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 | 516 | 41,261 | SH | DFND | 1 | 41,261 | 0 | 0 | |
| AMTRUST FINL SVCS INC | NOTE 5.500%12/1 | 032359AC5 | 7,356 | 5,000,000 | PRN | DFND | 1 | 5,000,000 | 0 | 0 | |
| APOLLO RESIDENTIAL MTG INC | COM | 03763V102 | 2,843 | 175,200 | SH | DFND | 1 | 175,200 | 0 | 0 | |
| APPLE INC | COM | 037833100 | 1,771 | 3,300 | SH | DFND | 1 | 3,300 | 0 | 0 | |
| ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 806 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 8,935 | 71,500 | SH | DFND | 1 | 71,500 | 0 | 0 | |
| BIOTA PHARMACEUTIALS INC | COM | 090694100 | 1,053 | 172,282 | SH | DFND | 1 | 172,282 | 0 | 0 | |
| BLACKROCK NY MUNI INC QLTY T | COM | 09249U105 | 178 | 13,841 | SH | DFND | 1 | 13,841 | 0 | 0 | |
| BOSTON PRIVATE FINL HLDGS IN | DEP SHS | 101119303 | 1,587 | 68,316 | SH | DFND | 1 | 68,316 | 0 | 0 | |
| BREITBURN ENERGY PARTNERS LP | COM UT LTD PTN | 106776107 | 4,034 | 202,000 | SH | Put | DFND | 1 | 202,000 | 0 | 0 |
| CODEXIS INC | COM | 192005106 | 2,168 | 1,062,500 | SH | DFND | 1 | 1,062,500 | 0 | 0 | |
| COVIDIEN PLC | SHS | G2554F113 | 6,295 | 85,464 | SH | DFND | 1 | 85,464 | 0 | 0 | |
| CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 989 | 106,500 | SH | DFND | 1 | 106,500 | 0 | 0 | |
| DURECT CORP | COM | 266605104 | 5,546 | 4,170,000 | SH | DFND | 1 | 4,170,000 | 0 | 0 | |
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 1,381 | 115,189 | SH | DFND | 1 | 115,189 | 0 | 0 | |
| EXACT SCIENCES CORP | COM | 30063P105 | 12,753 | 900,000 | SH | DFND | 1 | 900,000 | 0 | 0 | |
| EXACT SCIENCES CORP | COM | 30063P105 | 14,170 | 1,000,000 | SH | Put | DFND | 1 | 1,000,000 | 0 | 0 |
| GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 1,821 | 158,735 | SH | DFND | 1 | 158,735 | 0 | 0 | |
| GAMING & LEISURE PPTYS INC | COM | 36467J108 | 7,641 | 209,565 | SH | DFND | 1 | 209,565 | 0 | 0 | |
| GEVO INC | NOTE 7.500% 7/0 | 374396AA7 | 13,579 | 18,400,000 | PRN | DFND | 1 | 18,400,000 | 0 | 0 | |
| HARVARD APPARATUS REGENER TE | COM | 41690A106 | 908 | 100,152 | SH | DFND | 1 | 100,152 | 0 | 0 | |
| INDEPENDENCE RLTY TR INC | COM | 45378A106 | 1,648 | 185,000 | SH | DFND | 1 | 185,000 | 0 | 0 | |
| IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 6,084 | 575,000 | SH | DFND | 1 | 575,000 | 0 | 0 | |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 5,998 | 315,000 | SH | Put | DFND | 1 | 315,000 | 0 | 0 |
| ISHARES SILVER TRUST | ISHARES | 46428Q109 | 9,520 | 500,000 | SH | Call | DFND | 1 | 500,000 | 0 | 0 |
| KBR INC | COM | 48242W106 | 534 | 20,000 | SH | DFND | 1 | 20,000 | 0 | 0 | |
| KINDER MORGAN ENERGY PARTNER | UT LTD PARTNER | 494550106 | 370 | 5,000 | SH | DFND | 1 | 5,000 | 0 | 0 | |
| KINDER MORGAN ENERGY PARTNER | UT LTD PARTNER | 494550106 | 3,698 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 2,832 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| LTX-CREDENCE CORP | COM NEW | 502403207 | 4,010 | 450,000 | SH | DFND | 1 | 450,000 | 0 | 0 | |
| MEDNAX INC | COM | 58502B106 | 11,156 | 180,000 | SH | Put | DFND | 1 | 180,000 | 0 | 0 |
| MICRON TECHNOLOGY INC | COM | 595112103 | 5,158 | 218,000 | SH | DFND | 1 | 218,000 | 0 | 0 | |
| MONDELEZ INTL INC | CL A | 609207105 | 3,213 | 93,000 | SH | DFND | 1 | 93,000 | 0 | 0 | |
| NATIONAL GEN HLDGS CORP | COM | 636220303 | 4,165 | 297,500 | SH | DFND | 1 | 297,500 | 0 | 0 | |
| NATIONAL OILWELL VARCO INC | COM | 637071101 | 5,840 | 75,000 | SH | DFND | 1 | 75,000 | 0 | 0 | |
| NEWS CORP NEW | CL B | 65249B208 | 10,606 | 635,100 | SH | DFND | 1 | 635,100 | 0 | 0 | |
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 492 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 1,968 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
| NORTH ATLANTIC DRILLING LTD | COM | G6613P202 | 884 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| NUVEEN NY AMT-FREE MUN INCOM | COM | 670656107 | 17,518 | 1,371,800 | SH | DFND | 1 | 1,371,800 | 0 | 0 | |
| NUVEEN NY DIVID ADVNTG MUN F | COM | 67066X107 | 662 | 49,805 | SH | DFND | 1 | 49,805 | 0 | 0 | |
| NUVEEN NY DIV ADVANTG MUN FD | COM | 67070A101 | 1,095 | 83,750 | SH | DFND | 1 | 83,750 | 0 | 0 | |
| ORGANOVO HLDGS INC | COM | 68620A104 | 1,146 | 150,000 | SH | Put | DFND | 1 | 150,000 | 0 | 0 |
| PAIN THERAPEUTICS INC | COM | 69562K100 | 880 | 160,000 | SH | DFND | 1 | 160,000 | 0 | 0 | |
| PREFERRED APT CMNTYS INC | COM | 74039L103 | 4,075 | 505,903 | SH | DFND | 1 | 505,903 | 0 | 0 | |
| RYMAN HOSPITALITY PPTYS INC | COM | 78377T107 | 9,992 | 235,000 | SH | DFND | 1 | 235,000 | 0 | 0 | |
| SEQUENTIAL BRANDS GROUP INC | COM NEW | 817340201 | 8,000 | 1,000,000 | SH | DFND | 1 | 1,000,000 | 0 | 0 | |
| SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 9,726 | 1,167,581 | SH | DFND | 1 | 1,167,581 | 0 | 0 | |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 12,361 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| STONEGATE MTG CORP | COM | 86181Q300 | 7,060 | 475,132 | SH | DFND | 1 | 475,132 | 0 | 0 | |
| TOWER GROUP INC | NOTE 5.000% 9/1 | 891777AC8 | 6,685 | 7,000,000 | PRN | DFND | 1 | 7,000,000 | 0 | 0 | |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | 498 | 600,000 | SH | DFND | 1 | 600,000 | 0 | 0 | |
| XEROX CORP | COM | 984121103 | 2,518 | 222,800 | SH | DFND | 1 | 222,800 | 0 | 0 | |