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 |
8POINT3 ENERGY PARTNERS LP | CL A RPT LTDPT | 282539105 | 15,587 | 1,037,051 | SH | DFND | 1 | 1,037,051 | 0 | 0 | |
8POINT3 ENERGY PARTNERS LP | CL A RPT LTDPT | 282539105 | 13,436 | 893,963 | SH | DFND | 893,963 | 0 | 0 | ||
8POINT3 ENERGY PARTNERS LP | CL A RPT LTDPT | 282539105 | 4,992 | 332,146 | SH | DFND | 332,146 | 0 | 0 | ||
APPLIED OPTOELECTRONICS INC | COM | 03823U102 | 1,953 | 30,200 | SH | Put | DFND | 30,200 | 0 | 0 | |
APPLIED OPTOELECTRONICS INC | COM | 03823U102 | 5,277 | 81,600 | SH | Put | DFND | 81,600 | 0 | 0 | |
APPLIED OPTOELECTRONICS INC | COM | 03823U102 | 4,191 | 64,800 | SH | Put | DFND | 1 | 64,800 | 0 | 0 |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,579 | 123,860 | SH | DFND | 1 | 123,860 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,733 | 135,910 | SH | DFND | 135,910 | 0 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 640 | 50,230 | SH | DFND | 50,230 | 0 | 0 | ||
CANADIAN SOLAR INC | COM | 136635109 | 20,955 | 1,244,385 | SH | DFND | 1 | 1,244,385 | 0 | 0 | |
CANADIAN SOLAR INC | COM | 136635109 | 7,095 | 421,329 | SH | DFND | 421,329 | 0 | 0 | ||
CANADIAN SOLAR INC | COM | 136635109 | 18,355 | 1,089,951 | SH | DFND | 1,089,951 | 0 | 0 | ||
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 12,232 | 241,889 | SH | DFND | 1 | 241,889 | 0 | 0 | |
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 4,211 | 83,261 | SH | DFND | 83,261 | 0 | 0 | ||
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 10,794 | 213,444 | SH | DFND | 213,444 | 0 | 0 | ||
DAQO NEW ENERGY CORP | SPNSRD ADR NEW | 23703Q203 | 12,587 | 433,726 | SH | DFND | 1 | 433,726 | 0 | 0 | |
DAQO NEW ENERGY CORP | SPNSRD ADR NEW | 23703Q203 | 5,273 | 181,689 | SH | DFND | 181,689 | 0 | 0 | ||
DAQO NEW ENERGY CORP | SPNSRD ADR NEW | 23703Q203 | 4,702 | 162,029 | SH | DFND | 162,029 | 0 | 0 | ||
FABRINET | SHS | G3323L100 | 9,308 | 251,172 | SH | DFND | 251,172 | 0 | 0 | ||
FABRINET | SHS | G3323L100 | 3,699 | 99,813 | SH | DFND | 99,813 | 0 | 0 | ||
FABRINET | SHS | G3323L100 | 10,342 | 279,066 | SH | DFND | 1 | 279,066 | 0 | 0 | |
FINISAR CORP | COM NEW | 31787A507 | 9,712 | 438,070 | SH | DFND | 438,070 | 0 | 0 | ||
FINISAR CORP | COM NEW | 31787A507 | 10,674 | 481,471 | SH | DFND | 1 | 481,471 | 0 | 0 | |
FINISAR CORP | COM NEW | 31787A507 | 3,570 | 161,020 | SH | DFND | 161,020 | 0 | 0 | ||
FORTINET INC | COM | 34959E109 | 3,351 | 93,500 | SH | Put | DFND | 93,500 | 0 | 0 | |
FORTINET INC | COM | 34959E109 | 1,520 | 42,400 | SH | Put | DFND | 42,400 | 0 | 0 | |
FORTINET INC | COM | 34959E109 | 3,373 | 94,100 | SH | Put | DFND | 1 | 94,100 | 0 | 0 |
GRIDSUM HLDG INC | ADR REPSG CL B | 398132100 | 1,719 | 166,876 | SH | DFND | 166,876 | 0 | 0 | ||
GRIDSUM HLDG INC | ADR REPSG CL B | 398132100 | 4,649 | 451,321 | SH | DFND | 451,321 | 0 | 0 | ||
GRIDSUM HLDG INC | ADR REPSG CL B | 398132100 | 5,429 | 527,071 | SH | DFND | 1 | 527,071 | 0 | 0 | |
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 4,409 | 403,378 | SH | DFND | 403,378 | 0 | 0 | ||
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 13,120 | 1,200,341 | SH | DFND | 1 | 1,200,341 | 0 | 0 | |
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 11,608 | 1,062,032 | SH | DFND | 1,062,032 | 0 | 0 | ||
II VI INC | COM | 902104108 | 4,630 | 112,520 | SH | DFND | 112,520 | 0 | 0 | ||
II VI INC | COM | 902104108 | 4,629 | 112,487 | SH | DFND | 1 | 112,487 | 0 | 0 | |
II VI INC | COM | 902104108 | 1,700 | 41,310 | SH | DFND | 41,310 | 0 | 0 | ||
INPHI CORP | COM | 45772F107 | 8,038 | 202,514 | SH | DFND | 1 | 202,514 | 0 | 0 | |
INPHI CORP | COM | 45772F107 | 6,990 | 176,120 | SH | DFND | 176,120 | 0 | 0 | ||
INPHI CORP | COM | 45772F107 | 2,762 | 69,582 | SH | DFND | 69,582 | 0 | 0 | ||
JINKOSOLAR HLDG CO LTD | DEBT 4.000% 2/0 | G51385AA3 | 3,303 | 132,400 | SH | Put | DFND | 1 | 132,400 | 0 | 0 |
JINKOSOLAR HLDG CO LTD | DEBT 4.000% 2/0 | G51385AA3 | 3,149 | 126,200 | SH | Put | DFND | 126,200 | 0 | 0 | |
JINKOSOLAR HLDG CO LTD | DEBT 4.000% 2/0 | G51385AA3 | 1,158 | 46,400 | SH | Put | DFND | 46,400 | 0 | 0 | |
JINKOSOLAR HLDG CO LTD | DEBT 4.000% 2/0 | G51385AA3 | 1,864 | 74,700 | SH | Put | DFND | 74,700 | 0 | 0 | |
JINKOSOLAR HLDG CO LTD | DEBT 4.000% 2/0 | G51385AA3 | 2,323 | 93,100 | SH | Put | DFND | 1 | 93,100 | 0 | 0 |
JINKOSOLAR HLDG CO LTD | DEBT 4.000% 2/0 | G51385AA3 | 684 | 27,400 | SH | Put | DFND | 27,400 | 0 | 0 | |
LG DISPLAY CO LTD | SPONS ADR REP | 50186V102 | 380 | 28,282 | SH | DFND | 28,282 | 0 | 0 | ||
LG DISPLAY CO LTD | SPONS ADR REP | 50186V102 | 1,342 | 99,986 | SH | DFND | 1 | 99,986 | 0 | 0 | |
LG DISPLAY CO LTD | SPONS ADR REP | 50186V102 | 1,104 | 82,276 | SH | DFND | 82,276 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 66,231 | 1,218,600 | SH | Call | DFND | 1 | 1,218,600 | 0 | 0 |
LUMENTUM HLDGS INC | COM | 55024U109 | 15,397 | 283,300 | SH | Call | DFND | 283,300 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 53,230 | 979,400 | SH | Call | DFND | 979,400 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 8,555 | 157,400 | SH | Call | DFND | 1 | 157,400 | 0 | 0 |
LUMENTUM HLDGS INC | COM | 55024U109 | 3,239 | 59,600 | SH | Call | DFND | 59,600 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 8,783 | 161,600 | SH | Call | DFND | 161,600 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 3,673 | 67,585 | SH | DFND | 67,585 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 16,175 | 297,606 | SH | DFND | 297,606 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 15,041 | 276,740 | SH | DFND | 1 | 276,740 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 3,420 | 86,950 | SH | DFND | 86,950 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 9,293 | 236,282 | SH | DFND | 236,282 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 11,588 | 294,623 | SH | DFND | 1 | 294,623 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 4,695 | 844,471 | SH | DFND | 844,471 | 0 | 0 | ||
NEOPHOTONICS CORP | COM | 64051T100 | 2,185 | 392,923 | SH | DFND | 392,923 | 0 | 0 | ||
NEOPHOTONICS CORP | COM | 64051T100 | 6,481 | 1,165,710 | SH | DFND | 1 | 1,165,710 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 31,004 | 263,800 | SH | Put | DFND | 263,800 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 38,585 | 328,300 | SH | Put | DFND | 1 | 328,300 | 0 | 0 |
SERVICENOW INC | COM | 81762P102 | 11,259 | 95,800 | SH | Put | DFND | 95,800 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 14,355 | 80,300 | SH | Put | DFND | 80,300 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 5,274 | 29,500 | SH | Put | DFND | 29,500 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 17,913 | 100,200 | SH | Put | DFND | 1 | 100,200 | 0 | 0 |
OCLARO INC | COM NEW | 67555N206 | 2,948 | 341,590 | SH | DFND | 341,590 | 0 | 0 | ||
OCLARO INC | COM NEW | 67555N206 | 3,662 | 424,378 | SH | DFND | 1 | 424,378 | 0 | 0 | |
OCLARO INC | COM NEW | 67555N206 | 1,080 | 125,202 | SH | DFND | 125,202 | 0 | 0 | ||
RED HAT INC | COM | 756577102 | 7,915 | 71,400 | SH | Put | DFND | 1 | 71,400 | 0 | 0 |
RED HAT INC | COM | 756577102 | 2,350 | 21,200 | SH | Put | DFND | 21,200 | 0 | 0 | |
RED HAT INC | COM | 756577102 | 6,363 | 57,400 | SH | Put | DFND | 57,400 | 0 | 0 | |
SOLAREDGE TECHNOLOGIES INC | COM | 83417M104 | 1,642 | 57,500 | SH | Put | DFND | 57,500 | 0 | 0 | |
SOLAREDGE TECHNOLOGIES INC | COM | 83417M104 | 5,593 | 195,900 | SH | Put | DFND | 1 | 195,900 | 0 | 0 |
SOLAREDGE TECHNOLOGIES INC | COM | 83417M104 | 4,499 | 157,600 | SH | Put | DFND | 157,600 | 0 | 0 | |
SHOPIFY INC | CL A | 82509L107 | 8,422 | 72,300 | SH | Put | DFND | 72,300 | 0 | 0 | |
SHOPIFY INC | CL A | 82509L107 | 22,972 | 197,200 | SH | Put | DFND | 197,200 | 0 | 0 | |
SHOPIFY INC | CL A | 82509L107 | 28,552 | 245,100 | SH | Put | DFND | 1 | 245,100 | 0 | 0 |
SHOPIFY INC | COM | 82509L107 | 349 | 3,000 | SH | DFND | 1 | 3,000 | 0 | 0 | |
SKY SOLAR HLDGS LTD | SPONSORED ADR | 83084J103 | 595 | 332,393 | SH | DFND | 1 | 332,393 | 0 | 0 | |
SKY SOLAR HLDGS LTD | SPONSORED ADR | 83084J103 | 432 | 241,325 | SH | DFND | 241,325 | 0 | 0 | ||
SKY SOLAR HLDGS LTD | SPONSORED ADR | 83084J103 | 174 | 97,433 | SH | DFND | 97,433 | 0 | 0 | ||
STMICROELECTRONICS N V | NY REGISTRY | 861012102 | 1,514 | 77,980 | SH | DFND | 77,980 | 0 | 0 | ||
STMICROELECTRONICS N V | NY REGISTRY | 861012102 | 4,119 | 212,080 | SH | DFND | 212,080 | 0 | 0 | ||
STMICROELECTRONICS N V | NY REGISTRY | 861012102 | 5,135 | 264,428 | SH | DFND | 1 | 264,428 | 0 | 0 | |
SUNPOWER CORP | COM | 867652406 | 445 | 61,070 | SH | DFND | 61,070 | 0 | 0 | ||
SUNPOWER CORP | COM | 867652406 | 1,233 | 169,110 | SH | DFND | 169,110 | 0 | 0 | ||
SUNPOWER CORP | COM | 867652406 | 1,530 | 209,820 | SH | DFND | 1 | 209,820 | 0 | 0 | |
SUNRUN INC | COM | 86771W105 | 11,254 | 2,027,700 | SH | DFND | 2,027,700 | 0 | 0 | ||
SUNRUN INC | COM | 86771W105 | 13,277 | 2,392,212 | SH | DFND | 1 | 2,392,212 | 0 | 0 | |
SUNRUN INC | COM | 86771W105 | 4,151 | 747,957 | SH | DFND | 747,957 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 8,046 | 1,693,948 | SH | DFND | 1,693,948 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 2,956 | 622,359 | SH | DFND | 622,359 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 8,766 | 1,845,372 | SH | DFND | 1 | 1,845,372 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 25,207 | 73,900 | SH | Put | DFND | 1 | 73,900 | 0 | 0 |
TESLA INC | COM | 88160R101 | 7,402 | 21,700 | SH | Put | DFND | 21,700 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 20,295 | 59,500 | SH | Put | DFND | 59,500 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 22,513 | 66,000 | SH | Put | DFND | 1 | 66,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 7,334 | 21,500 | SH | Put | DFND | 21,500 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 17,908 | 52,500 | SH | Put | DFND | 52,500 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 478 | 1,400 | SH | Put | DFND | 1 | 1,400 | 0 | 0 |
TESLA INC | COM | 88160R101 | 2,388 | 7,000 | SH | Put | DFND | 7,000 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 6,447 | 18,900 | SH | Put | DFND | 18,900 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 8,664 | 915,900 | SH | Call | DFND | 1 | 915,900 | 0 | 0 |
VIAVI SOLUTIONS INC | COM | 925550105 | 6,972 | 737,000 | SH | Call | DFND | 737,000 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 2,443 | 258,200 | SH | Call | DFND | 258,200 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 13,498 | 1,426,807 | SH | DFND | 1 | 1,426,807 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 4,448 | 470,150 | SH | DFND | 470,150 | 0 | 0 | ||
VIAVI SOLUTIONS INC | COM | 925550105 | 12,021 | 1,270,714 | SH | DFND | 1,270,714 | 0 | 0 | ||
VISHAY INTERTECHNOLOGY INC | COM | 928298108 | 1,895 | 100,808 | SH | DFND | 100,808 | 0 | 0 | ||
VISHAY INTERTECHNOLOGY INC | COM | 928298108 | 5,016 | 266,801 | SH | DFND | 266,801 | 0 | 0 | ||
VISHAY INTERTECHNOLOGY INC | COM | 928298108 | 5,870 | 312,222 | SH | DFND | 1 | 312,222 | 0 | 0 | |
VIVINT SOLAR INC | COM | 92854Q106 | 6,141 | 1,806,128 | SH | DFND | 1 | 1,806,128 | 0 | 0 | |
VIVINT SOLAR INC | COM | 92854Q106 | 1,970 | 579,555 | SH | DFND | 579,555 | 0 | 0 | ||
VIVINT SOLAR INC | COM | 92854Q106 | 5,369 | 1,579,065 | SH | DFND | 1,579,065 | 0 | 0 | ||
WORKDAY INC | CL A | 98138H101 | 8,073 | 76,600 | SH | Put | DFND | 76,600 | 0 | 0 | |
WORKDAY INC | CL A | 98138H101 | 10,044 | 95,300 | SH | Put | DFND | 1 | 95,300 | 0 | 0 |
WORKDAY INC | CL A | 98138H101 | 2,961 | 28,100 | SH | Put | DFND | 28,100 | 0 | 0 |