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 |
ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 19 | 578 | SH | DFND | 0 | 578 | 0 | ||
ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 786 | 3,100 | SH | DFND | 0 | 3,100 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 3,351 | 3,181 | SH | DFND | 0 | 3,181 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 1,100 | 15,400 | SH | DFND | 0 | 15,400 | 0 | ||
AMERICAN RLTY CAP PPTYS INC | NOTE 3.000% 8/0 | 02917TAA2 | 20,017 | 20,000,000 | SH | DFND | 1 | 0 | 20,000,000 | 0 | |
AMERICAN RLTY CAP PPTYS INC | NOTE 3.750% 12/1 | 02917TAB0 | 29,148 | 28,319,000 | SH | DFND | 1 | 0 | 28,319,000 | 0 | |
AMERICAN RLTY CAP PPTYS INC | NOTE 3.750% 12/1 | 02917TAB0 | 7,241 | 7,000,000 | SH | DFND | 0 | 7,000,000 | 0 | ||
AMERISOURCEBERGEN CORP | COM | 03073E105 | 854 | 9,300 | SH | DFND | 0 | 9,300 | 0 | ||
APPLE INC | COM | 037833100 | 846 | 5,000 | SH | DFND | 0 | 5,000 | 0 | ||
BANK AMER CORP | COM | 060505104 | 1,269 | 43,000 | SH | DFND | 0 | 43,000 | 0 | ||
BAOZUN INC | SPONSORED ADR | 06684L103 | 5,636 | 178,570 | SH | DFND | 0 | 178,570 | 0 | ||
BAOZUN INC | SPONSORED ADR | 06684L103 | 8,095 | 256,480 | SH | DFND | 1 | 0 | 256,480 | 0 | |
BEYONDSPRING INC | SHS | G10830100 | 6,979 | 240,000 | SH | DFND | 2 | 0 | 240,000 | 0 | |
CARDINAL HEALTH INC | COM | 14149Y108 | 423 | 6,900 | SH | DFND | 0 | 6,900 | 0 | ||
CHECK CAP LTD | SHS | M2361E112 | 1,332 | 1,530,699 | SH | DFND | 2 | 0 | 1,530,699 | 0 | |
CHECK CAP LTD | *W EXP 02/28/202 | M2361E120 | 60 | 333,333 | SH | DFND | 2 | 0 | 333,333 | 0 | |
COLONY CAP INC | NOTE 5.000% 4/1 | 19624RAA4 | 20,546 | 20,000,000 | SH | DFND | 1 | 0 | 20,000,000 | 0 | |
COLONY CAP INC | NOTE 3.875% 1/1 | 19624RAB2 | 39,917 | 40,000,000 | SH | DFND | 1 | 0 | 40,000,000 | 0 | |
COLONY NORTHSTAR INC | CL A COM | 19625W104 | 16,498 | 1,446,014 | SH | DFND | 0 | 1,446,014 | 0 | ||
COLONY NORTHSTAR INC | CL A COM | 19625W104 | 43,358 | 3,800,006 | SH | DFND | 1 | 0 | 3,800,006 | 0 | |
CONTRAFECT CORP | COM | 212326102 | 8,585 | 8,500,000 | SH | DFND | 2 | 0 | 8,500,000 | 0 | |
COWEN INC | CL A NEW | 223622606 | 18,191 | 1,332,674 | SH | DFND | 0 | 1,332,674 | 0 | ||
CVS HEALTH CORP | COM | 126650100 | 479 | 6,600 | SH | DFND | 0 | 6,600 | 0 | ||
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 1,109 | 19,800 | SH | DFND | 0 | 19,800 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 1,500 | 13,950 | SH | DFND | 0 | 13,950 | 0 | ||
DOVA PHARMACEUTICALS INC | COM | 25985T102 | 1,440 | 50,000 | SH | DFND | 0 | 50,000 | 0 | ||
DOVA PHARMACEUTICALS INC | COM | 25985T102 | 19,008 | 660,000 | SH | DFND | 2 | 0 | 660,000 | 0 | |
FANG HLDGS LTD | ADR | 30711Y102 | 110,984 | 19,889,654 | SH | DFND | 1 | 0 | 19,889,654 | 0 | |
FANG HLDGS LTD | ADR | 30711Y102 | 16,600 | 2,974,909 | SH | DFND | 0 | 2,974,909 | 0 | ||
FANHUA INC | SPONSORED ADR | 30712A103 | 14,983 | 693,036 | SH | DFND | 0 | 693,036 | 0 | ||
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 1,154 | 92,400 | SH | DFND | 0 | 92,400 | 0 | ||
GENERAL DYNAMICS CORP | COM | 369550108 | 1,017 | 5,000 | SH | DFND | 0 | 5,000 | 0 | ||
GILEAD SCIENCES INC | COM | 375558103 | 8,866 | 123,759 | SH | DFND | 0 | 123,759 | 0 | ||
GLAXOSMITHKLINE PLC | SPONSORED ADR | 37733W105 | 844 | 23,800 | SH | DFND | 0 | 23,800 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 1,232 | 6,500 | SH | DFND | 0 | 6,500 | 0 | ||
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 8,594 | 543,912 | SH | DFND | 2 | 0 | 543,912 | 0 | |
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 37,327 | 2,362,495 | SH | DFND | 0 | 2,362,495 | 0 | ||
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 26,924 | 1,704,027 | SH | DFND | 1 | 0 | 1,704,027 | 0 | |
IMPAX LABORATORIES INC | COM | 45256B101 | 64,186 | 3,854,995 | SH | DFND | 2 | 0 | 3,854,995 | 0 | |
JOUNCE THERAPEUTICS INC | COM | 481116101 | 1,606 | 125,960 | SH | DFND | 0 | 125,960 | 0 | ||
JOUNCE THERAPEUTICS INC | COM | 481116101 | 2,040 | 160,000 | SH | DFND | 2 | 0 | 160,000 | 0 | |
MACYS INC | COM | 55616P104 | 1,398 | 55,500 | SH | DFND | 0 | 55,500 | 0 | ||
MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 8,020 | 268,681 | SH | DFND | 1 | 0 | 268,681 | 0 | |
MCKESSON CORP | COM | 58155Q103 | 483 | 3,100 | SH | DFND | 0 | 3,100 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 1,283 | 15,000 | SH | DFND | 0 | 15,000 | 0 | ||
MONDELEZ INTL INC | CL A | 609207105 | 916 | 21,400 | SH | DFND | 0 | 21,400 | 0 | ||
NATURES SUNSHINE PRODUCTS IN | COM | 639027101 | 32,971 | 2,854,607 | SH | DFND | 2 | 0 | 2,854,607 | 0 | |
NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | 3,313 | 62,214 | SH | DFND | 0 | 62,214 | 0 | ||
NOVARTIS AG | SPONSORED ADR | 66987V109 | 521 | 6,200 | SH | DFND | 0 | 6,200 | 0 | ||
OCEAN RIG UDW INC | COM CL | G66964118 | 10,101 | 376,918 | SH | DFND | 1 | 0 | 376,918 | 0 | |
OXFORD IMMUNOTEC GLOBAL PLC | ORD SHS | G6855A103 | 3,322 | 237,783 | SH | DFND | 2 | 0 | 237,783 | 0 | |
PRICELINE GRP INC | COM NEW | 741503403 | 999 | 575 | SH | DFND | 0 | 575 | 0 | ||
SHERWIN WILLIAMS CO | COM | 824348106 | 1,230 | 3,000 | SH | DFND | 0 | 3,000 | 0 | ||
SINA CORP | ORD | G81477104 | 115,520 | 1,151,633 | SH | DFND | 1 | 0 | 1,151,633 | 0 | |
SOHU COM INC | COM | 83408W103 | 50,477 | 1,164,397 | SH | DFND | 1 | 0 | 1,164,397 | 0 | |
SPIRIT RLTY CAP INC NEW | NOTE 2.875% 5/1 | 84860WAA0 | 20,056 | 20,000,000 | SH | DFND | 1 | 0 | 20,000,000 | 0 | |
SPIRIT RLTY CAP INC NEW | NOTE 3.750% 5/1 | 84860WAB8 | 31,163 | 30,000,000 | SH | DFND | 1 | 0 | 30,000,000 | 0 | |
SPIRIT RLTY CAP INC NEW | NOTE 3.750% 5/1 | 84860WAB8 | 19,741 | 18,992,000 | SH | DFND | 0 | 18,992,000 | 0 | ||
STARBUCKS CORP | COM | 855244109 | 1,477 | 25,720 | SH | DFND | 0 | 25,720 | 0 | ||
TEVA PHARMCEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 597 | 31,500 | SH | DFND | 0 | 31,500 | 0 | ||
TRANSGLOBE ENERGY CORP | COM | 893662106 | 3,585 | 2,422,923 | SH | DFND | 1 | 0 | 2,422,923 | 0 | |
TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | 1,262 | 37,000 | SH | DFND | 0 | 37,000 | 0 | ||
TWITTER INC | NOTE 0.250% 9/1 | 90184LAB8 | 35,388 | 37,000,000 | SH | DFND | 1 | 0 | 37,000,000 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 628 | 2,850 | SH | DFND | 0 | 2,850 | 0 | ||
VIPSHOP HLDGS LTD | NOTE 1.500% 3/1 | 92763WAA1 | 49,801 | 50,000,000 | SH | DFND | 1 | 0 | 50,000,000 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 20,639 | 1,761,032 | SH | DFND | 1 | 0 | 1,761,032 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 2,212 | 188,765 | SH | DFND | 0 | 188,765 | 0 | ||
VIEWRAY INC | COM | 92672L107 | 61,838 | 6,677,975 | SH | DFND | 0 | 6,677,975 | 0 | ||
VEREIT INC | COM | 92339V100 | 37,162 | 4,770,500 | SH | DFND | 1 | 0 | 4,770,500 | 0 | |
VEREIT INC | COM | 92339V100 | 15,188 | 1,949,632 | SH | DFND | 0 | 1,949,632 | 0 | ||
VERISIGN INC | COM | 92343E102 | 5,001 | 43,700 | SH | DFND | 0 | 43,700 | 0 | ||
YANDEX NV | NOTE 1.125% 12/1 | 98474TAB3 | 50,062 | 50,752,000 | SH | DFND | 1 | 0 | 50,752,000 | 0 |