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 | 1,944 | 244,230 | SH | DFND | 1 | 244,230 | 0 | 0 | |
| APOLLO RESIDENTIAL MTG INC | COM | 03763V102 | 1,785 | 141,000 | SH | DFND | 1 | 141,000 | 0 | 0 | |
| BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 552 | 42,606 | SH | DFND | 1 | 42,606 | 0 | 0 | |
| BOULEVARD ACQUISITION | UNIT 99/99/9999 | 10157Q201 | 1,496 | 150,000 | SH | DFND | 1 | 150,000 | 0 | 0 | |
| CHEMOURS CO | COM | 163851108 | 5,823 | 900,000 | SH | DFND | 1 | 900,000 | 0 | 0 | |
| CHEMOURS CO | COM | 163851108 | 1,826 | 282,300 | SH | Call | DFND | 1 | 282,300 | 0 | 0 |
| CIMPRESS N V | SHS EURO | N20146101 | 8,981 | 118,000 | SH | DFND | 1 | 118,000 | 0 | 0 | |
| CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 6,787 | 693,931 | SH | DFND | 1 | 693,931 | 0 | 0 | |
| DEL TACO RESTAURANTS INC | COM | 245496104 | 4,025 | 287,500 | SH | DFND | 1 | 287,500 | 0 | 0 | |
| DIPEXIUM PHARMACEUTICALS INC | COM | 25456J104 | 980 | 70,000 | SH | DFND | 1 | 70,000 | 0 | 0 | |
| DOUBLE EAGLE ACQUISITION COR | UNIT 99/99/9999 | G28195108 | 2,028 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
| DURECT CORP | COM | 266605104 | 7,995 | 4,100,000 | SH | DFND | 1 | 4,100,000 | 0 | 0 | |
| EASTERLY ACQUISITION CORP | UNIT 99/99/9999 | 27616L201 | 1,010 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| EASTMAN KODAK CO | COM NEW | 277461406 | 717 | 45,920 | SH | DFND | 1 | 45,920 | 0 | 0 | |
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 2,652 | 210,438 | SH | DFND | 1 | 210,438 | 0 | 0 | |
| ELECTRUM SPL ACQUISITION COR | *W EXP 99/99/999 | G3105C112 | 193 | 875,000 | SH | DFND | 1 | 875,000 | 0 | 0 | |
| ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 4,574 | 475,000 | SH | DFND | 1 | 475,000 | 0 | 0 | |
| ENOVA INTL INC | COM | 29357K103 | 1,465 | 143,300 | SH | DFND | 1 | 143,300 | 0 | 0 | |
| ENPRO INDS INC | COM | 29355X107 | 4,423 | 112,926 | SH | DFND | 1 | 112,926 | 0 | 0 | |
| FIFTH STR ASSET MGMT INC | CL A COM | 31679P109 | 1,793 | 240,000 | SH | DFND | 1 | 240,000 | 0 | 0 | |
| FORTRESS INVESTMENT GROUP LL | CL A | 34958B106 | 3,885 | 700,000 | SH | DFND | 1 | 700,000 | 0 | 0 | |
| FXCM INC | NOTE 2.250% 6/1 | 302693AB2 | 6,660 | 9,000,000 | PRN | DFND | 1 | 9,000,000 | 0 | 0 | |
| GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 1,966 | 264,600 | SH | DFND | 1 | 264,600 | 0 | 0 | |
| GENERAL MTRS CO | COM | 37045V100 | 1,489 | 49,600 | SH | DFND | 1 | 49,600 | 0 | 0 | |
| GEVO INC | NOTE 7.500% 7/0 | 374396AA7 | 4,712 | 10,025,000 | PRN | DFND | 1 | 10,025,000 | 0 | 0 | |
| GOLD FIELDS LTD NEW | SPONSORED ADR | 38059T106 | 1,029 | 387,000 | SH | DFND | 1 | 387,000 | 0 | 0 | |
| HENNESSY CAP ACQUISITION COR | UNIT 99/99/9999 | 42588J209 | 3,205 | 325,000 | SH | DFND | 1 | 325,000 | 0 | 0 | |
| INTERMOLECULAR INC | COM | 45882D109 | 212 | 112,129 | SH | DFND | 1 | 112,129 | 0 | 0 | |
| IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 4,595 | 316,000 | SH | DFND | 1 | 316,000 | 0 | 0 | |
| ISHARES | BRAZIL SM-CP ETF | 464289131 | 16,078 | 732,500 | SH | Call | DFND | 1 | 732,500 | 0 | 0 |
| ISHARES | BRAZIL SM-CP ETF | 464289131 | 16,627 | 757,500 | SH | Put | DFND | 1 | 757,500 | 0 | 0 |
| ISHARES | MSCI BRZ CAP ETF | 464286400 | 1,778 | 81,000 | SH | DFND | 1 | 81,000 | 0 | 0 | |
| ISHARES | MSCI STH AFR ETF | 464286780 | 735 | 13,700 | SH | DFND | 1 | 13,700 | 0 | 0 | |
| ISHARES | MSCI STH AFR ETF | 464286780 | 18,010 | 335,500 | SH | Call | DFND | 1 | 335,500 | 0 | 0 |
| ISHARES | MSCI STH AFR ETF | 464286780 | 18,010 | 335,500 | SH | Put | DFND | 1 | 335,500 | 0 | 0 |
| ISHARES | MSCI TAIWAN ETF | 464286731 | 6,777 | 515,000 | SH | Call | DFND | 1 | 515,000 | 0 | 0 |
| ISHARES | MSCI TAIWAN ETF | 464286731 | 6,777 | 515,000 | SH | Put | DFND | 1 | 515,000 | 0 | 0 |
| ISHARES | MSCI TURKEY ETF | 464286715 | 2,466 | 67,500 | SH | Call | DFND | 1 | 67,500 | 0 | 0 |
| ISHARES | MSCI TURKEY ETF | 464286715 | 2,466 | 67,500 | SH | Put | DFND | 1 | 67,500 | 0 | 0 |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 1,872 | 135,000 | SH | DFND | 1 | 135,000 | 0 | 0 | |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 1,872 | 135,000 | SH | Put | DFND | 1 | 135,000 | 0 | 0 |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 3,902 | 110,000 | SH | DFND | 1 | 110,000 | 0 | 0 | |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 63,757 | 1,798,000 | SH | Call | DFND | 1 | 1,798,000 | 0 | 0 |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 63,757 | 1,798,000 | SH | Put | DFND | 1 | 1,798,000 | 0 | 0 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 22,094 | 674,000 | SH | DFND | 1 | 674,000 | 0 | 0 | |
| ISHARES TR | MSCI MEXICO | 46435G805 | 10,106 | 196,000 | SH | Call | DFND | 1 | 196,000 | 0 | 0 |
| ISHARES TR | MSCI MEXICO | 46435G805 | 10,106 | 196,000 | SH | Put | DFND | 1 | 196,000 | 0 | 0 |
| ISHARES TR | MSCI SO KOREA | 46435G888 | 38,000 | 779,000 | SH | Call | DFND | 1 | 779,000 | 0 | 0 |
| ISHARES TR | MSCI SO KOREA | 46435G888 | 38,000 | 779,000 | SH | Put | DFND | 1 | 779,000 | 0 | 0 |
| KANDI TECHNOLOGIES GROUP INC | COM | 483709101 | 630 | 120,000 | SH | Put | DFND | 1 | 120,000 | 0 | 0 |
| KCAP FINL INC | COM | 48668E101 | 167 | 37,000 | SH | DFND | 1 | 37,000 | 0 | 0 | |
| KENON HLDGS LTD | SHS | Y46717107 | 1,715 | 130,000 | SH | DFND | 1 | 130,000 | 0 | 0 | |
| KKR & CO L P DEL | COM UNITS | 48248M102 | 4,119 | 245,500 | SH | DFND | 1 | 245,500 | 0 | 0 | |
| LEUCADIA NATL CORP | COM | 527288104 | 11,143 | 550,000 | SH | DFND | 1 | 550,000 | 0 | 0 | |
| LINBLAD EXPEDITIONS HLDGS I | *W EXP 07/08/202 | 535219117 | 362 | 193,766 | SH | DFND | 1 | 193,766 | 0 | 0 | |
| MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | 7,764 | 494,500 | SH | Call | DFND | 1 | 494,500 | 0 | 0 |
| MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | 7,764 | 494,500 | SH | Put | DFND | 1 | 494,500 | 0 | 0 |
| MEDLEY MGMT INC | CL A COM | 58503T106 | 566 | 85,537 | SH | DFND | 1 | 85,537 | 0 | 0 | |
| MEDTRONIC PLC | SHS | G5960L103 | 2,477 | 37,008 | SH | DFND | 1 | 37,008 | 0 | 0 | |
| MICRON TECHNOLOGY INC | COM | 595112103 | 21,980 | 1,467,277 | SH | DFND | 1 | 1,467,277 | 0 | 0 | |
| MICRON TECHNOLOGY INC | COM | 595112103 | 28,408 | 1,896,400 | SH | Call | DFND | 1 | 1,896,400 | 0 | 0 |
| NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 10,479 | 799,933 | SH | DFND | 1 | 799,933 | 0 | 0 | |
| NEW SR INVT GROUP INC | COM | 648691103 | 11,595 | 1,108,525 | SH | DFND | 1 | 1,108,525 | 0 | 0 | |
| NUVEEN NY AMT FREE MUN INCOM | COM | 670656107 | 19,625 | 1,558,744 | SH | DFND | 1 | 1,558,744 | 0 | 0 | |
| NUVEEN NY DIVID ADVNTG MUN F | COM | 67066X107 | 3,571 | 266,092 | SH | DFND | 1 | 266,092 | 0 | 0 | |
| OWENS RLTY MTG INC | COM | 690828108 | 324 | 23,524 | SH | DFND | 1 | 23,524 | 0 | 0 | |
| PACE HLDGS CORP | UNIT 99/99/9999 | G6865N129 | 1,020 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| PAIN THERAPEUTICS INC | COM | 69562K100 | 791 | 432,128 | SH | DFND | 1 | 432,128 | 0 | 0 | |
| SALESFORCE COM INC | COM | 79466L302 | 8,679 | 125,000 | SH | Call | DFND | 1 | 125,000 | 0 | 0 |
| SEQUENTIAL BRANDS GROUP INC | COM NEW | 817340201 | 4,341 | 300,000 | SH | DFND | 1 | 300,000 | 0 | 0 | |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 4,294 | 925,531 | SH | DFND | 1 | 925,531 | 0 | 0 | |
| STATE NATL COS INC | COM | 85711T305 | 2,384 | 255,000 | SH | DFND | 1 | 255,000 | 0 | 0 | |
| STONEGATE MTG CORP | COM | 86181Q300 | 3,184 | 447,790 | SH | DFND | 1 | 447,790 | 0 | 0 | |
| SUPERNUS PHARMACEUTICALS INC | NOTE 7.500% 5/0 | 868459AB4 | 13,844 | 4,962,000 | PRN | DFND | 1 | 4,962,000 | 0 | 0 | |
| TOWER SEMICONDUCTOR LTD | SHS NEW | M87915274 | 562 | 43,660 | SH | DFND | 1 | 43,660 | 0 | 0 | |
| VIPSHOP HLDGS LTD | NOTE 1.500% 3/1 | 92763WAA1 | 3,342 | 3,000,000 | PRN | DFND | 1 | 3,000,000 | 0 | 0 | |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 2,448 | 145,700 | SH | DFND | 1 | 145,700 | 0 | 0 | |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 7,560 | 450,000 | SH | Put | DFND | 1 | 450,000 | 0 | 0 |
| WHEELER REAL ESTATE INVT TR | COM | 963025101 | 1,330 | 699,804 | SH | DFND | 1 | 699,804 | 0 | 0 | |
| WHEELER REAL ESTATE INVT TR | CV PFD SER B | 963025309 | 567 | 24,932 | SH | DFND | 1 | 24,932 | 0 | 0 | |
| WISDOMTREE TR | INDIA ERNGS FD | 977171422 | 19,591 | 983,500 | SH | Call | DFND | 1 | 983,500 | 0 | 0 |
| WISDOMTREE TR | INDIA ERNGS FD | 977171422 | 19,591 | 983,500 | SH | Put | DFND | 1 | 983,500 | 0 | 0 |
| WORLD ACCEP CORP DEL | COM | 981419104 | 3,197 | 119,100 | SH | DFND | 1 | 119,100 | 0 | 0 | |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | 5,525 | 1,222,434 | SH | DFND | 1 | 1,222,434 | 0 | 0 | |
| XCERRA CORP | COM | 98400J108 | 2,255 | 359,090 | SH | DFND | 1 | 359,090 | 0 | 0 | |
| XENIA HOTELS & RESORTS INC | COM | 984017103 | 10,651 | 610,000 | SH | DFND | 1 | 610,000 | 0 | 0 | |