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 |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 3,774 | 100,000 | SH | Put | DFND | 1,2,3 | 0 | 100,000 | 0 |
ALCOBRA LTD | SHS | M2239P109 | 980 | 396,800 | SH | DFND | 1,2,3 | 0 | 396,800 | 0 | |
ALLERGAN PLC | PFD CONV SER A | G0177J116 | 10,269 | 12,500 | PRN | DFND | 1,2,3 | 0 | 12,500 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 38,227 | 47,543 | SH | DFND | 1,2,3 | 0 | 47,543 | 0 | |
AMAG PHARMACEUTICALS INC | COM | 00163U106 | 6,680 | 272,526 | SH | DFND | 1,2,3 | 0 | 272,526 | 0 | |
AMAZON COM INC | COM | 023135106 | 78,839 | 94,157 | SH | DFND | 1,2,3 | 0 | 94,157 | 0 | |
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 14,641 | 838,238 | SH | DFND | 1,2,3 | 0 | 838,238 | 0 | |
ANTARES PHARMA INC | COM | 036642106 | 2,733 | 1,626,738 | SH | DFND | 1,2,3 | 0 | 1,626,738 | 0 | |
APACHE CORP | COM | 037411105 | 48,625 | 761,308 | SH | DFND | 1,2,3 | 0 | 761,308 | 0 | |
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 1,369 | 100,000 | SH | Put | DFND | 1,2,3 | 0 | 100,000 | 0 |
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 1,699 | 51,700 | SH | Call | DFND | 1,2,3 | 0 | 51,700 | 0 |
AXOVANT SCIENCES LTD | COM | G0750W104 | 1,739 | 124,188 | SH | DFND | 1,2,3 | 0 | 124,188 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 9,542 | 324,000 | SH | DFND | 1,2,3 | 0 | 324,000 | 0 | |
CALLON PETE CO DEL | COM | 13123X102 | 20,099 | 1,280,198 | SH | DFND | 1,2,3 | 0 | 1,280,198 | 0 | |
CDK GLOBAL INC | COM | 12508E101 | 41,364 | 721,134 | SH | DFND | 1,2,3 | 0 | 721,134 | 0 | |
CHUBB LIMITED | COM | H1467J104 | 24,339 | 193,705 | SH | DFND | 1,2,3 | 0 | 193,705 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 32,812 | 694,733 | SH | DFND | 1,2,3 | 0 | 694,733 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 23,667 | 501,100 | SH | Call | DFND | 1,2,3 | 0 | 501,100 | 0 |
COCA COLA EUROPEAN PARTNERS | SHS | G25839104 | 7,134 | 178,808 | SH | DFND | 1,2,3 | 0 | 178,808 | 0 | |
COLUCID PHARMACEUTICALS INC | COM | 19716T101 | 5,912 | 154,963 | SH | DFND | 1,2,3 | 0 | 154,963 | 0 | |
COMERICA INC | COM | 200340107 | 19,904 | 420,623 | SH | DFND | 1,2,3 | 0 | 420,623 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 5,126 | 30,790 | SH | DFND | 1,2,3 | 0 | 30,790 | 0 | |
CSX CORP | COM | 126408103 | 10,166 | 333,320 | SH | DFND | 1,2,3 | 0 | 333,320 | 0 | |
CYMABAY THERAPEUTICS INC | COM | 23257D103 | 1,860 | 958,822 | SH | DFND | 1,2,3 | 0 | 958,822 | 0 | |
DANAHER CORP DEL | COM | 235851102 | 20,450 | 260,871 | SH | DFND | 1,2,3 | 0 | 260,871 | 0 | |
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 22,640 | 473,643 | SH | DFND | 1,2,3 | 0 | 473,643 | 0 | |
DEPOMED INC | COM | 249908104 | 2,497 | 100,000 | SH | Put | DFND | 1,2,3 | 0 | 100,000 | 0 |
DEVON ENERGY CORP NEW | COM | 25179M103 | 21,950 | 497,625 | SH | DFND | 1,2,3 | 0 | 497,625 | 0 | |
DIPEXIUM PHARMACEUTICALS INC | COM | 25456J104 | 13,720 | 946,223 | SH | DFND | 1,2,3 | 0 | 946,223 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 5,996 | 571,555 | SH | DFND | 1,2,3 | 0 | 571,555 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 12,644 | 1,205,300 | SH | Call | DFND | 1,2,3 | 0 | 1,205,300 | 0 |
EAGLE MATERIALS INC | COM | 26969P108 | 14,942 | 193,305 | SH | DFND | 1,2,3 | 0 | 193,305 | 0 | |
EMERGENT BIOSOLUTIONS INC | COM | 29089Q105 | 3,260 | 103,400 | SH | Call | DFND | 1,2,3 | 0 | 103,400 | 0 |
ENDURANCE SPECIALTY HLDGS LT | SHS | G30397106 | 10,583 | 161,700 | SH | DFND | 1,2,3 | 0 | 161,700 | 0 | |
ENTELLUS MED INC | COM | 29363K105 | 5,071 | 228,647 | SH | DFND | 1,2,3 | 0 | 228,647 | 0 | |
EXELIXIS INC | COM | 30161Q104 | 1,685 | 131,757 | SH | DFND | 1,2,3 | 0 | 131,757 | 0 | |
EXELIXIS INC | COM | 30161Q104 | 14,078 | 1,100,700 | SH | Call | DFND | 1,2,3 | 0 | 1,100,700 | 0 |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 14,134 | 200,400 | SH | Put | DFND | 1,2,3 | 0 | 200,400 | 0 |
FATE THERAPEUTICS INC | COM | 31189P102 | 8,823 | 2,827,889 | SH | DFND | 1,2,3 | 0 | 2,827,889 | 0 | |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 20,861 | 1,067,621 | SH | DFND | 1,2,3 | 0 | 1,067,621 | 0 | |
FLOWSERVE CORP | COM | 34354P105 | 12,026 | 249,300 | SH | DFND | 1,2,3 | 0 | 249,300 | 0 | |
FORTIVE CORP | COM | 34959J108 | 26,027 | 511,333 | SH | DFND | 1,2,3 | 0 | 511,333 | 0 | |
GAMING & LEISURE PPTYS INC | COM | 36467J108 | 8,126 | 242,925 | SH | DFND | 1,2,3 | 0 | 242,925 | 0 | |
GENERAL MLS INC | COM | 370334104 | 19,164 | 300,000 | SH | Call | DFND | 1,2,3 | 0 | 300,000 | 0 |
GILEAD SCIENCES INC | COM | 375558103 | 4,642 | 58,668 | SH | DFND | 1,2,3 | 0 | 58,668 | 0 | |
GREAT ELM CAP GROUP INC | COM | 39036P100 | 2,556 | 545,020 | SH | DFND | 1,2,3 | 0 | 545,020 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 13,286 | 100,100 | SH | Put | DFND | 1,2,3 | 0 | 100,100 | 0 |
HARTFORD FINL SVCS GROUP INC | COM | 416515104 | 1,261 | 29,444 | SH | DFND | 1,2,3 | 0 | 29,444 | 0 | |
HCA HOLDINGS INC | COM | 40412C101 | 3,063 | 40,496 | SH | DFND | 1,2,3 | 0 | 40,496 | 0 | |
HERBALIFE LTD | COM USD SHS | G4412G101 | 39,515 | 637,449 | SH | DFND | 1,2,3 | 0 | 637,449 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 46,452 | 2,695,997 | SH | DFND | 1,2,3 | 0 | 2,695,997 | 0 | |
HOPE BANCORP INC | COM | 43940T109 | 5,495 | 316,339 | SH | DFND | 1,2,3 | 0 | 316,339 | 0 | |
HORIZON PHARMA INVT LTD | NOTE 2.500% 3/1 | 44052TAB7 | 40,850 | 42,250,000 | PRN | DFND | 1,2,3 | 0 | 42,250,000 | 0 | |
HORIZON PHARMA PLC | SHS | G4617B105 | 123,590 | 6,816,903 | SH | DFND | 1,2,3 | 0 | 6,816,903 | 0 | |
HORIZON PHARMA PLC | SHS | G4617B105 | 66,187 | 3,650,700 | SH | Call | DFND | 1,2,3 | 0 | 3,650,700 | 0 |
INFOSYS LTD | SPONSORED ADR | 456788108 | 2,179 | 138,100 | SH | Put | DFND | 1,2,3 | 0 | 138,100 | 0 |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 7,670 | 5,700,000 | PRN | DFND | 1,2,3 | 0 | 5,700,000 | 0 | |
INTL PAPER CO | COM | 460146103 | 46,724 | 973,831 | SH | DFND | 1,2,3 | 0 | 973,831 | 0 | |
INVUITY INC | COM NEW | 46187J205 | 6,368 | 464,150 | SH | DFND | 1,2,3 | 0 | 464,150 | 0 | |
JAGUAR ANIMAL HEALTH INC | COM | 47008L106 | 1,291 | 1,008,642 | SH | DFND | 1,2,3 | 0 | 1,008,642 | 0 | |
KADMON HLDGS INC | COM | 48283N106 | 379 | 54,333 | SH | DFND | 1,2,3 | 0 | 54,333 | 0 | |
KELLOGG CO | COM | 487836108 | 7,747 | 100,000 | SH | Call | DFND | 1,2,3 | 0 | 100,000 | 0 |
KEMPHARM INC | COM | 488445107 | 1,167 | 259,967 | SH | DFND | 1,2,3 | 0 | 259,967 | 0 | |
KINSALE CAP GROUP INC | COM | 49714P108 | 1,650 | 75,000 | SH | DFND | 1,2,3 | 0 | 75,000 | 0 | |
KLX INC | COM | 482539103 | 5,323 | 151,208 | SH | DFND | 1,2,3 | 0 | 151,208 | 0 | |
KROGER CO | COM | 501044101 | 2,944 | 99,200 | SH | DFND | 1,2,3 | 0 | 99,200 | 0 | |
LENNAR CORP | CL A | 526057104 | 21,997 | 519,532 | SH | DFND | 1,2,3 | 0 | 519,532 | 0 | |
LEXICON PHARMACEUTICALS INC | COM NEW | 528872302 | 14,631 | 809,666 | SH | DFND | 1,2,3 | 0 | 809,666 | 0 | |
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 8,645 | 14,000,000 | PRN | DFND | 1,2,3 | 0 | 14,000,000 | 0 | |
LILLY ELI & CO | COM | 532457108 | 8,090 | 100,800 | SH | Call | DFND | 1,2,3 | 0 | 100,800 | 0 |
LOCKHEED MARTIN CORP | COM | 539830109 | 11,522 | 48,066 | SH | DFND | 1,2,3 | 0 | 48,066 | 0 | |
LOWES COS INC | COM | 548661107 | 16,581 | 229,616 | SH | DFND | 1,2,3 | 0 | 229,616 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 15,415 | 369,052 | SH | DFND | 1,2,3 | 0 | 369,052 | 0 | |
MEDIWOUND LTD | ORD SHS | M68830104 | 651 | 84,590 | SH | DFND | 1,2,3 | 0 | 84,590 | 0 | |
MELLANOX TECHNOLOGIES LTD | SHS | M51363113 | 10,809 | 249,913 | SH | DFND | 1,2,3 | 0 | 249,913 | 0 | |
MOLSON COORS BREWING CO | CL A | 60871R100 | 9,824 | 89,473 | SH | DFND | 1,2,3 | 0 | 89,473 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 8,780 | 200,000 | SH | Call | DFND | 1,2,3 | 0 | 200,000 | 0 |
MONSTER BEVERAGE CORP NEW | COM | 61174X109 | 6,410 | 43,659 | SH | DFND | 1,2,3 | 0 | 43,659 | 0 | |
NEWELL BRANDS INC | COM | 651229106 | 127,602 | 2,423,128 | SH | DFND | 1,2,3 | 0 | 2,423,128 | 0 | |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 47,032 | 814,973 | SH | DFND | 1,2,3 | 0 | 814,973 | 0 | |
NIVALIS THERAPEUTICS INC | COM | 65481J109 | 4,404 | 541,700 | SH | DFND | 1,2,3 | 0 | 541,700 | 0 | |
NOBLE ENERGY INC | COM | 655044105 | 42,988 | 1,202,805 | SH | DFND | 1,2,3 | 0 | 1,202,805 | 0 | |
NOMAD HLDGS LTD | USD ORD SHS | G6564A105 | 15,115 | 1,278,750 | SH | DFND | 1,2,3 | 0 | 1,278,750 | 0 | |
NOVAN INC | COM | 66988N106 | 3,994 | 197,940 | SH | DFND | 1,2,3 | 0 | 197,940 | 0 | |
OPHTHOTECH CORP | COM | 683745103 | 1,527 | 33,100 | SH | Call | DFND | 1,2,3 | 0 | 33,100 | 0 |
OTONOMY INC | COM | 68906L105 | 9,005 | 495,074 | SH | DFND | 1,2,3 | 0 | 495,074 | 0 | |
PBF ENERGY INC | CL A | 69318G106 | 12,038 | 531,700 | SH | DFND | 1,2,3 | 0 | 531,700 | 0 | |
PEPSICO INC | COM | 713448108 | 6,517 | 59,920 | SH | DFND | 1,2,3 | 0 | 59,920 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 30,766 | 613,226 | SH | DFND | 1,2,3 | 0 | 613,226 | 0 | |
PROCTER AND GAMBLE CO | COM | 742718109 | 8,076 | 89,985 | SH | DFND | 1,2,3 | 0 | 89,985 | 0 | |
RECRO PHARMA INC | COM | 75629F109 | 1,017 | 115,000 | SH | DFND | 1,2,3 | 0 | 115,000 | 0 | |
RETROPHIN INC | COM | 761299106 | 8,506 | 380,075 | SH | DFND | 1,2,3 | 0 | 380,075 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 23,347 | 506,990 | SH | DFND | 1,2,3 | 0 | 506,990 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 3,071 | 50,000 | SH | Put | DFND | 1,2,3 | 0 | 50,000 | 0 |
SHERWIN WILLIAMS CO | COM | 824348106 | 13,800 | 49,880 | SH | DFND | 1,2,3 | 0 | 49,880 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 9,322 | 322,779 | SH | DFND | 1,2,3 | 0 | 322,779 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 381,402 | 1,763,300 | SH | Put | DFND | 1,2,3 | 0 | 1,763,300 | 0 |
SPDR SERIES TRUST | S&P BK ETF | 78464A797 | 33,453 | 1,002,200 | SH | Call | DFND | 1,2,3 | 0 | 1,002,200 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 13,278 | 200,300 | SH | Put | DFND | 1,2,3 | 0 | 200,300 | 0 |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 9,028 | 1,638,410 | SH | DFND | 1,2,3 | 0 | 1,638,410 | 0 | |
T MOBILE US INC | COM | 872590104 | 14,600 | 312,500 | SH | DFND | 1,2,3 | 0 | 312,500 | 0 | |
TARGA RES CORP | COM | 87612G101 | 2,966 | 60,400 | SH | DFND | 1,2,3 | 0 | 60,400 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 14,452 | 254,700 | SH | DFND | 1,2,3 | 0 | 254,700 | 0 | |
TESARO INC | COM | 881569107 | 6,877 | 68,608 | SH | DFND | 1,2,3 | 0 | 68,608 | 0 | |
TESARO INC | COM | 881569107 | 5,022 | 50,100 | SH | Call | DFND | 1,2,3 | 0 | 50,100 | 0 |
TONIX PHARMACEUTICALS HLDG C | COM NEW | 890260201 | 856 | 1,227,832 | SH | DFND | 1,2,3 | 0 | 1,227,832 | 0 | |
TRINA SOLAR LIMITED | DBCV 3.500% 6/1 | 89628EAC8 | 4,869 | 5,000,000 | PRN | DFND | 1,2,3 | 0 | 5,000,000 | 0 | |
TYSON FOODS INC | CL A | 902494103 | 16,674 | 223,309 | SH | DFND | 1,2,3 | 0 | 223,309 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 7,382 | 300,700 | SH | Call | DFND | 1,2,3 | 0 | 300,700 | 0 |
VANDA PHARMACEUTICALS INC | COM | 921659108 | 6,697 | 402,456 | SH | DFND | 1,2,3 | 0 | 402,456 | 0 | |
VANDA PHARMACEUTICALS INC | COM | 921659108 | 7,525 | 452,200 | SH | Call | DFND | 1,2,3 | 0 | 452,200 | 0 |
VERSARTIS INC | COM | 92529L102 | 5,893 | 481,056 | SH | DFND | 1,2,3 | 0 | 481,056 | 0 | |
VIRTU FINL INC | CL A | 928254101 | 4,317 | 288,408 | SH | DFND | 1,2,3 | 0 | 288,408 | 0 | |
WESTROCK CO | COM | 96145D105 | 8,831 | 182,155 | SH | DFND | 1,2,3 | 0 | 182,155 | 0 | |
WPX ENERGY INC | COM | 98212B103 | 31,125 | 2,359,722 | SH | DFND | 1,2,3 | 0 | 2,359,722 | 0 | |
ZELTIQ AESTHETICS INC | COM | 98933Q108 | 3,922 | 100,000 | SH | Put | DFND | 1,2,3 | 0 | 100,000 | 0 |