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 |
| ALLIANCE NEW YORK MUN INC FD | COM | 018714105 | 834 | 62,037 | SH | DFND | 1 | 62,037 | 0 | 0 | |
| AMTRUST FINL SVCS INC | NOTE 5.500%12/1 | 032359AC5 | 10,421 | 5,000,000 | PRN | DFND | 1 | 5,000,000 | 0 | 0 | |
| APOLLO RESIDENTIAL MTG INC | COM | 03763V102 | 2,224 | 141,000 | SH | DFND | 1 | 141,000 | 0 | 0 | |
| ATLAS ENERGY LP | COM UNITS LP | 04930A104 | 1,402 | 45,000 | SH | Put | DFND | 1 | 45,000 | 0 | 0 |
| BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 475 | 35,806 | SH | DFND | 1 | 35,806 | 0 | 0 | |
| BOSTON PRIVATE FINL HLDGS IN | DEP SHS | 101119303 | 386 | 15,358 | SH | DFND | 1 | 15,358 | 0 | 0 | |
| CATERPILLAR INC DEL | COM | 149123101 | 22,883 | 250,000 | SH | Put | DFND | 1 | 250,000 | 0 | 0 |
| CITY OFFICE REIT INC | COM | 178587101 | 410 | 32,000 | SH | DFND | 1 | 32,000 | 0 | 0 | |
| CODEXIS INC | COM | 192005106 | 1,231 | 488,600 | SH | DFND | 1 | 488,600 | 0 | 0 | |
| COMPANHIA SIDERURGICA NACION | SPONSORED ADR | 20440W105 | 208 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| COVIDIEN PLC | SHS | G2554F113 | 6,955 | 68,000 | SH | DFND | 1 | 68,000 | 0 | 0 | |
| COVIDIEN PLC | SHS | G2554F113 | 4,091 | 40,000 | SH | Put | DFND | 1 | 40,000 | 0 | 0 |
| CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 3,314 | 328,400 | SH | DFND | 1 | 328,400 | 0 | 0 | |
| DURECT CORP | COM | 266605104 | 4,181 | 5,298,300 | SH | DFND | 1 | 5,298,300 | 0 | 0 | |
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 2,407 | 191,487 | SH | DFND | 1 | 191,487 | 0 | 0 | |
| ENOVA INTL INC | COM | 29357K103 | 3,562 | 160,000 | SH | DFND | 1 | 160,000 | 0 | 0 | |
| EXACT SCIENCES CORP | COM | 30063P105 | 132 | 4,800 | SH | Call | DFND | 1 | 4,800 | 0 | 0 |
| EXACT SCIENCES CORP | COM | 30063P105 | 1,227 | 44,700 | SH | Put | DFND | 1 | 44,700 | 0 | 0 |
| GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 1,554 | 268,000 | SH | DFND | 1 | 268,000 | 0 | 0 | |
| GEVO INC | NOTE 7.500% 7/0 | 374396AA7 | 6,490 | 16,025,000 | PRN | DFND | 1 | 16,025,000 | 0 | 0 | |
| HARVARD APPARATUS REGENER TE | COM | 41690A106 | 370 | 116,300 | SH | DFND | 1 | 116,300 | 0 | 0 | |
| IAC INTERACTIVECORP | COM PAR $.001 | 44919P508 | 1,824 | 30,000 | SH | DFND | 1 | 30,000 | 0 | 0 | |
| IRSA INVERSIONES Y REP S A | GLOBAL DEP RCPT | 450047204 | 5,887 | 383,000 | SH | DFND | 1 | 383,000 | 0 | 0 | |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 2,033 | 135,000 | SH | DFND | 1 | 135,000 | 0 | 0 | |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 7,530 | 500,000 | SH | Call | DFND | 1 | 500,000 | 0 | 0 |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 2,033 | 135,000 | SH | Put | DFND | 1 | 135,000 | 0 | 0 |
| JOY GLOBAL INC | COM | 481165108 | 8,281 | 178,000 | SH | DFND | 1 | 178,000 | 0 | 0 | |
| JOY GLOBAL INC | COM | 481165108 | 9,304 | 200,000 | SH | Put | DFND | 1 | 200,000 | 0 | 0 |
| KKR & CO L P DEL | COM UNITS | 48248M102 | 5,698 | 245,500 | SH | DFND | 1 | 245,500 | 0 | 0 | |
| LEUCADIA NATL CORP | COM | 527288104 | 13,452 | 600,000 | SH | DFND | 1 | 600,000 | 0 | 0 | |
| LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 1,520 | 150,000 | SH | DFND | 1 | 150,000 | 0 | 0 | |
| LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 2,026 | 200,000 | SH | Put | DFND | 1 | 200,000 | 0 | 0 |
| MARKET VECTORS ETF TR | OIL SVCS ETF | 57060U191 | 876 | 24,400 | SH | Put | DFND | 1 | 24,400 | 0 | 0 |
| NEWS CORP NEW | CL A | 65249B109 | 4,236 | 270,000 | SH | DFND | 1 | 270,000 | 0 | 0 | |
| NEWS CORP NEW | CL B | 65249B208 | 7,436 | 493,124 | SH | DFND | 1 | 493,124 | 0 | 0 | |
| NUVEEN NY AMT FREE MUN INCOM | COM | 670656107 | 17,429 | 1,351,100 | SH | DFND | 1 | 1,351,100 | 0 | 0 | |
| NUVEEN NY DIV ADVANTG MUN FD | COM | 67070A101 | 1,651 | 124,799 | SH | DFND | 1 | 124,799 | 0 | 0 | |
| NUVEEN NY DIVID ADVNTG MUN F | COM | 67066X107 | 1,537 | 113,577 | SH | DFND | 1 | 113,577 | 0 | 0 | |
| PAIN THERAPEUTICS INC | COM | 69562K100 | 281 | 138,502 | SH | DFND | 1 | 138,502 | 0 | 0 | |
| SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 3,166 | 40,000 | SH | DFND | 1 | 40,000 | 0 | 0 | |
| SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 7,916 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| SEQUENTIAL BRANDS GROUP INC | COM NEW | 817340201 | 4,182 | 320,000 | SH | DFND | 1 | 320,000 | 0 | 0 | |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 4,542 | 600,000 | SH | DFND | 1 | 600,000 | 0 | 0 | |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 341 | 3,000 | SH | DFND | 1 | 3,000 | 0 | 0 | |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 6,815 | 60,000 | SH | Put | DFND | 1 | 60,000 | 0 | 0 |
| STATE NATL COS INC | COM | 85711T305 | 2,875 | 240,000 | SH | DFND | 1 | 240,000 | 0 | 0 | |
| STONEGATE MTG CORP | COM | 86181Q300 | 5,143 | 430,000 | SH | DFND | 1 | 430,000 | 0 | 0 | |
| SUPERNUS PHARMACEUTICALS INC | NOTE 7.500% 5/0 | 868459AB4 | 14,013 | 8,100,000 | PRN | DFND | 1 | 8,100,000 | 0 | 0 | |
| TRANSOCEAN LTD | REG SHS | H8817H100 | 733 | 40,000 | SH | DFND | 1 | 40,000 | 0 | 0 | |
| TRANSOCEAN LTD | REG SHS | H8817H100 | 733 | 40,000 | SH | Put | DFND | 1 | 40,000 | 0 | 0 |
| VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 805 | 53,400 | SH | DFND | 1 | 53,400 | 0 | 0 | |
| VANGUARD NAT RES LLC | COM UNIT | 92205F106 | 1,715 | 113,800 | SH | Put | DFND | 1 | 113,800 | 0 | 0 |
| WALTER ENERGY INC | COM | 93317Q105 | 331 | 240,000 | SH | DFND | 1 | 240,000 | 0 | 0 | |
| WALTER ENERGY INC | COM | 93317Q105 | 863 | 625,000 | SH | Put | DFND | 1 | 625,000 | 0 | 0 |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | 3,356 | 701,988 | SH | DFND | 1 | 701,988 | 0 | 0 | |
| XCERRA CORP | COM | 98400J108 | 2,748 | 300,000 | SH | DFND | 1 | 300,000 | 0 | 0 | |