COM | 02005N100 | 17,326 | 760,375 | SH | DFND | 760,375 | 0 | 0 | ||
ALTISOURCE PORTFOLIO SOLNS S | REG SHS | L0175J104 | 31,666 | 314,148 | SH | DFND | 314,148 | 0 | 0 | ||
ALTISOURCE PORTFOLIO SOLNS S | REG SHS | L0175J104 | 27,216 | 270,000 | SH | Put | DFND | 270,000 | 0 | 0 | |
ANACOR PHARMACEUTICALS INC | COM | 032420101 | 15,191 | 620,803 | SH | DFND | 620,803 | 0 | 0 | ||
ARM HLDGS PLC | SPONSORED ADR | 042068106 | 9,616 | 220,100 | SH | Put | DFND | 220,100 | 0 | 0 | |
ARMSTRONG WORLD INDS INC NEW | COM | 04247X102 | 21,257 | 379,585 | SH | DFND | 379,585 | 0 | 0 | ||
ARRAY BIOPHARMA INC | COM | 04269X105 | 8,537 | 2,391,200 | SH | DFND | 2,391,200 | 0 | 0 | ||
ARRAY BIOPHARMA INC | NOTE 3.000% 6/0 | 04269XAA3 | 8,025 | 9,000,000 | PRN | DFND | 9,000,000 | 0 | 0 | ||
ARROWHEAD RESH CORP | COM NEW | 042797209 | 26,816 | 1,866,782 | SH | DFND | 1,866,782 | 0 | 0 | ||
AVALANCHE BIOTECHNOLOGIES IN | COM | 05337G107 | 4,103 | 120,000 | SH | DFND | 120,000 | 0 | 0 | ||
BIOCRYST PHARMACEUTICALS | COM | 09058V103 | 7,098 | 725,734 | SH | DFND | 725,734 | 0 | 0 | ||
BLUEBIRD BIO INC | COM | 09609G100 | 13,154 | 366,600 | SH | DFND | 366,600 | 0 | 0 | ||
BRF SA | SPONSORED ADR | 10552T107 | 19,211 | 807,520 | SH | DFND | 807,520 | 0 | 0 | ||
CAPITAL ONE FINL CORP | COM | 14040H105 | 40,154 | 491,965 | SH | DFND | 491,965 | 0 | 0 | ||
CHINA ZENIX AUTO INTL LTD | ADS | 16951E104 | 8,343 | 6,074,805 | SH | DFND | 6,074,805 | 0 | 0 | ||
CONNS INC | COM | 208242107 | 33,536 | 1,107,895 | SH | DFND | 1,107,895 | 0 | 0 | ||
CUBIST PHARMACEUTICALS INC | RIGHT 99/99/9999 | 229678123 | 61 | 572,366 | SH | DFND | 572,366 | 0 | 0 | ||
CYTRX CORP | COM PAR $.001 | 232828509 | 11,256 | 4,431,400 | SH | DFND | 4,431,400 | 0 | 0 | ||
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 24,070 | 3,907,497 | SH | DFND | 3,907,497 | 0 | 0 | ||
DYAX CORP | COM | 26746E103 | 16,762 | 1,656,300 | SH | DFND | 1,656,300 | 0 | 0 | ||
E TRADE FINANCIAL CORP | NOTE 8/3 | 269246AZ7 | 57,270 | 26,214,000 | PRN | DFND | 26,214,000 | 0 | 0 | ||
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 8,245 | 365,000 | SH | Call | DFND | 365,000 | 0 | 0 | |
EBAY INC | COM | 278642103 | 57,941 | 1,023,152 | SH | DFND | 1,023,152 | 0 | 0 | ||
EBAY INC | COM | 278642103 | 7,073 | 124,900 | SH | Call | DFND | 124,900 | 0 | 0 | |
ELONG INC | SPONSORED ADR | 290138205 | 3,142 | 152,689 | SH | DFND | 152,689 | 0 | 0 | ||
ENDO HEALTH SOLUTIONS INC | NOTE 1.750% 4/1 | 29264FAB2 | 23,472 | 10,000,000 | PRN | DFND | 10,000,000 | 0 | 0 | ||
EPIZYME INC | COM | 29428V104 | 27,370 | 1,009,600 | SH | DFND | 1,009,600 | 0 | 0 | ||
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 30,852 | 1,200,000 | SH | DFND | 1,200,000 | 0 | 0 | ||
FIRST SOLAR INC | COM | 336433107 | 6,581 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 7,574 | 645,705 | SH | DFND | 645,705 | 0 | 0 | ||
GREEN DOT CORP | CL A | 39304D102 | 30,097 | 1,423,697 | SH | DFND | 1,423,697 | 0 | 0 | ||
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 36,906 | 4,055,590 | SH | DFND | 4,055,590 | 0 | 0 | ||
HOME LN SERVICING SOLUTIONS | ORD SHS | G6648D109 | 2,630 | 124,100 | SH | DFND | 124,100 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 1,006 | 4,251 | SH | DFND | 4,251 | 0 | 0 | ||
JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | 8,805 | 951,900 | SH | DFND | 951,900 | 0 | 0 | ||
JINKOSOLAR HLDG CO LTD | SPONSORED ADR | 47759T100 | 9,866 | 358,900 | SH | DFND | 358,900 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 19,673 | 326,581 | SH | DFND | 326,581 | 0 | 0 | ||
KITE PHARMA INC | COM | 49803L109 | 1,140 | 40,000 | SH | DFND | 40,000 | 0 | 0 | ||
LIBERTY INTERACTIVE CORP | INT COM SER A | 53071M104 | 22,442 | 786,900 | SH | DFND | 786,900 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 5,496 | 103,850 | SH | DFND | 103,850 | 0 | 0 | ||
LPL FINL HLDGS INC | COM | 50212V100 | 2,302 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
LUMBER LIQUIDATORS HLDGS INC | COM | 55003T107 | 39,772 | 693,139 | SH | DFND | 693,139 | 0 | 0 | ||
LUMBER LIQUIDATORS HLDGS INC | COM | 55003T107 | 146,382 | 2,551,100 | SH | Put | DFND | 2,551,100 | 0 | 0 | |
MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 43,065 | 1,547,413 | SH | DFND | 1,547,413 | 0 | 0 | ||
MEDIVATION INC | COM | 58501N101 | 8,288 | 83,828 | SH | DFND | 83,828 | 0 | 0 | ||
MIRATI THERAPEUTICS INC | COM | 60468T105 | 8,573 | 507,184 | SH | DFND | 507,184 | 0 | 0 | ||
NORTHSTAR ASSET MGMT GROUP I | COM | 66705Y104 | 8,105 | 440,028 | SH | DFND | 440,028 | 0 | 0 | ||
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 43,895 | 2,484,167 | SH | DFND | 2,484,167 | 0 | 0 | ||
OCERA THERAPEUTICS INC | COM | 67552A108 | 3,222 | 670,127 | SH | DFND | 670,127 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 36,925 | 1,410,440 | SH | DFND | 1,410,440 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 47,909 | 1,830,000 | SH | Put | DFND | 1,830,000 | 0 | 0 | |
ONCOTHYREON INC | COM | 682324108 | 12,876 | 6,706,069 | SH | DFND | 6,706,069 | 0 | 0 | ||
PALATIN TECHNOLOGIES INC | COM PAR $ .01 | 696077403 | 3,062 | 3,495,336 | SH | DFND | 3,495,336 | 0 | 0 | ||
PEREGRINE SEMICONDUCTOR CORP | COM | 71366R703 | 40,252 | 3,253,988 | SH | DFND | 3,253,988 | 0 | 0 | ||
RAYONIER ADVANCED MATLS INC | COM | 75508B104 | 10,416 | 316,500 | SH | DFND | 316,500 | 0 | 0 | ||
REALOGY HLDGS CORP | COM | 75605Y106 | 30,195 | 811,700 | SH | DFND | 811,700 | 0 | 0 | ||
REPROS THERAPEUTICS INC | *W EXP 02/08/201 | 76028H126 | 2,387 | 328,969 | SH | DFND | 328,969 | 0 | 0 | ||
REPROS THERAPEUTICS INC | *W EXP 02/08/201 | 76028H118 | 1,004 | 103,689 | SH | DFND | 103,689 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 20,690 | 2,322,457 | SH | DFND | 2,322,457 | 0 | 0 | ||
SALESFORCE COM INC | NOTE 0.750% 1/1 | 79466LAB0 | 141,140 | 52,500,000 | PRN | DFND | 52,500,000 | 0 | 0 | ||
SBA COMMUNICATIONS CORP | NOTE 4.000%10/0 | 78388JAM8 | 63,692 | 17,500,000 | PRN | DFND | 17,500,000 | 0 | 0 | ||
SCORPIO BULKERS INC | SHS | Y7546A106 | 635 | 109,148 | SH | DFND | 109,148 | 0 | 0 | ||
SOLARCITY CORP | NOTE 2.750%11/0 | 83416TAA8 | 19,901 | 16,500,000 | PRN | DFND | 16,500,000 | 0 | 0 | ||
SPECTRUM BRANDS HLDGS INC | COM | 84763R101 | 1,104 | 12,200 | SH | DFND | 12,200 | 0 | 0 | ||
SUNPOWER CORP | DBCV 4.500% 3/1 | 867652AE9 | 22,790 | 15,000,000 | PRN | DFND | 15,000,000 | 0 | 0 | ||
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 14,354 | 711,300 | SH | Put | DFND | 711,300 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 87,229 | 1,468,742 | SH | DFND | 1,468,742 | 0 | 0 | ||
TREEHOUSE FOODS INC | COM | 89469A104 | 10,662 | 132,450 | SH | DFND | 132,450 | 0 | 0 | ||
UNITED STATES STL CORP NEW | NOTE 2.750% 4/0 | 912909AH1 | 8,201 | 5,000,000 | PRN | DFND | 5,000,000 | 0 | 0 | ||
UNITED THERAPEUTICS CORP DEL | NOTE 1.000% 9/1 | 91307CAF9 | 60,614 | 22,500,000 | PRN | DFND | 22,500,000 | 0 | 0 | ||
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 13,306 | 70,400 | SH | DFND | 70,400 | 0 | 0 | ||
VIPSHOP HLDGS LTD | NOTE 1.500% 3/1 | 92763WAA1 | 8,279 | 7,000,000 | PRN | DFND | 7,000,000 | 0 | 0 | ||
WALTER ENERGY INC | COM | 93317Q105 | 115 | 49,300 | SH | DFND | 49,300 | 0 | 0 | ||
WESCO INTL INC | DBCV 6.000% 9/1 | 95082PAH8 | 52,934 | 19,000,000 | PRN | DFND | 19,000,000 | 0 | 0 | ||
WL ROSS HLDG CORP | COM SHS | 92939D104 | 9,890 | 1,000,000 | SH | DFND | 1,000,000 | 0 | 0 | ||
XENCOR INC | COM | 98401F105 | 6,708 | 760,000 | SH | DFND | 760,000 | 0 | 0 | ||
YPF SOCIEDAD ANONIMA | SPON ADR CL D | 984245100 | 72,501 | 1,960,013 | SH | DFND | 1,960,013 | 0 | 0 |