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 |
|
||||||||||||||||
| 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 |
| AMERICAN INTL GROUP INC | COM | 026874784 | 9,511 | 212,771 | SH | DFND | 1 | 212,771 | 0 | 0 | |
| AMTRUST FINANCIAL SERVICES I | NOTE 5.500%12/1 | 032359AC5 | 6,988 | 5,000,000 | SH | DFND | 1 | 5,000,000 | 0 | 0 | |
| APPLE INC | COM | 037833100 | 8,327 | 21,000 | SH | DFND | 1 | 21,000 | 0 | 0 | |
| APPLE INC | COM | 037833100 | 3,965 | 10,000 | SH | Put | DFND | 1 | 10,000 | 0 | 0 |
| ASSISTED LIVING CONCPT NEV N | CL A NEW | 04544X300 | 9,927 | 830,000 | SH | DFND | 1 | 830,000 | 0 | 0 | |
| BIOTA PHARMACEUTIALS INC | COM | 090694100 | 1,553 | 450,000 | SH | DFND | 1 | 450,000 | 0 | 0 | |
| BOSTON PRIVATE FINL HLDGS IN | DEP SHS | 101119303 | 2,485 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| BP PLC | SPONSORED ADR | 055622104 | 3,143 | 75,304 | SH | DFND | 1 | 75,304 | 0 | 0 | |
| COCA COLA CO | COM | 191216100 | 4,123 | 102,800 | SH | Call | DFND | 1 | 102,800 | 0 | 0 |
| CODEXIS INC | COM | 192005106 | 1,546 | 699,363 | SH | DFND | 1 | 699,363 | 0 | 0 | |
| COVIDIEN PLC | SHS | G2554F113 | 5,371 | 85,464 | SH | DFND | 1 | 85,464 | 0 | 0 | |
| CST BRANDS INC | COM | 12646R105 | 274 | 8,888 | SH | DFND | 1 | 8,888 | 0 | 0 | |
| DELPHI AUTOMOTIVE PLC | SHS | G27823106 | 8,167 | 161,124 | SH | DFND | 1 | 161,124 | 0 | 0 | |
| DURECT CORP | COM | 266605104 | 4,262 | 4,059,235 | SH | DFND | 1 | 4,059,235 | 0 | 0 | |
| FURIEX PHARMACEUTICALS INC | COM | 36106P101 | 1,704 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| GEVO INC | NOTE 7.500% 7/0 | 374396AA7 | 14,976 | 22,350,000 | SH | DFND | 1 | 22,350,000 | 0 | 0 | |
| GOLD FIELDS LTD NEW | SPONSORED ADR | 38059T106 | 672 | 128,000 | SH | DFND | 1 | 128,000 | 0 | 0 | |
| IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 3,789 | 510,000 | SH | DFND | 1 | 510,000 | 0 | 0 | |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 2,276 | 120,000 | SH | Put | DFND | 1 | 120,000 | 0 | 0 |
| KBR INC | COM | 48242W106 | 650 | 20,000 | SH | DFND | 1 | 20,000 | 0 | 0 | |
| LEAR CORP | COM NEW | 521865204 | 6,046 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 9,941 | 302,700 | SH | Put | DFND | 1 | 302,700 | 0 | 0 |
| LINNCO LLC | COMSHS LTD INT | 535782106 | 7,885 | 213,500 | SH | Put | DFND | 1 | 213,500 | 0 | 0 |
| LTX-CREDENCE CORP | COM NEW | 502403207 | 5,361 | 895,000 | SH | DFND | 1 | 895,000 | 0 | 0 | |
| M D C HLDGS INC | COM | 552676108 | 1,626 | 50,000 | SH | Call | DFND | 1 | 50,000 | 0 | 0 |
| M D C HLDGS INC | COM | 552676108 | 813 | 25,000 | SH | Put | DFND | 1 | 25,000 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 4,076 | 118,000 | SH | DFND | 1 | 118,000 | 0 | 0 | |
| NEW RESIDENTIAL INVT CORP | COM | 64828T102 | 674 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| NEWMONT MINING CORP | COM | 651639106 | 5,897 | 196,900 | SH | Call | DFND | 1 | 196,900 | 0 | 0 |
| NN INC | COM | 629337106 | 488 | 42,803 | SH | DFND | 1 | 42,803 | 0 | 0 | |
| PAIN THERAPEUTICS INC | COM | 69562K100 | 1,105 | 500,000 | SH | DFND | 1 | 500,000 | 0 | 0 | |
| PARKERVISION INC | COM | 701354102 | 7 | 1,500 | SH | DFND | 1 | 1,500 | 0 | 0 | |
| PENNEY J C INC | COM | 708160106 | 3,416 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
| PENNEY J C INC | COM | 708160106 | 10,957 | 641,500 | SH | Put | DFND | 1 | 641,500 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 2,801 | 100,000 | SH | Call | DFND | 1 | 100,000 | 0 | 0 |
| PHH CORP | NOTE 6.000% 6/1 | 693320AQ6 | 2,693 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
| PHH CORP | COM NEW | 693320202 | 3,808 | 186,854 | SH | DFND | 1 | 186,854 | 0 | 0 | |
| PREFERRED APT CMNTYS INC | COM | 74039L103 | 4,987 | 554,144 | SH | DFND | 1 | 554,144 | 0 | 0 | |
| SAIC INC | COM | 78390X101 | 2,786 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 4,377 | 1,488,740 | SH | DFND | 1 | 1,488,740 | 0 | 0 | |
| SILVERCREST MINES INC | COM | 828365106 | 799 | 575,000 | SH | DFND | 1 | 575,000 | 0 | 0 | |
| SOLAZYME INC | COM | 83415T101 | 520 | 44,400 | SH | Put | DFND | 1 | 44,400 | 0 | 0 |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 91,238 | 766,000 | SH | Put | DFND | 1 | 766,000 | 0 | 0 |
| TERADYNE INC | COM | 880770102 | 1,757 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| TESLA MTRS INC | COM | 88160R101 | 7,236 | 67,400 | SH | Call | DFND | 1 | 67,400 | 0 | 0 |
| TESLA MTRS INC | COM | 88160R101 | 4,294 | 40,000 | SH | Put | DFND | 1 | 40,000 | 0 | 0 |
| TFS FINL CORP | COM | 87240R107 | 2,016 | 180,000 | SH | DFND | 1 | 180,000 | 0 | 0 | |
| TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | 2,910 | 43,800 | SH | DFND | 1 | 43,800 | 0 | 0 | |
| UNI PIXEL INC | COM NEW | 904572203 | 2,272 | 155,000 | SH | Put | DFND | 1 | 155,000 | 0 | 0 |
| UNI PIXEL INC | COM NEW | 904572203 | 440 | 30,000 | SH | DFND | 1 | 30,000 | 0 | 0 | |
| VALERO ENERGY CORP NEW | COM | 91913Y100 | 2,782 | 80,000 | SH | DFND | 1 | 80,000 | 0 | 0 | |
| VERENIUM CORP | COM NEW | 92340P209 | 176 | 78,594 | SH | DFND | 1 | 78,594 | 0 | 0 | |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | 542 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
| XEROX CORP | COM | 984121103 | 8,163 | 900,000 | SH | DFND | 1 | 900,000 | 0 | 0 | |
| ZAZA ENERGY CORP | COM | 98919T100 | 71 | 59,386 | SH | DFND | 1 | 59,386 | 0 | 0 | |
| ZYNGA INC | CL A | 98986T108 | 556 | 200,000 | SH | Put | DFND | 1 | 200,000 | 0 | 0 |