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 |
| ADECOAGRO S A | COM | L00849106 | 2,252 | 244,230 | SH | DFND | 1 | 244,230 | 0 | 0 | |
| AMERICAN CAP LTD | COM | 02503Y103 | 3,912 | 288,681 | SH | DFND | 1 | 288,681 | 0 | 0 | |
| APOLLO RESIDENTIAL MTG INC | COM | 03763V102 | 2,071 | 141,000 | SH | DFND | 1 | 141,000 | 0 | 0 | |
| ATHENAHEALTH INC | COM | 04685W103 | 17,187 | 150,000 | SH | Put | DFND | 1 | 150,000 | 0 | 0 |
| AVIS BUDGET GROUP | COM | 053774105 | 18,998 | 431,000 | SH | DFND | 1 | 431,000 | 0 | 0 | |
| BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 464 | 35,806 | SH | DFND | 1 | 35,806 | 0 | 0 | |
| BLUEROCK RESIDENT GR REIT IN | COM CL A | 09627J102 | 329 | 26,000 | SH | DFND | 1 | 26,000 | 0 | 0 | |
| BOULEVARD ACQUISITION CORP | *W EXP 02/19/201 | 10157P112 | 89 | 24,446 | SH | DFND | 1 | 24,446 | 0 | 0 | |
| BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 3,086 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| CALPINE CORP | COM NEW | 131347304 | 54,420 | 3,025,000 | SH | Call | DFND | 1 | 3,025,000 | 0 | 0 |
| CAMBRIDGE CAP ACQUISITION CO | *W EXP 12/17/201 | 13215Q114 | 9 | 61,500 | SH | DFND | 1 | 61,500 | 0 | 0 | |
| CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 7,703 | 591,600 | SH | DFND | 1 | 591,600 | 0 | 0 | |
| DIPEXIUM PHARMACEUTICALS INC | COM | 25456J104 | 890 | 70,000 | SH | DFND | 1 | 70,000 | 0 | 0 | |
| DURECT CORP | COM | 266605104 | 10,012 | 4,189,118 | SH | DFND | 1 | 4,189,118 | 0 | 0 | |
| EASTMAN KODAK CO | COM NEW | 277461406 | 771 | 45,920 | SH | DFND | 1 | 45,920 | 0 | 0 | |
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 2,382 | 193,026 | SH | DFND | 1 | 193,026 | 0 | 0 | |
| ELECTRUM SPL ACQUISITION COR | UNIT 99/99/9999 | G3105C120 | 10,020 | 1,000,000 | SH | DFND | 1 | 1,000,000 | 0 | 0 | |
| ENPRO INDS INC | COM | 29355X107 | 4,292 | 75,000 | SH | DFND | 1 | 75,000 | 0 | 0 | |
| FIFTH STR ASSET MGMT INC | CL A COM | 31679P109 | 2,467 | 240,000 | SH | DFND | 1 | 240,000 | 0 | 0 | |
| FORTRESS INVESTMENT GROUP LL | CL A | 34958B106 | 2,555 | 350,000 | SH | DFND | 1 | 350,000 | 0 | 0 | |
| FXCM INC | NOTE 2.250% 6/1 | 302693AB2 | 7,583 | 9,000,000 | PRN | DFND | 1 | 9,000,000 | 0 | 0 | |
| FXCM INC | COM CL A | 302693106 | 643 | 443,300 | SH | Call | DFND | 1 | 443,300 | 0 | 0 |
| FXCM INC | COM CL A | 302693106 | 93 | 64,400 | SH | Put | DFND | 1 | 64,400 | 0 | 0 |
| GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 2,662 | 264,600 | SH | DFND | 1 | 264,600 | 0 | 0 | |
| GENERAL MTRS CO | COM | 37045V100 | 1,653 | 49,600 | SH | DFND | 1 | 49,600 | 0 | 0 | |
| GEVO INC | NOTE 7.500% 7/0 | 374396AA7 | 5,764 | 10,025,000 | PRN | DFND | 1 | 10,025,000 | 0 | 0 | |
| GOLD FIELDS LTD NEW | SPONSORED ADR | 38059T106 | 1,389 | 430,000 | SH | DFND | 1 | 430,000 | 0 | 0 | |
| INTERMOLECULAR INC | COM | 45882D109 | 221 | 112,129 | SH | DFND | 1 | 112,129 | 0 | 0 | |
| IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 5,705 | 317,800 | SH | DFND | 1 | 317,800 | 0 | 0 | |
| ISHARES | MSCI BRZ CAP ETF | 464286400 | 5,112 | 156,000 | SH | Call | DFND | 1 | 156,000 | 0 | 0 |
| ISHARES | MSCI BRZ CAP ETF | 464286400 | 5,931 | 181,000 | SH | Put | DFND | 1 | 181,000 | 0 | 0 |
| ISHARES | MSCI MEX CAP ETF | 464286822 | 3,427 | 60,000 | SH | Call | DFND | 1 | 60,000 | 0 | 0 |
| ISHARES | MSCI MEX CAP ETF | 464286822 | 3,427 | 60,000 | SH | Put | DFND | 1 | 60,000 | 0 | 0 |
| ISHARES | MSCI STH AFR ETF | 464286780 | 5,922 | 90,500 | SH | Call | DFND | 1 | 90,500 | 0 | 0 |
| ISHARES | MSCI STH AFR ETF | 464286780 | 5,922 | 90,500 | SH | Put | DFND | 1 | 90,500 | 0 | 0 |
| ISHARES | MSCI STH KOR ETF | 464286772 | 11,242 | 204,000 | SH | Call | DFND | 1 | 204,000 | 0 | 0 |
| ISHARES | MSCI STH KOR ETF | 464286772 | 11,242 | 204,000 | SH | Put | DFND | 1 | 204,000 | 0 | 0 |
| ISHARES | MSCI TAIWAN ETF | 464286731 | 9,705 | 615,000 | SH | Call | DFND | 1 | 615,000 | 0 | 0 |
| ISHARES | MSCI TAIWAN ETF | 464286731 | 9,705 | 615,000 | SH | Put | DFND | 1 | 615,000 | 0 | 0 |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 2,029 | 135,000 | SH | DFND | 1 | 135,000 | 0 | 0 | |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 2,029 | 135,000 | SH | Put | DFND | 1 | 135,000 | 0 | 0 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 16,486 | 416,100 | SH | DFND | 1 | 416,100 | 0 | 0 | |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 18,694 | 405,500 | SH | Call | DFND | 1 | 405,500 | 0 | 0 |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 18,694 | 405,500 | SH | Put | DFND | 1 | 405,500 | 0 | 0 |
| KANDI TECHNOLOGIES GROUP INC | COM | 483709101 | 1,085 | 120,000 | SH | Put | DFND | 1 | 120,000 | 0 | 0 |
| KCAP FINL INC | COM | 48668E101 | 376 | 62,879 | SH | DFND | 1 | 62,879 | 0 | 0 | |
| KENON HLDGS LTD | SHS | Y46717107 | 2,587 | 130,000 | SH | DFND | 1 | 130,000 | 0 | 0 | |
| KKR & CO L P DEL | COM UNITS | 48248M102 | 5,610 | 245,500 | SH | DFND | 1 | 245,500 | 0 | 0 | |
| LEUCADIA NATL CORP | COM | 527288104 | 13,354 | 550,000 | SH | DFND | 1 | 550,000 | 0 | 0 | |
| LEVY ACQUISITION CORP | COM | 52748T104 | 4,376 | 287,500 | SH | DFND | 1 | 287,500 | 0 | 0 | |
| MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | 2,870 | 157,000 | SH | Call | DFND | 1 | 157,000 | 0 | 0 |
| MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | 2,870 | 157,000 | SH | Put | DFND | 1 | 157,000 | 0 | 0 |
| MEDLEY MGMT INC | CL A COM | 58503T106 | 1,013 | 85,537 | SH | DFND | 1 | 85,537 | 0 | 0 | |
| MEDTRONIC PLC | SHS | G5960L103 | 2,742 | 37,008 | SH | DFND | 1 | 37,008 | 0 | 0 | |
| MICRON TECHNOLOGY INC | COM | 595112103 | 10,147 | 538,600 | SH | DFND | 1 | 538,600 | 0 | 0 | |
| NATIONSTAR MTG HLDGS INC | COM | 63861C109 | 1,698 | 101,100 | SH | DFND | 1 | 101,100 | 0 | 0 | |
| NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 8,391 | 550,600 | SH | DFND | 1 | 550,600 | 0 | 0 | |
| NEW SR INVT GROUP INC | COM | 648691103 | 11,029 | 824,910 | SH | DFND | 1 | 824,910 | 0 | 0 | |
| NEW YORK REIT INC | COM | 64976L109 | 498 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| NUVEEN NY AMT FREE MUN INCOM | COM | 670656107 | 19,037 | 1,516,912 | SH | DFND | 1 | 1,516,912 | 0 | 0 | |
| NUVEEN NY DIVID ADVNTG MUN F | COM | 67066X107 | 3,498 | 258,525 | SH | DFND | 1 | 258,525 | 0 | 0 | |
| OCWEN FINL CORP | COM NEW | 675746309 | 469 | 46,000 | SH | Call | DFND | 1 | 46,000 | 0 | 0 |
| OCWEN FINL CORP | COM NEW | 675746309 | 409 | 40,100 | SH | Put | DFND | 1 | 40,100 | 0 | 0 |
| OWENS RLTY MTG INC | COM | 690828108 | 353 | 23,524 | SH | DFND | 1 | 23,524 | 0 | 0 | |
| PAIN THERAPEUTICS INC | COM | 69562K100 | 748 | 432,128 | SH | DFND | 1 | 432,128 | 0 | 0 | |
| PROSHARES TR II | VIX STRMFUT ETF | 74347W361 | 322 | 24,000 | SH | DFND | 1 | 24,000 | 0 | 0 | |
| SALESFORCE COM INC | COM | 79466L302 | 6,963 | 100,000 | SH | Call | DFND | 1 | 100,000 | 0 | 0 |
| SEQUENTIAL BRANDS GROUP INC | COM NEW | 817340201 | 4,893 | 320,000 | SH | DFND | 1 | 320,000 | 0 | 0 | |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 3,548 | 550,000 | SH | DFND | 1 | 550,000 | 0 | 0 | |
| STATE NATL COS INC | COM | 85711T305 | 2,762 | 255,000 | SH | DFND | 1 | 255,000 | 0 | 0 | |
| STONEGATE MTG CORP | COM | 86181Q300 | 4,374 | 434,328 | SH | DFND | 1 | 434,328 | 0 | 0 | |
| SUPERNUS PHARMACEUTICALS INC | NOTE 7.500% 5/0 | 868459AB4 | 16,643 | 4,962,000 | PRN | DFND | 1 | 4,962,000 | 0 | 0 | |
| VIPSHOP HLDGS LTD | NOTE 1.500% 3/1 | 92763WAA1 | 3,810 | 3,000,000 | PRN | DFND | 1 | 3,000,000 | 0 | 0 | |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 3,431 | 154,200 | SH | DFND | 1 | 154,200 | 0 | 0 | |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 13,795 | 620,000 | SH | Put | DFND | 1 | 620,000 | 0 | 0 |
| WALTER ENERGY INC | COM | 93317Q105 | 138 | 625,000 | SH | Put | DFND | 1 | 625,000 | 0 | 0 |
| WHEELER REAL ESTATE INVT TR | COM | 963025101 | 695 | 342,575 | SH | DFND | 1 | 342,575 | 0 | 0 | |
| WHEELER REAL ESTATE INVT TR | CV PFD SER B | 963025309 | 1,559 | 61,980 | SH | DFND | 1 | 61,980 | 0 | 0 | |
| WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 5,905 | 272,500 | SH | Call | DFND | 1 | 272,500 | 0 | 0 |
| WISDOMTREE TR | INDIA ERNGS FD | 97717W422 | 5,905 | 272,500 | SH | Put | DFND | 1 | 272,500 | 0 | 0 |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | 3,355 | 838,644 | SH | DFND | 1 | 838,644 | 0 | 0 | |
| XCERRA CORP | COM | 98400J108 | 1,859 | 245,590 | SH | DFND | 1 | 245,590 | 0 | 0 | |
| XENIA HOTELS & RESORTS INC | COM | 984017103 | 7,756 | 356,757 | SH | DFND | 1 | 356,757 | 0 | 0 | |
| YELP INC | CL A | 985817105 | 955 | 22,200 | SH | Call | DFND | 1 | 22,200 | 0 | 0 |
| YELP INC | CL A | 985817105 | 955 | 22,200 | SH | Put | DFND | 1 | 22,200 | 0 | 0 |