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 |
| ACCELERON PHARMA INC | COM | 00434H108 | 23,868 | 702,410 | SH | DFND | 702,410 | 0 | 0 | ||
| ADAPTIMMUNE THERAPEUTICS PLC | SPONDS ADR | 00653A107 | 6,387 | 783,645 | SH | DFND | 783,645 | 0 | 0 | ||
| ADURO BIOTECH INC | COM | 00739L101 | 2,171 | 191,954 | SH | DFND | 191,954 | 0 | 0 | ||
| AGENUS INC | COM NEW | 00847G705 | 14,899 | 3,678,707 | SH | DFND | 3,678,707 | 0 | 0 | ||
| AKARI THERAPEUTICS PLC | SPONSORED ADR | 00972G108 | 2,906 | 263,921 | SH | DFND | 263,921 | 0 | 0 | ||
| ARRAY BIOPHARMA INC | NOTE 3.000% 6/0 | 04269XAA3 | 3,955 | 4,600,000 | PRN | DFND | 4,600,000 | 0 | 0 | ||
| ARROWHEAD PHARMACEUTICALS IN | COM | 04280A100 | 10,894 | 2,047,782 | SH | DFND | 2,047,782 | 0 | 0 | ||
| ASSEMBLY BIOSCIENCES INC | COM | 045396108 | 3,740 | 807,601 | SH | DFND | 807,601 | 0 | 0 | ||
| AVEXIS INC | COM | 05366U100 | 8,958 | 242,756 | SH | DFND | 242,756 | 0 | 0 | ||
| BEIGENE LTD | SPONSORED ADR | 07725L102 | 5,066 | 170,000 | SH | DFND | 170,000 | 0 | 0 | ||
| BELLICUM PHARMACEUTICALS INC | COM | 079481107 | 6,583 | 507,939 | SH | DFND | 507,939 | 0 | 0 | ||
| BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 7,566 | 97,246 | SH | DFND | 97,246 | 0 | 0 | ||
| BLUEBIRD BIO INC | COM | 09609G100 | 2,554 | 59,002 | SH | DFND | 59,002 | 0 | 0 | ||
| BRF SA | SPONSORED ADR | 10552T107 | 8,457 | 607,112 | SH | DFND | 607,112 | 0 | 0 | ||
| CHINA ZENIX AUTO INTL LTD | ADS | 16951E104 | 3,862 | 6,074,805 | SH | DFND | 6,074,805 | 0 | 0 | ||
| CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 30,998 | 43,295,000 | PRN | DFND | 43,295,000 | 0 | 0 | ||
| CTRIP COM INTL LTD | NOTE 1.000% 7/0 | 22943FAF7 | 13,723 | 13,000,000 | PRN | DFND | 13,000,000 | 0 | 0 | ||
| CTRIP COM INTL LTD | NOTE 1.250%10/1 | 22943FAD2 | 30,619 | 25,000,000 | PRN | DFND | 25,000,000 | 0 | 0 | ||
| CYTRX CORP | COM PAR $.001 | 232828509 | 12,093 | 5,423,037 | SH | DFND | 5,423,037 | 0 | 0 | ||
| DHT HOLDINGS INC | DEBT 4.500%10/0 | 23335SAB2 | 16,000 | 17,000,000 | PRN | DFND | 17,000,000 | 0 | 0 | ||
| EPIZYME INC | COM | 29428V104 | 9,953 | 971,946 | SH | DFND | 971,946 | 0 | 0 | ||
| EQUITY COMWLTH | COM SH BEN INT | 294628102 | 23,304 | 800,000 | SH | DFND | 800,000 | 0 | 0 | ||
| FIBROCELL SCIENCE INC | COM NEW | 315721209 | 2,201 | 1,913,662 | SH | DFND | 1,913,662 | 0 | 0 | ||
| FITBIT INC | CL A | 33812L102 | 7,082 | 579,502 | SH | DFND | 579,502 | 0 | 0 | ||
| FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 2,009 | 48,582 | SH | DFND | 48,582 | 0 | 0 | ||
| FRONTLINE LTD | SHS NEW | G3682E192 | 3,202 | 408,341 | SH | DFND | 408,341 | 0 | 0 | ||
| GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 4,654 | 300,283 | SH | DFND | 300,283 | 0 | 0 | ||
| GOLDMAN SACHS GROUP INC | COM | 38141G104 | 78,129 | 525,838 | SH | DFND | 525,838 | 0 | 0 | ||
| HALOZYME THERAPEUTICS INC | COM | 40637H109 | 4,319 | 500,449 | SH | DFND | 500,449 | 0 | 0 | ||
| IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 16,362 | 892,170 | SH | DFND | 892,170 | 0 | 0 | ||
| INTEL CORP | COM | 458140100 | 30,504 | 930,004 | SH | DFND | 930,004 | 0 | 0 | ||
| INTEL CORP | SDCV 12/1 | 458140AD2 | 25,841 | 20,000,000 | PRN | DFND | 20,000,000 | 0 | 0 | ||
| INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 10,450 | 73,243 | SH | DFND | 73,243 | 0 | 0 | ||
| ISHARES TR | NASDQ BIOTEC ETF | 464287556 | 15,483 | 60,164 | SH | DFND | 60,164 | 0 | 0 | ||
| JPMORGAN CHASE & CO | COM | 46625H100 | 11,185 | 180,000 | SH | DFND | 180,000 | 0 | 0 | ||
| LION BIOTECHNOLOGIES INC | COM | 53619R102 | 12,946 | 1,598,309 | SH | DFND | 1,598,309 | 0 | 0 | ||
| MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 28,997 | 2,034,024 | SH | DFND | 2,034,024 | 0 | 0 | ||
| MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 13,448 | 1,411,162 | SH | DFND | 1,411,162 | 0 | 0 | ||
| MATTRESS FIRM HLDG CORP | COM | 57722W106 | 4,386 | 130,738 | SH | DFND | 130,738 | 0 | 0 | ||
| MEDGENICS INC | COM NEW | 58436Q203 | 4,557 | 848,800 | SH | DFND | 848,800 | 0 | 0 | ||
| MICROCHIP TECHNOLOGY INC | SDCV 2.125%12/1 | 595017AB0 | 66,912 | 31,764,000 | PRN | DFND | 31,764,000 | 0 | 0 | ||
| MICRON TECHNOLOGY INC | COM | 595112103 | 23,392 | 1,700,000 | SH | Call | DFND | 1,700,000 | 0 | 0 | |
| MIRATI THERAPEUTICS INC | COM | 60468T105 | 2,783 | 509,750 | SH | DFND | 509,750 | 0 | 0 | ||
| NEW YORK TIMES CO | CL A | 650111107 | 28,168 | 2,327,896 | SH | DFND | 2,327,896 | 0 | 0 | ||
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 15,711 | 1,131,120 | SH | DFND | 1,131,120 | 0 | 0 | ||
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 25,176 | 1,812,500 | SH | Put | DFND | 1,812,500 | 0 | 0 | |
| NORTHSTAR REALTY EUROPE CORP | COM | 66706L101 | 21,910 | 2,368,606 | SH | DFND | 2,368,606 | 0 | 0 | ||
| OCERA THERAPEUTICS INC | COM | 67552A108 | 1,488 | 932,086 | SH | DFND | 932,086 | 0 | 0 | ||
| PALATIN TECHNOLOGIES INC | COM PAR $ .01 | 696077403 | 1,248 | 4,039,374 | SH | DFND | 4,039,374 | 0 | 0 | ||
| PDVWIRELESS INC | COM | 69290R104 | 17,702 | 902,599 | SH | DFND | 902,599 | 0 | 0 | ||
| PRONAI THERAPEUTICS INC | COM | 74346L101 | 139 | 70,000 | SH | DFND | 70,000 | 0 | 0 | ||
| QIHOO 360 TECHNOLOGY CO LTD | ADS | 74734M109 | 53,672 | 734,731 | SH | DFND | 734,731 | 0 | 0 | ||
| REALOGY HLDGS CORP | COM | 75605Y106 | 10,611 | 365,645 | SH | DFND | 365,645 | 0 | 0 | ||
| REGENXBIO INC | COM | 75901B107 | 3,395 | 424,368 | SH | DFND | 424,368 | 0 | 0 | ||
| SAREPTA THERAPEUTICS INC | COM | 803607100 | 7,839 | 411,077 | SH | DFND | 411,077 | 0 | 0 | ||
| SHIP FINANCE INTERNATIONAL L | NOTE 3.250% 2/0 | G81075AE6 | 40,307 | 38,000,000 | PRN | DFND | 38,000,000 | 0 | 0 | ||
| SOLARCITY CORP | COM | 83416T100 | 9,735 | 406,816 | SH | DFND | 406,816 | 0 | 0 | ||
| SOLARCITY CORP | COM | 83416T100 | 9,716 | 406,000 | SH | Put | DFND | 406,000 | 0 | 0 | |
| SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 230,110 | 4,255,000 | SH | Put | DFND | 4,255,000 | 0 | 0 | |
| SPRAGUE RES LP | COM UNIT REP LTD | 849343108 | 964 | 39,979 | SH | DFND | 39,979 | 0 | 0 | ||
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 10,492 | 400,000 | SH | Put | DFND | 400,000 | 0 | 0 | |
| TAL ED GROUP | NOTE 2.500% 5/1 | 874080AB0 | 57,491 | 24,000,000 | PRN | DFND | 24,000,000 | 0 | 0 | ||
| TEEKAY TANKERS LTD | CL A | Y8565N102 | 10,891 | 3,654,776 | SH | DFND | 3,654,776 | 0 | 0 | ||
| TENET HEALTHCARE CORP | COM NEW | 88033G407 | 21,959 | 794,457 | SH | DFND | 794,457 | 0 | 0 | ||
| TRACON PHARMACEUTICALS INC | COM | 89237H100 | 1,411 | 363,292 | SH | DFND | 363,292 | 0 | 0 | ||
| VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 101,651 | 40,000,000 | PRN | DFND | 40,000,000 | 0 | 0 | ||
| WEBMD HEALTH CORP | NOTE 2.500% 1/3 | 94770VAF9 | 13,892 | 12,500,000 | PRN | DFND | 12,500,000 | 0 | 0 | ||
| WELLPOINT INC | NOTE 2.750%10/1 | 94973VBG1 | 30,326 | 16,500,000 | PRN | DFND | 16,500,000 | 0 | 0 | ||
| WELLS FARGO & CO NEW | COM | 949746101 | 15,619 | 330,000 | SH | DFND | 330,000 | 0 | 0 | ||
| WESCO INTL INC | DBCV 6.000% 9/1 | 95082PAH8 | 24,524 | 13,550,000 | PRN | DFND | 13,550,000 | 0 | 0 | ||
| XENCOR INC | COM | 98401F105 | 7,348 | 386,925 | SH | DFND | 386,925 | 0 | 0 | ||
| XILINX INC | COM | 983919101 | 10,926 | 236,855 | SH | DFND | 236,855 | 0 | 0 | ||
| YY INC | NOTE 2.250% 4/0 | 98426TAB2 | 4,931 | 5,000,000 | PRN | DFND | 5,000,000 | 0 | 0 | ||
| ZILLOW GROUP INC | CL A | 98954M101 | 21,990 | 600,000 | SH | DFND | 600,000 | 0 | 0 | ||
| ZILLOW GROUP INC | CL C CAP STK | 98954M200 | 24,126 | 665,000 | SH | DFND | 665,000 | 0 | 0 | ||