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 |
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 156 | 21,691 | SH | DFND | 21,691 | 0 | 0 | ||
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 1,766 | 55,000 | SH | Put | DFND | 55,000 | 0 | 0 | |
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 321 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
AMERICAN AXLE & MFG HLDGS IN | COM | 024061103 | 278 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
ANADARKO PETE CORP | COM | 032511107 | 2,192 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 1,797 | 41,000 | SH | DFND | 41,000 | 0 | 0 | ||
ANGLOGOLD ASHANTI LTD | SPONSORED ADR | 035128206 | 1,330 | 106,000 | SH | Call | DFND | 106,000 | 0 | 0 | |
APPLE INC | COM | 037833100 | 5,000 | 31,700 | SH | Call | DFND | 31,700 | 0 | 0 | |
APPLE INC | COM | 037833100 | 3,155 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
APPLE INC | COM | 037833100 | 631 | 4,000 | SH | DFND | 4,000 | 0 | 0 | ||
ASA GOLD AND PRECIOUS MTLS L | SHS | G3156P103 | 3,182 | 336,335 | SH | DFND | 336,335 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 2,957 | 120,000 | SH | Put | DFND | 120,000 | 0 | 0 | |
BARRICK GOLD CORP | COM | 067901108 | 2,696 | 199,100 | SH | Call | DFND | 199,100 | 0 | 0 | |
BLACKROCK RES & COMM STRAT T | SHS | 09257A108 | 941 | 133,228 | SH | DFND | 133,228 | 0 | 0 | ||
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 4,418 | 85,000 | SH | Put | DFND | 85,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 1,575 | 30,300 | SH | DFND | 30,300 | 0 | 0 | ||
CARNIVAL PLC | ADR | 14365C103 | 340 | 6,979 | SH | DFND | 6,979 | 0 | 0 | ||
CF FIN ACQUISITION CORP | UNIT 04/30/2025 | 12528N206 | 3,456 | 345,600 | SH | DFND | 345,600 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 2,034 | 2,500,000 | PRN | DFND | 2,500,000 | 0 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 2,816 | 65,000 | SH | Call | DFND | 65,000 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 6,433 | 40,000 | SH | Call | DFND | 40,000 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 161 | 1,000 | SH | DFND | 1,000 | 0 | 0 | ||
CONSTELLIUM NV | CL A | N22035104 | 359 | 51,335 | SH | DFND | 51,335 | 0 | 0 | ||
CRAWFORD & CO | CL B | 224633107 | 432 | 47,975 | SH | DFND | 47,975 | 0 | 0 | ||
CROWN HOLDINGS INC | COM | 228368106 | 1,155 | 27,780 | SH | DFND | 27,780 | 0 | 0 | ||
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 1,218 | 45,000 | SH | Call | DFND | 45,000 | 0 | 0 | |
DEL TACO RESTAURANTS INC | *W EXP 06/30/202 | 245496112 | 896 | 807,155 | SH | DFND | 807,155 | 0 | 0 | ||
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 736 | 14,750 | SH | DFND | 14,750 | 0 | 0 | ||
DOMINION ENERGY INC | COM | 25746U109 | 3,223 | 45,100 | SH | Call | DFND | 45,100 | 0 | 0 | |
DOMINION ENERGY INC | COM | 25746U109 | 586 | 8,200 | SH | Put | DFND | 8,200 | 0 | 0 | |
DOMINION ENERGY INC | UNIT 08/15/2019 | 25746U836 | 8,431 | 176,009 | SH | DFND | 176,009 | 0 | 0 | ||
DROPBOX INC | CL A | 26210C104 | 245 | 11,980 | SH | DFND | 11,980 | 0 | 0 | ||
DYCOM INDS INC | COM | 267475101 | 1,081 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
DYCOM INDS INC | NOTE 0.750% 9/1 | 267475AB7 | 1,392 | 1,500,000 | PRN | DFND | 1,500,000 | 0 | 0 | ||
ENSCO JERSEY FIN LTD | NOTE 3.000% 1/3 | 29359WAB1 | 291 | 450,000 | PRN | DFND | 450,000 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 3,069 | 45,000 | SH | Put | DFND | 45,000 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 3,277 | 25,000 | SH | Put | DFND | 25,000 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 2,884 | 22,000 | SH | DFND | 22,000 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 107 | 178,524 | SH | DFND | 178,524 | 0 | 0 | ||
FIRST DATA CORP NEW | COM CL A | 32008D106 | 790 | 46,725 | SH | DFND | 46,725 | 0 | 0 | ||
FLEXION THERAPEUTICS INC | NOTE 3.375% 5/0 | 33938JAB2 | 648 | 803,000 | PRN | DFND | 803,000 | 0 | 0 | ||
FORTIVE CORP | 5% PFD CNV SER A | 34959J207 | 240 | 264 | SH | DFND | 264 | 0 | 0 | ||
FREEPORT-MCMORAN INC | CL B | 35671D857 | 309 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 379 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
GENERAL MTRS CO | *W EXP 07/10/201 | 37045V126 | 446 | 28,059 | SH | DFND | 28,059 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 1,004 | 30,000 | SH | Call | DFND | 30,000 | 0 | 0 | |
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 4,575 | 77,600 | SH | Put | DFND | 77,600 | 0 | 0 | |
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 9,717 | 759,106 | SH | DFND | 759,106 | 0 | 0 | ||
HILTON GRAND VACATIONS INC | COM | 43283X105 | 515 | 19,530 | SH | DFND | 19,530 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 600 | 645,847 | SH | DFND | 645,847 | 0 | 0 | ||
INTERNATIONAL GAME TECHNOLOG | SHS USD | G4863A108 | 834 | 56,980 | SH | DFND | 56,980 | 0 | 0 | ||
INTL PAPER CO | COM | 460146103 | 404 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
INVESCO CURRENCYSHARES EURO | EURO SHS | 46138K103 | 46,179 | 421,800 | SH | Call | DFND | 421,800 | 0 | 0 | |
INVESCO CURRENCYSHARES EURO | EURO SHS | 46138K103 | 15,787 | 144,200 | SH | Put | DFND | 144,200 | 0 | 0 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 392 | 38,218 | SH | DFND | 38,218 | 0 | 0 | ||
INVESCO EXCHNG TRADED FD TR | SR LN ETF | 46138G508 | 2,178 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
INVESCO EXCHNG TRADED FD TR | SR LN ETF | 46138G508 | 414 | 19,000 | SH | DFND | 19,000 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 512 | 130,854 | SH | DFND | 130,854 | 0 | 0 | ||
IQIYI INC | SPONSORED ADS | 46267X108 | 2,231 | 150,000 | SH | Put | DFND | 150,000 | 0 | 0 | |
IQIYI INC | SPONSORED ADS | 46267X108 | 112 | 7,500 | SH | DFND | 7,500 | 0 | 0 | ||
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 3,438 | 90,000 | SH | Put | DFND | 90,000 | 0 | 0 | |
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 840 | 22,000 | SH | DFND | 22,000 | 0 | 0 | ||
ISHARES INC | MSCI STH AFR ETF | 464286780 | 350 | 6,946 | SH | DFND | 6,946 | 0 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 34,630 | 285,000 | SH | Call | DFND | 285,000 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 1,215 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 6,076 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 625 | 16,000 | SH | Call | DFND | 16,000 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 23,214 | 594,000 | SH | Put | DFND | 594,000 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 9,898 | 253,272 | SH | DFND | 253,272 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 8,110 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 608 | 7,500 | SH | DFND | 7,500 | 0 | 0 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 86,681 | 834,193 | SH | DFND | 834,193 | 0 | 0 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 2,939 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 2,939 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 1,953 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 1,953 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 166 | 4,250 | SH | DFND | 4,250 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 6,915 | 51,641 | SH | DFND | 51,641 | 0 | 0 | ||
KROGER CO | COM | 501044101 | 688 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
KROGER CO | COM | 501044101 | 688 | 25,000 | SH | Put | DFND | 25,000 | 0 | 0 | |
KROGER CO | COM | 501044101 | 91 | 3,300 | SH | DFND | 3,300 | 0 | 0 | ||
MAGNOLIA OIL & GAS CORP | *W EXP 07/31/202 | 559663117 | 683 | 225,458 | SH | DFND | 225,458 | 0 | 0 | ||
MARRIOTT VACATIONS WRLDWDE C | COM | 57164Y107 | 1,273 | 18,060 | SH | DFND | 18,060 | 0 | 0 | ||
MELLANOX TECHNOLOGIES LTD | SHS | M51363113 | 1,478 | 15,995 | SH | DFND | 15,995 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | NOTE 1.625% 2/1 | 595017AD6 | 9,883 | 7,000,000 | PRN | DFND | 7,000,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | NOTE 3.000%11/1 | 595112AY9 | 11,088 | 10,000,000 | PRN | DFND | 10,000,000 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 6,094 | 60,000 | SH | Call | DFND | 60,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 10,157 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 9,704 | 95,540 | SH | DFND | 95,540 | 0 | 0 | ||
NEWELL BRANDS INC | COM | 651229106 | 892 | 48,000 | SH | Call | DFND | 48,000 | 0 | 0 | |
NEWMONT MINING CORP | COM | 651639106 | 3,368 | 97,200 | SH | Call | DFND | 97,200 | 0 | 0 | |
NIKE INC | CL B | 654106103 | 2,780 | 37,500 | SH | Call | DFND | 37,500 | 0 | 0 | |
NIKE INC | CL B | 654106103 | 1,483 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
NIKE INC | CL B | 654106103 | 1,335 | 18,000 | SH | DFND | 18,000 | 0 | 0 | ||
NORFOLK SOUTHERN CORP | COM | 655844108 | 10,468 | 70,000 | SH | Call | DFND | 70,000 | 0 | 0 | |
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 439 | 59,271 | SH | DFND | 59,271 | 0 | 0 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 1,563 | 8,300 | SH | Put | DFND | 8,300 | 0 | 0 | |
PGIM SHORT DURATION HIGH YIE | COM | 69346H100 | 2,828 | 217,075 | SH | DFND | 217,075 | 0 | 0 | ||
REALPAGE INC | COM | 75606N109 | 744 | 15,445 | SH | DFND | 15,445 | 0 | 0 | ||
REALPAGE INC | NOTE 1.500%11/1 | 75606NAB5 | 2,584 | 2,000,000 | PRN | DFND | 2,000,000 | 0 | 0 | ||
RESTORATION HARDWARE HLDGS I | DBCV 7/1 | 761283AC4 | 1,022 | 875,000 | PRN | DFND | 875,000 | 0 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 1,610 | 18,800 | SH | Call | DFND | 18,800 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 920 | 25,500 | SH | Call | DFND | 25,500 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 2,345 | 65,000 | SH | Put | DFND | 65,000 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 2,365 | 65,538 | SH | DFND | 65,538 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 1,016 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 3,555 | 70,000 | SH | Put | DFND | 70,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 1,625 | 32,000 | SH | DFND | 32,000 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 2,646 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 7,938 | 150,000 | SH | Put | DFND | 150,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 1,349 | 25,500 | SH | DFND | 25,500 | 0 | 0 | ||
SERVICENOW INC | NOTE 6/0 | 81762PAC6 | 2,805 | 2,000,000 | PRN | DFND | 2,000,000 | 0 | 0 | ||
SIRIUS XM HLDGS INC | COM | 82968B103 | 1,638 | 286,800 | SH | Put | DFND | 286,800 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 7,760 | 64,000 | SH | Call | DFND | 64,000 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 13 | 105 | SH | DFND | 105 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 459,353 | 1,838,000 | SH | Call | DFND | 1,838,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 255 | 1,019 | SH | DFND | 1,019 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 3,588 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 2,153 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
SPROTT PHYSICAL SILVER TR | TR UNIT | 85207K107 | 1,669 | 298,491 | SH | DFND | 298,491 | 0 | 0 | ||
TOTAL S A | SPONSORED ADR | 89151E109 | 5,077 | 97,300 | SH | Call | DFND | 97,300 | 0 | 0 | |
TURQUOISE HILL RES LTD | COM | 900435108 | 701 | 425,000 | SH | Put | DFND | 425,000 | 0 | 0 | |
TURQUOISE HILL RES LTD | COM | 900435108 | 619 | 375,000 | SH | DFND | 375,000 | 0 | 0 | ||
UBS AG LONDON BRH | ETRACS MTH 2XLV | 90270L842 | 2,110 | 176,707 | SH | DFND | 176,707 | 0 | 0 | ||
US FOODS HLDG CORP | COM | 912008109 | 1,063 | 33,585 | SH | DFND | 33,585 | 0 | 0 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 8,436 | 400,000 | SH | Call | DFND | 400,000 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 6,327 | 300,000 | SH | Put | DFND | 300,000 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 174 | 8,250 | SH | DFND | 8,250 | 0 | 0 | ||
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 2,925 | 96,786 | SH | DFND | 96,786 | 0 | 0 | ||
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 1,403 | 100,000 | SH | Call | DFND | 100,000 | 0 | 0 | |
VIRTUS INVT PARTNERS INC | PFD CV SER D | 92828Q208 | 609 | 8,000 | SH | DFND | 8,000 | 0 | 0 | ||
VISTRA ENERGY CORP | COM | 92840M102 | 2,296 | 100,300 | SH | Call | DFND | 100,300 | 0 | 0 | |
VISTRA ENERGY CORP | UNIT 02/02/2024 | 92840M300 | 8,607 | 93,988 | SH | DFND | 93,988 | 0 | 0 | ||
VMWARE INC | CL A COM | 928563402 | 344 | 2,505 | SH | DFND | 2,505 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 789 | 175,671 | SH | DFND | 175,671 | 0 | 0 | ||
WILLSCOT CORP | COM | 971375126 | 653 | 69,280 | SH | DFND | 69,280 | 0 | 0 | ||
XPO LOGISTICS INC | COM | 983793100 | 323 | 5,670 | SH | DFND | 5,670 | 0 | 0 | ||
ZAYO GROUP HLDGS INC | COM | 98919V105 | 365 | 16,000 | SH | DFND | 16,000 | 0 | 0 | ||
ZIONS BANCORPORATION N A | *W EXP 05/21/202 | 989701115 | 3,730 | 396,767 | SH | DFND | 396,767 | 0 | 0 | ||
ZIONS BANCORPORATION N A | COM | 989701107 | 5 | 124 | SH | DFND | 124 | 0 | 0 |