0001357550-17-000004.txt : 20170214
0001357550-17-000004.hdr.sgml : 20170214
20170214085715
ACCESSION NUMBER: 0001357550-17-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170214
DATE AS OF CHANGE: 20170214
EFFECTIVENESS DATE: 20170214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Weiss Asset Management LP
CENTRAL INDEX KEY: 0001357550
IRS NUMBER: 611451623
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12911
FILM NUMBER: 17602818
BUSINESS ADDRESS:
STREET 1: 222 BERKELEY STREET, 16TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-778-7780
MAIL ADDRESS:
STREET 1: 222 BERKELEY STREET, 16TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER COMPANY:
FORMER CONFORMED NAME: WEISS CAPITAL LLC
DATE OF NAME CHANGE: 20060327
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001357550
XXXXXXXX
12-31-2016
12-31-2016
Weiss Asset Management LP
222 BERKELEY STREET, 16TH FLOOR
BOSTON
MA
02116
13F HOLDINGS REPORT
028-12911
N
Georgiy Nikitin
Chief Compliance Officer
6177787725
Georgiy Nikitin
Boston
MA
02-14-2017
2
215
667468
false
1
0001357643
WEISS ANDREW M
2
0001298983
BIP GP LLC
INFORMATION TABLE
2
informationTableQ42016.xml
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
240
18869
SH
DFND
1,2
18869
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
192
16904
SH
DFND
1,2
16904
0
0
ALCOA CORP
COM
013872106
181
6451
SH
DFND
1,2
6451
0
0
ALPINE TOTAL DYNAMIC DIVID F
COM SH BEN INT N
021060207
668
88170
SH
DFND
1,2
88170
0
0
ANWORTH MORTGAGE ASSET CP
COM
037347101
177
34142
SH
DFND
1,2
34142
0
0
BARNES & NOBLE INC
COM
067774109
181
16241
SH
DFND
1,2
16241
0
0
BLACK HILLS CORP
UNIT 99/99/9999
092113125
18939
275000
SH
DFND
1,2
275000
0
0
BLACKROCK MUNICIPL INC QLTY
COM
092479104
205
14753
SH
DFND
1,2
14753
0
0
BLACKROCK GLOBAL OPP EQTY TR
COM
092501105
265
22884
SH
DFND
1,2
22884
0
0
BLACKROCK INTL GRWTH & INC T
COM BENE INTER
092524107
341
61872
SH
DFND
1,2
61872
0
0
BLOOMIN BRANDS INC
COM
094235108
187
10373
SH
DFND
1,2
10373
0
0
BROCADE COMMUNICATIONS SYS I
COM NEW
111621306
162
13000
SH
Put
DFND
1,2
0
0
0
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
490
47621
SH
DFND
1,2
47621
0
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
203
3905
SH
DFND
1,2
3905
0
0
CENTURY ALUM CO
COM
156431108
204
23888
SH
DFND
1,2
23888
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
210
29923
SH
DFND
1,2
29923
0
0
CLEARBRIDGE ENERGY MLP FD IN
COM
184692101
831
53404
SH
DFND
1,2
53404
0
0
COMMUNITY HEALTH SYS INC NEW
COM
203668108
185
33175
SH
DFND
1,2
33175
0
0
COMMUNITY HEALTH SYS INC NEW
RIGHT 99/99/9999
203668116
13
3000000
SH
DFND
1,2
3000000
0
0
DONNELLEY R R & SONS CO
COM
257867200
181
11103
SH
DFND
1,2
11103
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
827
43525
SH
DFND
1,2
43525
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
370
16025
SH
DFND
1,2
16025
0
0
EATON VANCE ENHANCED EQ INC
COM
278274105
227
18305
SH
DFND
1,2
18305
0
0
EATON VANCE ENH EQTY INC FD
COM
278277108
333
26019
SH
DFND
1,2
26019
0
0
FLAHERTY&CRMN PFD SEC INCOM
COM
338478100
200
10622
SH
DFND
1,2
10622
0
0
GENERAL AMERN INVS INC
COM
368802104
258
8303
SH
DFND
1,2
8303
0
0
GUGGENHEIM TAXABLE MUN MNGD
COM
401664107
451
21065
SH
DFND
1,2
21065
0
0
JACK IN THE BOX INC
COM
466367109
209
1875
SH
DFND
1,2
1875
0
0
KEYCORP NEW
PFD 7.75% SR A
493267405
46067
341235
SH
DFND
1,2
341235
0
0
KLONDEX MNS LTD
COM
498696103
577
124000
SH
DFND
1,2
124000
0
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
587
113828
SH
DFND
1,2
113828
0
0
LINCOLN ELEC HLDGS INC
COM
533900106
205
2672
SH
DFND
1,2
2672
0
0
MANITOWOC INC
COM
563571108
185
31013
SH
DFND
1,2
31013
0
0
MCDERMOTT INTL INC
COM
580037109
296
40000
SH
Call
DFND
1,2
0
0
0
MEXICO FD INC
COM
592835102
222
15768
SH
DFND
1,2
15768
0
0
MORGAN STANLEY CHINA A SH FD
COM
617468103
440
25876
SH
DFND
1,2
25876
0
0
MORGAN STANLEY EM MKTS DM DE
COM
617477104
450
62786
SH
DFND
1,2
62786
0
0
NEW SR INVT GROUP INC
COM
648691103
191
19465
SH
DFND
1,2
19465
0
0
NORTH AMERN ENERGY PARTNERS
COM
656844107
5039
1307473
SH
DFND
1,2
1307473
0
0
NUVEEN CALIFORNIA AMT QLT MU
COM
670651108
552
38563
SH
DFND
1,2
38563
0
0
NUVEEN NEW YORK AMT QLT MUNI
COM
670656107
272
21245
SH
DFND
1,2
21245
0
0
NUVEEN AMT-FREE MUN VALUE FD
COM
670695105
195
12015
SH
DFND
1,2
12015
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
948
99147
SH
DFND
1,2
99147
0
0
NUVEEN PENNSYLVANIA QLT MUN
COM
670972108
156
11917
SH
DFND
1,2
11917
0
0
PIONEER MUN HIGH INCOME TR
COM SHS
723763108
119
10018
SH
DFND
1,2
10018
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
105
14877
SH
DFND
1,2
14877
0
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
294
24618
SH
DFND
1,2
24618
0
0
REDWOOD TR INC
COM
758075402
199
13068
SH
DFND
1,2
13068
0
0
ROYCE VALUE TR INC
COM
780910105
328
24510
SH
DFND
1,2
24510
0
0
RUTHS HOSPITALITY GROUP INC
COM
783332109
183
10005
SH
DFND
1,2
10005
0
0
SOURCE CAP INC
COM
836144105
223
6204
SH
DFND
1,2
6204
0
0
SOUTHWESTERN ENERGY CO
DEP SHS 1/20 B
845467208
8451
331800
SH
DFND
1,2
331800
0
0
SPIRIT AEROSYSTEMS HLDGS INC
COM CL A
848574109
205
3515
SH
DFND
1,2
3515
0
0
SYMANTEC CORP
COM
871503108
202
8460
SH
DFND
1,2
8460
0
0
TEKLA HEALTHCARE OPPORTUNIT
SHS
879105104
269
17326
SH
DFND
1,2
17326
0
0
TEMPLETON EMERGING MKTS FD I
COM
880191101
131
10869
SH
DFND
1,2
10869
0
0
TEMPLETON EMERG MKTS INCOME
COM
880192109
386
35362
SH
DFND
1,2
35362
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
214
33018
SH
DFND
1,2
33018
0
0
THAI FD INC
COM
882904105
139
18348
SH
DFND
1,2
18348
0
0
TIME INC NEW
COM
887228104
353
19757
SH
DFND
1,2
19757
0
0
TRI CONTL CORP
COM
895436103
210
9540
SH
DFND
1,2
9540
0
0
BLACKROCK CORE BD TR
SHS BEN INT
09249E101
269
20670
SH
DFND
1,2
20670
0
0
GAMCO NAT RES GOLD & INCOME
SH BEN INT
36465E101
159
23893
SH
DFND
1,2
23893
0
0
UNIVERSAL AMERN CORP NEW
COM
91338E101
190
19061
SH
DFND
1,2
19061
0
0
BLACKROCK CALIF MUN INCOME T
SH BEN INT
09248E102
298
20569
SH
DFND
1,2
20569
0
0
ADVENT CLAYMORE ENH GRW & IN
COM
00765E104
2830
340523
SH
DFND
1,2
340523
0
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
225
16450
SH
DFND
1,2
16450
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
283
25317
SH
DFND
1,2
25317
0
0
TRINA SOLAR LIMITED
SPON ADR
89628E104
862
92700
SH
Put
DFND
1,2
0
0
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
440
49158
SH
DFND
1,2
49158
0
0
KAYNE ANDERSON MDSTM ENERGY
COM
48661E108
167
10495
SH
DFND
1,2
10495
0
0
AGNC INVT CORP
COM
00123Q104
189
10416
SH
DFND
1,2
10416
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
5269
60000
SH
Put
DFND
1,2
0
0
0
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
302
23920
SH
DFND
1,2
23920
0
0
ALPINE GLOBAL PREMIER PPTYS
COM SBI
02083A103
366
71286
SH
DFND
1,2
71286
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
205
4387
SH
DFND
1,2
4387
0
0
AMERICAN TOWER CORP NEW
PFD CONV SER A
03027X308
3669
35000
SH
DFND
1,2
35000
0
0
ARBOR RLTY TR INC
NOTE 6.500%10/0
038923AA6
2761
2750000
PRN
DFND
1,2
0
0
0
ARES CAP CORP
COM
04010L103
638
38700
SH
Put
DFND
1,2
0
0
0
AXAR ACQUISITION CORP
*W EXP 10/28/2019
05455L110
15
195415
SH
DFND
1,2
195415
0
0
AXAR ACQUISITION CORP
*W EXP 12/31/2022
05455L128
0
124999
SH
DFND
1,2
124999
0
0
BARINGTON HILCO ACQUISITION
COM
06759V101
1595
157000
SH
DFND
1,2
157000
0
0
BLACKROCK MUN INCOME TR
SH BEN INT
09248F109
334
24161
SH
DFND
1,2
24161
0
0
BLACKROCK MUNIYIELD FD INC
COM
09253W104
192
13599
SH
DFND
1,2
13599
0
0
BLACKROCK MUNIHLDNGS QLTY II
COM
09254C107
229
16980
SH
DFND
1,2
16980
0
0
BLACKROCK MUNIASSETS FD INC
COM
09254J102
252
18735
SH
DFND
1,2
18735
0
0
BLACKROCK MUNIHLDNGS CALI QL
COM
09254L107
446
31653
SH
DFND
1,2
31653
0
0
BLACKROCK MUNIHLDS INVSTM QL
COM
09254P108
161
11326
SH
DFND
1,2
11326
0
0
BLACKROCK MUNIHLDGS NJ QLTY
COM
09254X101
255
18348
SH
DFND
1,2
18348
0
0
BLACKROCK RES & COMM STRAT T
SHS
09257A108
281
33992
SH
DFND
1,2
33992
0
0
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
224
13563
SH
DFND
1,2
13563
0
0
BOULEVARD ACQUISITION
CL A
10157Q102
4711
474901
SH
DFND
1,2
474901
0
0
BROCADE COMMUNICATIONS SYS I
NOTE 1.375% 1/0
111621AQ1
36653
36385000
PRN
DFND
1,2
0
0
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
718
98327
SH
DFND
1,2
98327
0
0
CYS INVTS INC
COM
12673A108
188
24317
SH
DFND
1,2
24317
0
0
CALAMOS CONV & HIGH INCOME F
COM SHS
12811P108
228
21596
SH
DFND
1,2
21596
0
0
CALAMOS DYNAMIC CONV & INCOM
COM
12811V105
237
13541
SH
DFND
1,2
13541
0
0
CHESAPEAKE ENERGY CORP
NOTE 2.250%12/1
165167CB1
3450
3500000
PRN
DFND
1,2
0
0
0
CHIMERA INVT CORP
COM NEW
16934Q208
206
12077
SH
DFND
1,2
12077
0
0
COHEN & STEERS QUALITY RLTY
COM
19247L106
900
73708
SH
DFND
1,2
73708
0
0
COHEN & STEERS TOTAL RETURN
COM
19247R103
211
17464
SH
DFND
1,2
17464
0
0
COHEN & STEERS REIT & PFD IN
COM
19247X100
325
16991
SH
DFND
1,2
16991
0
0
COHEN & STEERS GLOBAL INC BL
COM
19248M103
123
14399
SH
DFND
1,2
14399
0
0
DOMINOS PIZZA INC
COM
25754A201
204
1281
SH
DFND
1,2
1281
0
0
DREYFUS MUN BD INFRSTRCTR FD
SHS
26203D101
153
12474
SH
DFND
1,2
12474
0
0
DUFF & PHELPS GLB UTL INC FD
COM
26433C105
469
30292
SH
DFND
1,2
30292
0
0
DYNEGY INC NEW DEL
UNIT 07/01/20191
26817R405
15947
256630
SH
DFND
1,2
256630
0
0
EASTERLY ACQUISITION CORP
COM
27616L102
398
40400
SH
DFND
1,2
40400
0
0
EATON VANCE TAX ADVT DIV INC
COM
27828G107
201
9785
SH
DFND
1,2
9785
0
0
EATON VANCE TX MGD DIV EQ IN
COM
27828N102
1004
97036
SH
DFND
1,2
97036
0
0
EATON VANCE TX ADV GLBL DIV
COM
27828S101
690
49055
SH
DFND
1,2
49055
0
0
EATON VANCE TXMGD GL BUYWR O
COM
27829C105
791
78509
SH
DFND
1,2
78509
0
0
EATON VANCE TAX MNGD GBL DV
COM
27829F108
1833
228559
SH
DFND
1,2
228559
0
0
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
476
53101
SH
DFND
1,2
53101
0
0
ENVISION HEALTHCARE CORP
PFD CNV 5.25% A1
29414D209
20741
173737
SH
DFND
1,2
173737
0
0
FIDELITY NATIONAL FINANCIAL
FNFV GROUP COM
31620R402
192
14002
SH
DFND
1,2
14002
0
0
FIRST TR DYNAMIC EUROPE EQT
COM SHS
33740D107
334
21491
SH
DFND
1,2
21491
0
0
FLAHERTY & CRUMRINE DYN PFD
SHS
33848W106
281
11820
SH
DFND
1,2
11820
0
0
FOUR CORNERS PPTY TR INC
COM
35086T109
218
10635
SH
DFND
1,2
10635
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
165
12529
SH
DFND
1,2
12529
0
0
GNC HLDGS INC
COM CL A
36191G107
189
17163
SH
DFND
1,2
17163
0
0
GABELLI MULTIMEDIA TR INC
COM
36239Q109
92
12743
SH
DFND
1,2
12743
0
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
108
11461
SH
DFND
1,2
11461
0
0
GAMCO GLOBAL GOLD NAT RES &
COM SH BEN INT
36465A109
995
187690
SH
DFND
1,2
187690
0
0
GENERAL MTRS CO
*W EXP 07/10/201
37045V126
5139
300000
SH
DFND
1,2
300000
0
0
GRACE W R & CO DEL NEW
COM
38388F108
203
3007
SH
DFND
1,2
3007
0
0
GREEN PLAINS INC
NOTE 3.250%10/0
393222AD6
3781
2627000
PRN
DFND
1,2
0
0
0
HANCOCK JOHN TAX-ADV DIV INC
COM
41013V100
336
14540
SH
DFND
1,2
14540
0
0
HANCOCK JOHN PFD INCOME FD
SH BEN INT
41013W108
204
10004
SH
DFND
1,2
10004
0
0
HANCOCK JOHN PFD INCOME FD I
COM
41013X106
283
13986
SH
DFND
1,2
13986
0
0
ISTAR INC
COM
45031U101
199
16121
SH
DFND
1,2
16121
0
0
INSPERITY INC
COM
45778Q107
205
2889
SH
DFND
1,2
2889
0
0
INTEL CORP
SDCV 12/1
458140AD2
74389
54675000
PRN
DFND
1,2
0
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
203
13905
SH
DFND
1,2
13905
0
0
INVESCO MUN TR
COM
46131J103
567
46252
SH
DFND
1,2
46252
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
249
19540
SH
DFND
1,2
19540
0
0
INVESCO TR INVT GRADE NY MUN
COM
46131T101
218
16407
SH
DFND
1,2
16407
0
0
INVESCO CALIF VALUE MUN INC
COM
46132H106
498
41005
SH
DFND
1,2
41005
0
0
INVESCO PA VALUE MUN INCOME
COM
46132K109
166
13654
SH
DFND
1,2
13654
0
0
INVESCO MUNI INCOME OPP TRST
COM
46132X101
196
27399
SH
DFND
1,2
27399
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
167
13437
SH
DFND
1,2
13437
0
0
INVESTORS BANCORP INC NEW
COM
46146L101
202
14482
SH
DFND
1,2
14482
0
0
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
6322
200000
SH
DFND
1,2
200000
0
0
KLR ENERGY ACQUISITION CORP
CL A
49877M108
8425
814000
SH
DFND
1,2
814000
0
0
LEGG MASON BW GLB INC OPP FD
COM
52469B100
133
11257
SH
DFND
1,2
11257
0
0
MBIA INC
COM
55262C100
186
17422
SH
DFND
1,2
17422
0
0
MFA FINL INC
COM
55272X102
198
25885
SH
DFND
1,2
25885
0
0
M I ACQUISITIONS INC
COM
55304A104
4000
400000
SH
DFND
1,2
400000
0
0
M I ACQUISITIONS INC
*W EXP 99/99/999
55304A112
94
378000
SH
DFND
1,2
378000
0
0
MTGE INVT CORP
COM
55378A105
191
12148
SH
DFND
1,2
12148
0
0
M III ACQUISITION CORP
COM
55378T104
10316
1058000
SH
DFND
1,2
1058000
0
0
MANPOWERGROUP INC
COM
56418H100
207
2327
SH
DFND
1,2
2327
0
0
MENTOR GRAPHICS CORP
SDCV 4.000% 4/0
587200AK2
44861
24153000
PRN
DFND
1,2
0
0
0
NAVIENT CORP
COM
63938C108
190
11592
SH
DFND
1,2
11592
0
0
NORTHSTAR RLTY FIN CORP
COM
66704R803
192
12691
SH
DFND
1,2
12691
0
0
NORTHSTAR REALTY EUROPE CORP
COM
66706L101
181
14397
SH
DFND
1,2
14397
0
0
NUVEEN MARYLAND QLT MUN INC
COM
67061Q107
153
12338
SH
DFND
1,2
12338
0
0
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67062F100
158
11386
SH
DFND
1,2
11386
0
0
NVIDIA CORP
NOTE 1.000%12/0
67066GAC8
28902
5434000
PRN
DFND
1,2
0
0
0
NUVEEN NEW YORK QLT MUN INC
COM
67066X107
200
14918
SH
DFND
1,2
14918
0
0
NUVEEN CA QUALTY MUN INCOME
COM
67066Y105
1193
84369
SH
DFND
1,2
84369
0
0
NUVEEN NEW JERSEY QULT MUN F
COM
67069Y102
404
30687
SH
DFND
1,2
30687
0
0
NUVEEN S&P 500 BUY-WRITE INC
COM
6706ER101
623
49002
SH
DFND
1,2
49002
0
0
NUVEEN REAL ESTATE INCOME FD
COM
67071B108
267
24785
SH
DFND
1,2
24785
0
0
NUVEEN PREFERRED SECURITIES
COM
67072C105
378
40654
SH
DFND
1,2
40654
0
0
NUVEEN BUILD AMER BD FD
COM
67074C103
446
21608
SH
DFND
1,2
21608
0
0
NUVEEN PFD & INCOME TERM FD
COM
67075A106
390
16993
SH
DFND
1,2
16993
0
0
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
236
14743
SH
DFND
1,2
14743
0
0
NUVEEN TX ADV TOTAL RET STRG
COM
67090H102
123
10819
SH
DFND
1,2
10819
0
0
OVERSEAS SHIPHOLDING GROUP I
CL A NEW
69036R863
44
11560
SH
DFND
1,2
11560
0
0
PACIRA PHARMACEUTICALS INC
NOTE 3.250% 2/0
695127AB6
11166
7819000
PRN
DFND
1,2
0
0
0
PILGRIMS PRIDE CORP NEW
COM
72147K108
191
10080
SH
DFND
1,2
10080
0
0
QUINPARIO ACQUISITION CORP 2
COM
74874U101
38053
3824400
SH
DFND
1,2
3824400
0
0
RSP PERMIAN INC
COM
74978Q105
234
5236
SH
DFND
1,2
5236
0
0
SM ENERGY CO
COM
78454L100
223
6481
SH
DFND
1,2
6481
0
0
SANDRIDGE ENERGY INC
NOTE 10/0
80007PBC2
474
376539
PRN
DFND
1,2
0
0
0
SEMGROUP CORP
CL A
81663A105
237
5678
SH
DFND
1,2
5678
0
0
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
28333
3017325
SH
DFND
1,2
3017325
0
0
SPROTT PHYSICAL PLAT PALLAD
UNIT
85207Q104
5846
847238
SH
DFND
1,2
847238
0
0
SPRINT CORP
COM SER 1
85207U105
189
22391
SH
DFND
1,2
22391
0
0
STILLWATER MNG CO
NOTE 1.750%10/1
86074QAL6
7691
6025000
PRN
DFND
1,2
0
0
0
SUCAMPO PHARMACEUTICALS INC
DBCV 3.250%12/1
864909AA4
2000
2000000
PRN
DFND
1,2
0
0
0
SYNTEL INC
COM
87162H103
202
10202
SH
DFND
1,2
10202
0
0
TEKLA HEALTHCARE INVS
SH BEN INT
87911J103
379
17956
SH
DFND
1,2
17956
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
213
12538
SH
DFND
1,2
12538
0
0
TEMPLETON DRAGON FD INC
COM
88018T101
197
12000
SH
DFND
1,2
12000
0
0
THERAVANCE BIOPHARMA INC
NOTE 3.250%11/0
88339KAA0
3446
3000000
PRN
DFND
1,2
0
0
0
TRINA SOLAR LIMITED
NOTE 4.000%10/1
89628EAE4
334
360000
PRN
DFND
1,2
0
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
201
7151
SH
DFND
1,2
7151
0
0
TWO HBRS INVT CORP
COM
90187B101
192
21989
SH
DFND
1,2
21989
0
0
VECTOR GROUP LTD
FRNT 1/1
92240MAY4
8160
5200000
PRN
DFND
1,2
0
0
0
VISTEON CORP
COM NEW
92839U206
206
2558
SH
DFND
1,2
2558
0
0
VOYA ASIA PAC DIVID EQUITY I
COM
92912J102
88
10152
SH
DFND
1,2
10152
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
116
11802
SH
DFND
1,2
11802
0
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
586
86445
SH
DFND
1,2
86445
0
0
WELLS FARGO GLOBAL DIVIDEND
COM
94987C103
239
43827
SH
DFND
1,2
43827
0
0
WESTERN ASSET GLB HI INCOME
COM
95766B109
209
21286
SH
DFND
1,2
21286
0
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
167
23587
SH
DFND
1,2
23587
0
0
WESTROCK CO
COM
96145D105
202
3985
SH
DFND
1,2
3985
0
0
WPX ENERGY INC
PFD SER A CV
98212B202
3284
50000
SH
DFND
1,2
50000
0
0
XILINX INC
NOTE 2.625% 6/1
983919AF8
71889
33628000
PRN
DFND
1,2
0
0
0
ALLERGAN PLC
PFD CONV SER A
G0177J116
21375
28034
SH
DFND
1,2
28034
0
0
CF CORP
SHS CL A
G20307107
1966
196960
SH
DFND
1
196960
0
0
CF CORP
*W EXP 05/25/202
G20307115
230
184158
SH
DFND
1,2
184158
0
0
DOUBLE EAGLE ACQUISITION COR
COM
G28195124
3974
399393
SH
DFND
1
399393
0
0
E COMPASS ACQUISITION CORP
ORD SHS
G2920Y101
3075
300000
SH
DFND
1,2
300000
0
0
ELECTRUM SPL ACQUISITION COR
SHS
G3105C104
18180
1836395
SH
DFND
1,2
1836395
0
0
ASA GOLD AND PRECIOUS MTLS L
SHS
G3156P103
433
39241
SH
DFND
1,2
39241
0
0
GP INVTS ACQUISITION COR
SHS
G40357124
11844
1196315
SH
DFND
1,2
1196315
0
0
GTY TECHNOLOGY HOLDINGS INC
UNIT 99/99/9999
G4182A110
4200
400000
SH
DFND
1,2
400000
0
0
ORIGO ACQUISITION CORP
SHS
G67789126
1317
126676
SH
DFND
1
126676
0
0
PACIFIC SPL ACQUISITION CORP
SHS
G68588105
2546
246000
SH
DFND
1,2
246000
0
0
XL GROUP LTD
COM
G98294104
203
5454
SH
DFND
1,2
5454
0
0
STELLAR ACQUISITION III INC
COM
Y8172W107
5000
500000
SH
DFND
1,2
500000
0
0
STELLAR ACQUISITION III INC
*W EXP 03/22/202
Y8172W115
100
500000
SH
DFND
1,2
500000
0
0