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 |
| 51JOB INC | SPONSORED ADS | 316827104 | 2,030 | 29,000 | SH | DFND | 29,000 | 0 | 0 | ||
| ACADIA PHARMACEUTICALS INC | COM | 004225108 | 1,049 | 19,613 | SH | DFND | 19,613 | 0 | 0 | ||
| ACCELERON PHARMA INC | COM | 00434H108 | 12,973 | 101,396 | SH | DFND | 101,396 | 0 | 0 | ||
| AGORA INC | ADS | 00851L103 | 593 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 13,417 | 57,651 | SH | DFND | 57,651 | 0 | 0 | ||
| ANTERIX INC | COM | 03676C100 | 12,303 | 327,197 | SH | DFND | 327,197 | 0 | 0 | ||
| ARGENX SE | SPONSORED ADR | 04016X101 | 9,557 | 32,498 | SH | DFND | 32,498 | 0 | 0 | ||
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 11,117 | 47,946 | SH | DFND | 47,946 | 0 | 0 | ||
| BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 388 | 4,429 | SH | DFND | 4,429 | 0 | 0 | ||
| CAL MAINE FOODS INC | COM NEW | 128030202 | 2,013 | 53,613 | SH | DFND | 53,613 | 0 | 0 | ||
| CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 1,083 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
| CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 27,075 | 1,250,000 | SH | Put | DFND | 1,250,000 | 0 | 0 | |
| CLOVIS ONCOLOGY INC | NOTE 4.500% 8/0 | 189464AE0 | 13,304 | 15,000,000 | PRN | DFND | 15,000,000 | 0 | 0 | ||
| EAGLE BULK SHIPPING INC | NOTE 5.000% 8/0 | 269442AB5 | 4,025 | 4,850,000 | PRN | DFND | 4,850,000 | 0 | 0 | ||
| EURONAV NV | SHS | B38564108 | 12,548 | 1,568,517 | SH | DFND | 1,568,517 | 0 | 0 | ||
| FACEBOOK INC | CL A | 30303M102 | 4,539 | 16,617 | SH | DFND | 16,617 | 0 | 0 | ||
| GDS HLDGS LTD | NOTE 2.000% 6/0 | 36165LAB4 | 21,815 | 11,500,000 | PRN | DFND | 11,500,000 | 0 | 0 | ||
| GOGO INC | NOTE 6.000% 5/1 | 38046CAD1 | 3,002 | 1,750,000 | PRN | DFND | 1,750,000 | 0 | 0 | ||
| GOGO INC | COM | 38046C109 | 2,889 | 300,000 | SH | Put | DFND | 300,000 | 0 | 0 | |
| GOLAR LNG LTD | SHS | G9456A100 | 1,280 | 132,800 | SH | DFND | 132,800 | 0 | 0 | ||
| GOLAR LNG LTD | NOTE 2.750% 2/1 | 38046YAB7 | 2,269 | 2,500,000 | PRN | DFND | 2,500,000 | 0 | 0 | ||
| GOLDMAN SACHS GROUP INC | COM | 38141G104 | 17,518 | 66,429 | SH | DFND | 66,429 | 0 | 0 | ||
| GRAY TELEVISION INC | COM | 389375106 | 5,214 | 291,452 | SH | DFND | 291,452 | 0 | 0 | ||
| GRINDROD SHIPPING HOLDINGS L | SHS | Y28895103 | 4,797 | 1,268,977 | SH | DFND | 1,268,977 | 0 | 0 | ||
| HOME DEPOT INC | COM | 437076102 | 7,922 | 29,826 | SH | DFND | 29,826 | 0 | 0 | ||
| ILLUMINA INC | NOTE 0.500% 6/1 | 452327AH2 | 17,553 | 12,000,000 | PRN | DFND | 12,000,000 | 0 | 0 | ||
| ILLUMINA INC | COM | 452327109 | 2,960 | 8,000 | SH | Call | DFND | 8,000 | 0 | 0 | |
| IMMUNOGEN INC | COM | 45253H101 | 8,875 | 1,375,900 | SH | DFND | 1,375,900 | 0 | 0 | ||
| IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 24,180 | 521,120 | SH | DFND | 521,120 | 0 | 0 | ||
| JD.COM INC | SPON ADR CL A | 47215P106 | 2,707 | 30,800 | SH | DFND | 30,800 | 0 | 0 | ||
| JPMORGAN CHASE & CO | COM | 46625H100 | 6,387 | 50,262 | SH | DFND | 50,262 | 0 | 0 | ||
| LUMINAR TECHNOLOGIES INC | *W EXP 12/02/202 | 550424113 | 515 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
| MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 16,566 | 560,981 | SH | DFND | 560,981 | 0 | 0 | ||
| MICROCHIP TECHNOLOGY INC. | NOTE 1.625% 2/1 | 595017AD6 | 69,621 | 22,897,000 | PRN | DFND | 22,897,000 | 0 | 0 | ||
| MOHAWK INDS INC | COM | 608190104 | 7,025 | 49,842 | SH | DFND | 49,842 | 0 | 0 | ||
| MP MATERIALS CORP | COM CL A | 553368101 | 734,210 | 22,822,806 | SH | DFND | 22,822,806 | 0 | 0 | ||
| NEW YORK TIMES CO | CL A | 650111107 | 18,181 | 351,187 | SH | DFND | 351,187 | 0 | 0 | ||
| NEXSTAR MEDIA GROUP INC | CL A | 65336K103 | 18,097 | 165,735 | SH | DFND | 165,735 | 0 | 0 | ||
| NIO INC | NOTE 4.500% 2/0 | 62914VAB2 | 104,142 | 20,000,000 | PRN | DFND | 20,000,000 | 0 | 0 | ||
| NIO INC | SPON ADS | 62914V106 | 87,118 | 1,787,400 | SH | Put | DFND | 1,787,400 | 0 | 0 | |
| PREVAIL THERAPEUTICS INC | COM | 74140Y101 | 3,084 | 133,690 | SH | DFND | 133,690 | 0 | 0 | ||
| QUDIAN INC | NOTE 1.000% 7/0 | 747798AB2 | 6,204 | 8,400,000 | PRN | DFND | 8,400,000 | 0 | 0 | ||
| SAREPTA THERAPEUTICS INC | COM | 803607100 | 531 | 3,117 | SH | DFND | 3,117 | 0 | 0 | ||
| SCULPTOR CAP MGMT | COM CL A | 811246107 | 1,232 | 81,068 | SH | DFND | 81,068 | 0 | 0 | ||
| SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 7,232 | 245,309 | SH | DFND | 245,309 | 0 | 0 | ||
| SHIP FIN INTL LTD | NOTE 4.875% 5/0 | 824689AG8 | 3,518 | 3,955,000 | PRN | DFND | 3,955,000 | 0 | 0 | ||
| SINA CORP | ORD | G81477104 | 12,591 | 297,100 | SH | DFND | 297,100 | 0 | 0 | ||
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 45,091 | 120,603 | SH | DFND | 120,603 | 0 | 0 | ||
| TESLA INC | COM | 88160R101 | 175,820 | 249,153 | SH | DFND | 249,153 | 0 | 0 | ||
| TESLA INC | COM | 88160R101 | 194,765 | 276,000 | SH | Put | DFND | 276,000 | 0 | 0 | |
| WELLS FARGO CO NEW | COM | 949746101 | 1,546 | 51,231 | SH | DFND | 51,231 | 0 | 0 | ||
| WORKDAY INC | NOTE 0.250%10/0 | 98138HAF8 | 41,829 | 25,000,000 | PRN | DFND | 25,000,000 | 0 | 0 | ||