Chief Compliance Officer

0001615774-17-004274.txt : 20170811 0001615774-17-004274.hdr.sgml : 20170811 20170811162201 ACCESSION NUMBER: 0001615774-17-004274 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170811 DATE AS OF CHANGE: 20170811 EFFECTIVENESS DATE: 20170811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17148 FILM NUMBER: 171025410 BUSINESS ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001464790 XXXXXXXX 06-30-2017 06-30-2017 false B. Riley Financial, Inc.

21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367

13F HOLDINGS REPORT 028-17148 N Michael Markunas Chief Compliance Officer 310-689-2220 /s/ Michael Markunas Los Angeles CA 08-11-2017 1 220 362185 1 0001658704 028-17147 B. RILEY CAPITAL MANAGEMENT, LLC INFORMATION TABLE 2 infotable.xml APOLLO SR FLOATING RATE FD I COM 037636107 709 42018 SH DFND 1 0 42018 0 APOLLO TACTICAL INCOME FD IN COM 037638103 385 23648 SH DFND 1 0 23648 0 APPLE INC COM 037833100 1535 10661 SH DFND 1 0 10661 0 ARISTA NETWORKS INC COM 040413106 7490 50000 SH Put DFND 1 0 50000 0 AUTOLIV INC COM 052800109 1255 11426 SH DFND 1 0 11426 0 BRT RLTY TR SH BEN INT NEW 055645303 99 82512 SH DFND 1 0 82512 0 BAZAARVOICE INC COM 073271108 658 132918 SH DFND 1 0 132918 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 255 1 SH DFND 1 0 1 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 474 2800 SH DFND 1 0 2800 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 254 10938 SH DFND 1 0 10938 0 BRUNSWICK CORP COM 117043109 610 9729 SH DFND 1 0 9729 0 CADIZ INC COM NEW 127537207 107 7900 SH DFND 1 0 7900 0 CADIZ INC COM NEW 127537207 1028 76142 SH DFND 0 76142 0 CALAMP CORP COM 128126109 653 32133 SH DFND 1 0 32133 0 CDN IMPERIAL BK COMM TORONTO COM 136069101 1217 15000 SH Put DFND 1 0 15000 0 CARBONITE INC COM 141337105 603 27670 SH DFND 1 0 27670 0 CARVANA CO CL A 146869102 1100 53758 SH DFND 1 0 53758 0 CREDIT ACCEP CORP MICH COM 225310101 1337 5200 SH DFND 1 0 5200 0 CRYOLIFE INC COM 228903100 579 29000 SH DFND 1 0 29000 0 DISNEY WALT CO COM DISNEY 254687106 265 2490 SH DFND 1 0 2490 0 DORMAN PRODUCTS INC COM 258278100 1242 15000 SH Put DFND 1 0 15000 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 1767 85546 SH DFND 1 0 85546 0 FIRST BANCORP N C COM 318910106 625 20000 SH DFND 1 0 20000 0 FORD MTR CO DEL COM PAR $0.01 345370860 4476 400000 SH Put DFND 1 0 400000 0 FORMFACTOR INC COM 346375108 362 29189 SH DFND 1 0 29189 0 GARRISON CAP INC COM 366554103 483 58435 SH DFND 1 0 58435 0 GORES HLDGS II INC COM CL A 382867109 1505 150000 SH DFND 1 0 150000 0 GORES HLDGS II INC *W EXP 03/06/202 382867117 75 50000 SH DFND 1 0 50000 0 HC2 HLDGS INC COM 404139107 8286 1409209 SH DFND 1 0 1409209 0 HC2 HLDGS INC COM 404139107 149 25302 SH DFND 0 25302 0 HANESBRANDS INC COM 410345102 892 38500 SH Put DFND 1 0 38500 0 HEXCEL CORP NEW COM 428291108 944 17885 SH DFND 1 0 17885 0 HOME DEPOT INC COM 437076102 209 1360 SH DFND 1 0 1360 0 IMMERSION CORP COM 452521107 758 83440 SH DFND 1 0 83440 0 ISHARES MSCI BRZ CAP ETF 464286400 278 8130 SH DFND 1 0 8130 0 ISHARES MIN VOL GBL ETF 464286525 1129 14269 SH DFND 1 0 14269 0 ISHARES MSCI TURKEY ETF 464286715 955 23000 SH DFND 1 0 23000 0 ISHARES TR SELECT DIVID ETF 464287168 1023 11093 SH DFND 1 0 11093 0 ISHARES TR MSCI EMG MKT ETF 464287234 374 9048 SH DFND 1 0 9048 0 ISHARES TR IBOXX INV CP ETF 464287242 1274 10572 SH DFND 1 0 10572 0 ISHARES TR MSCI EAFE ETF 464287465 1420 21782 SH DFND 1 0 21782 0 ISHARES TR RUS MID CAP ETF 464287499 3418 17793 SH DFND 1 0 17793 0 ISHARES TR CORE S&P MCP ETF 464287507 528 3033 SH DFND 1 0 3033 0 ISHARES TR NASDQ BIOTEC ETF 464287556 656 2114 SH DFND 1 0 2114 0 ISHARES TR RUS 1000 GRW ETF 464287614 244 2053 SH DFND 1 0 2053 0 ISHARES TR RUS 2000 GRW ETF 464287648 408 2416 SH DFND 1 0 2416 0 ISHARES TR RUSSELL 2000 ETF 464287655 26775 190000 SH Put DFND 1 0 190000 0 ISHARES TR CORE S&P SCP ETF 464287804 240 3422 SH DFND 1 0 3422 0 ISHARES TR MSCI ACWI EX US 464288240 511 11203 SH DFND 1 0 11203 0 ISHARES TR JP MOR EM MK ETF 464288281 1132 9899 SH DFND 1 0 9899 0 ISHARES TR NEW YORK MUN ETF 464288323 1500 13446 SH DFND 1 0 13446 0 ISHARES TR NATIONAL MUN ETF 464288414 964 8758 SH DFND 1 0 8758 0 ISHARES TR INTL SEL DIV ETF 464288448 1801 55056 SH DFND 1 0 55056 0 ISHARES TR 1-3 YR CR BD ETF 464288646 1669 15852 SH DFND 1 0 15852 0 ISHARES TR GLOBAL MATER ETF 464288695 326 5448 SH DFND 1 0 5448 0 KEMET CORP COM NEW 488360207 5373 419756 SH DFND 1 0 419756 0 KEMET CORP COM NEW 488360207 135 10540 SH DFND 0 10540 0 KULICKE & SOFFA INDS INC COM 501242101 339 17820 SH DFND 1 0 17820 0 LINDBLAD EXPEDITIONS HLDGS I COM 535219109 162 15420 SH DFND 1 0 15420 0 MADDEN STEVEN LTD COM 556269108 656 16429 SH DFND 1 0 16429 0 MICROSOFT CORP COM 594918104 3195 46355 SH DFND 1 0 46355 0 MICRON TECHNOLOGY INC COM 595112103 1761 58962 SH DFND 1 0 58962 0 MIMEDX GROUP INC COM 602496101 897 59900 SH DFND 1 0 59900 0 MIMEDX GROUP INC COM 602496101 1198 80000 SH Call DFND 1 0 80000 0 NEW MTN FIN CORP COM 647551100 437 30000 SH DFND 1 0 30000 0 NOKIA CORP SPONSORED ADR 654902204 609 98792 SH DFND 1 0 98792 0 NOVAVAX INC COM 670002104 12 10500 SH DFND 1 0 10500 0 NUVEEN MTG OPPORTUNITY TERM COM 670735109 240 9383 SH DFND 1 0 9383 0 OCCIDENTAL PETE CORP DEL COM 674599105 4490 75000 SH Call DFND 1 0 75000 0 ON SEMICONDUCTOR CORP COM 682189105 777 55311 SH DFND 1 0 55311 0 ONE LIBERTY PPTYS INC COM 682406103 293 22849 SH DFND 1 0 22849 0 OOMA INC COM 683416101 927 115845 SH DFND 1 0 115845 0 PAPA MURPHYS HLDGS INC COM 698814100 437 100000 SH DFND 0 100000 0 PENNANTPARK INVT CORP COM 708062104 2559 346270 SH DFND 1 0 346270 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 554 203000 SH DFND 1 0 203000 0 ROYAL BK CDA MONTREAL QUE COM 780087102 7252 100000 SH Put DFND 1 0 100000 0 S&W SEED CO COM 785135104 656 158054 SH DFND 1 0 158054 0 SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323108 841 254000 SH DFND 1 0 254000 0 SNAP ON INC COM 833034101 2370 15000 SH Put DFND 1 0 15000 0 SPLUNK INC COM 848637104 431 7579 SH DFND 1 0 7579 0 STAMPS COM INC COM NEW 852857200 581 3751 SH DFND 1 0 3751 0 STURM RUGER & CO INC COM 864159108 1243 20000 SH Put DFND 1 0 20000 0 SUPERIOR INDS INTL INC COM 868168105 647 31491 SH DFND 1 0 31491 0 THL CR INC COM 872438106 199 20000 SH DFND 1 0 20000 0 TELENAV INC COM 879455103 3041 375393 SH DFND 1 0 375393 0 TERADYNE INC COM 880770102 297 9904 SH DFND 1 0 9904 0 TONIX PHARMACEUTICALS HLDG C COM 890260409 1637 378138 SH DFND 1 0 378138 0 TRANSACT TECHNOLOGIES INC COM 892918103 622 73254 SH DFND 1 0 73254 0 VANGUARD SPECIALIZED PORTFOLIO DIV APP ETF 921908844 1500 16183 SH DFND 1 0 16183 0 VANGUARD STAR FD VG TL INTL STK F 921909768 507 9756 SH DFND 1 0 9756 0 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2609 52996 SH DFND 1 0 52996 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 339 6784 SH DFND 1 0 6784 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2146 52553 SH DFND 1 0 52553 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 628 9546 SH DFND 1 0 9546 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 473 8572 SH DFND 1 0 8572 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3305 23191 SH DFND 1 0 23191 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 8681 78189 SH DFND 1 0 78189 0 VANGUARD INDEX FDS GROWTH ETF 922908736 328 2578 SH DFND 1 0 2578 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1953 15697 SH DFND 1 0 15697 0 ZION OIL & GAS INC COM 989696109 261 76070 SH DFND 1 0 76070 0 IMAX CORP COM 45245E109 506 23004 SH DFND 1 0 23004 0 ALPS ETF TR ALERIAN MLP 00162Q866 316 26420 SH DFND 1 0 26420 0 AMC ENTMT HLDGS INC CL A COM 00165C104 591 25985 SH DFND 1 0 25985 0 AEHR TEST SYSTEMS COM 00760J108 1889 503838 SH DFND 1 0 503838 0 AMERICAN OUTDOOR BRANDS CORP COM 02874P103 1662 75000 SH Put DFND 1 0 75000 0 APOLLO INVT CORP COM 03761U106 308 48206 SH DFND 1 0 48206 0 ARES CAP CORP COM 04010L103 1257 76733 SH DFND 1 0 76733 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 229 13989 SH DFND 1 0 13989 0 AXON ENTERPRISE INC COM 05464C101 622 24725 SH DFND 1 0 24725 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 179 10000 SH DFND 1 0 10000 0 BOULEVARD ACQUISITION CL A 10157Q102 2776 277048 SH DFND 1 0 277048 0 BROOKLINE BANCORP INC DEL COM 11373M107 835 57206 SH DFND 1 0 57206 0 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 5494 80000 SH Put DFND 1 0 80000 0 C&J ENERGY SVCS INC NEW COM 12674R100 1969 57465 SH DFND 1 0 57465 0 CLOUDERA INC COM 18914U100 504 31490 SH DFND 1 0 31490 0 COHEN & STEERS LTD DUR PFD I COM 19248C105 748 28006 SH DFND 1 0 28006 0 COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 97 126598 PRN DFND 0 126598 0 COSTCO WHSL CORP NEW COM 22160K105 217 1355 SH DFND 1 0 1355 0 COVISINT CORP COM 22357R103 7696 3141213 SH DFND 1 0 3141213 0 DXC TECHNOLOGY CO COM 23355L106 364 4751 SH DFND 1 0 4751 0 DIGITAL TURBINE INC COM NEW 25400W102 1428 1386481 SH DFND 1 0 1386481 0 DIGITAL TURBINE INC COM NEW 25400W102 305 295918 SH DFND 0 295918 0 EHEALTH INC COM 28238P109 705 37500 SH DFND 1 0 37500 0 ENERGOUS CORP COM 29272C103 813 50000 SH Put DFND 1 0 50000 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 226 12590 SH DFND 1 0 12590 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 346 17312 SH DFND 1 0 17312 0 FACEBOOK INC CL A 30303M102 535 3544 SH DFND 1 0 3544 0 FINISAR CORP COM NEW 31787A507 1449 55768 SH DFND 1 0 55768 0 FINJAN HLDGS INC COM NEW 31788H303 3936 1200000 SH DFND 1 0 1200000 0 FINJAN HLDGS INC COM NEW 31788H303 1523 464319 SH DFND 0 464319 0 FINTECH ACQUISITION CORP II COM 31810G109 980 100000 SH DFND 1 0 100000 0 FINTECH ACQUISITION CORP II *W EXP 01/19/202 31810G117 38 50000 SH DFND 1 0 50000 0 FUSION TELECOMM INTL INC COM NEW 36113B400 145 100000 SH DFND 0 100000 0 GW PHARMACEUTICALS PLC ADS 36197T103 1163 11600 SH Put DFND 1 0 11600 0 GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 745 77344 SH DFND 1 0 77344 0 HP INC COM 40434L105 2343 134048 SH DFND 1 0 134048 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 5875 250000 SH DFND 1 0 250000 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 918 55312 SH DFND 1 0 55312 0 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 163 225000 PRN DFND 0 225000 0 ISTAR INC COM 45031U101 518 43000 SH DFND 1 0 43000 0 INSEEGO CORP NOTE 5.500% 6/1 45782BAA2 647 900000 PRN DFND 0 900000 0 INTUITIVE SURGICAL INC COM NEW 46120E602 2806 3000 SH Put DFND 1 0 3000 0 INVUITY INC COM NEW 46187J205 3625 500000 SH DFND 1 0 500000 0 ISHARES TR FLTG RATE BD ETF 46429B655 3036 59625 SH DFND 1 0 59625 0 ISHARES TR MIN VOL EAFE ETF 46429B689 611 8819 SH DFND 1 0 8819 0 ISHARES TR MIN VOL USA ETF 46429B697 1041 21269 SH DFND 1 0 21269 0 ISHARES TR CORE MSCI EAFE 46432F842 626 10275 SH DFND 1 0 10275 0 KBL MERGER CORP IV UNIT 01/15/2024 48242A203 408 40000 SH DFND 1 0 40000 0 KAYNE ANDERSON ACQUISITION COM CL A 48661U102 2041 209998 SH DFND 1 0 209998 0 KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 52 66666 SH DFND 1 0 66666 0 KRATOS DEFENSE & SEC SOLUTIONS COM NEW 50077B207 602 50722 SH DFND 1 0 50722 0 LADENBURG THALMAN FIN SVCS I COM 50575Q102 6 81050 SH DFND 1 0 81050 0 LONESTAR RES US INC CL A VTG 54240F103 2744 638101 SH DFND 1 0 638101 0 LUMENTUM HLDGS INC COM 55024U109 1014 17775 SH DFND 1 0 17775 0 MCBC HLDGS INC COM 55276F107 5726 292907 SH DFND 1 0 292907 0 MCBC HLDGS INC COM 55276F107 489 25000 SH DFND 0 25000 0 M I ACQUISITIONS INC COM 55304A104 215 21500 SH DFND 1 0 21500 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 966 100000 SH DFND 1 0 100000 0 MATLIN & PARTNERS ACQUISITIO *W EXP 03/15/202 57682V114 38 100000 SH DFND 1 0 100000 0 MERIDIAN BANCORP INC MD COM 58958U103 389 23000 SH DFND 1 0 23000 0 NETSCOUT SYS INC COM 64115T104 602 17503 SH DFND 1 0 17503 0 NETLIST INC COM 64118P109 1378 1351013 SH DFND 1 0 1351013 0 NEWS CORP NEW CL A 65249B109 704 51400 SH DFND 1 0 51400 0 NUMEREX CORP PA CL A 67053A102 74 15000 SH DFND 0 15000 0 NUVEEN BUILD AMER BD FD COM 67074C103 529 25223 SH DFND 1 0 25223 0 OCLARO INC COM NEW 67555N206 607 64940 SH DFND 1 0 64940 0 PENNANTPARK FLOATING RATE CA COM 70806A106 2590 183585 SH DFND 1 0 183585 0 PIMCO ETF TR LOW DURTN AC ETF 72201R718 1169 11544 SH DFND 1 0 11544 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 6646 65334 SH DFND 1 0 65334 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 761 60000 SH DFND 1 0 60000 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1116 8108 SH DFND 1 0 8108 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 41457 301200 SH Put DFND 1 0 301200 0 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 279 6102 SH DFND 1 0 6102 0 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 209 8830 SH DFND 1 0 8830 0 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 612 40527 SH DFND 1 0 40527 0 PRIMO WTR CORP COM 74165N105 1072 84375 SH DFND 1 0 84375 0 REDWOOD TR INC NOTE 4.625% 4/1 758075AB1 10 10000 PRN DFND 0 10000 0 RENT A CTR INC NEW COM 76009N100 272 23206 SH DFND 0 23206 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1736 7180 SH DFND 1 0 7180 0 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 824 19839 SH DFND 1 0 19839 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 553 2592 SH DFND 1 0 2592 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 308 3440 SH DFND 1 0 3440 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 493 20000 SH Put DFND 1 0 20000 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 5108 75000 SH Put DFND 1 0 75000 0 SELECT ENERGY SVCS INC CL A COM 81617J301 1763 145100 SH DFND 1 0 145100 0 SENSUS HEATLHCARE INC COM 81728J109 421 104794 SH DFND 1 0 104794 0 SENSUS HEATLHCARE INC *W EXP 06/08/201 81728J117 139 231256 SH DFND 1 0 231256 0 SILVER RUN ACQUISITION COM CL A 82812A103 506 49998 SH DFND 1 0 49998 0 SILVER RUN ACQUISITION *W EXP 03/28/202 82812A111 30 16666 SH DFND 1 0 16666 0 SKYWORKS SOLUTIONS INC COM 83088M102 585 6100 SH DFND 1 0 6100 0 SOLAR CAP LTD COM 83413U100 208 9530 SH DFND 1 0 9530 0 SOLAR SR CAP LTD COM 83416M105 4651 277831 SH DFND 1 0 277831 0 TEMPUR SEALY INTL INC COM 88023U101 3737 70000 SH DFND 1 0 70000 0 THESTREET INC COM 88368Q103 218 263200 SH DFND 0 263200 0 TIVO CORP COM 88870P106 634 34021 SH DFND 1 0 34021 0 TORTOISE MLP FD INC COM 89148B101 890 46160 SH DFND 1 0 46160 0 TRUECAR INC COM 89785L107 680 34095 SH DFND 1 0 34095 0 TWITTER INC COM 90184L102 1251 70000 SH Call DFND 1 0 70000 0 USANA HEALTH SCIENCES INC COM 90328M107 1923 30000 SH DFND 1 0 30000 0 USANA HEALTH SCIENCES INC COM 90328M107 3205 50000 SH Put DFND 1 0 50000 0 URBAN EDGE PPTYS COM 91704F104 392 16523 SH DFND 1 0 16523 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 4912 60000 SH Put DFND 1 0 60000 0 VANECK VECTORS ETF TR BIOTECH ETF 92189F726 203 1619 SH DFND 1 0 1619 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3381 42247 SH DFND 1 0 42247 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 783 8396 SH DFND 1 0 8396 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3027 34584 SH DFND 1 0 34584 0 VERITONE INC COM 92347M100 2022 172643 SH DFND 1 0 172643 0 VERSO CORP CL A 92531L207 1853 395000 SH DFND 1 0 395000 0 VIASAT INC COM 92552V100 624 9424 SH DFND 1 0 9424 0 VONAGE HLDGS CORP COM 92886T201 2011 307500 SH DFND 1 0 307500 0 WILDHORSE RESOURCE DEV CORP COM 96812T102 622 50247 SH DFND 1 0 50247 0 WISDOMTREE TR GLB US QTLY DIV 97717W844 651 12222 SH DFND 1 0 12222 0 ATLANTIC ALLIANCE PARTNER CO SHS G04897107 1254 122381 SH DFND 1 0 122381 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 985 100000 SH DFND 1 0 100000 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 1828 44675 SH DFND 1 0 44675 0 FERROGLOBE PLC SHS G33856108 6788 568035 SH DFND 1 0 568035 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2526 250099 SH DFND 1 0 250099 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 64 58333 SH DFND 1 0 58333 0 JINKOSOLAR HLDG CO LTD DEBT 4.000% 2/0 G51385AA3 458 22000 SH DFND 1 0 22000 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 1750 105948 SH DFND 1 0 105948 0