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 |
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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 |
ADIENT PLC | ORD SHS | G0084W101 | 16,961 | 289,435 | SH | DFND | 1,2,3,4 | 0 | 289,435 | 0 | |
ALCOBRA LTD | SHS | M2239P109 | 1,365 | 650,000 | SH | DFND | 1,2,3,4 | 0 | 650,000 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 5,506 | 45,000 | SH | DFND | 1,2,3,4 | 0 | 45,000 | 0 | |
ALLERGAN PLC | PFD CONV SER A | G0177J116 | 2,287 | 3,000 | SH | DFND | 1,2,3,4 | 0 | 3,000 | 0 | |
ALTRIA GROUP INC | COM | 02209S103 | 17,749 | 262,483 | SH | DFND | 1,2,3,4 | 0 | 262,483 | 0 | |
AMAG PHARMACEUTICALS INC | COM | 00163U106 | 5,062 | 145,474 | SH | DFND | 1,2,3,4 | 0 | 145,474 | 0 | |
AMAZON COM INC | COM | 023135106 | 16,337 | 21,786 | SH | DFND | 1,2,3,4 | 0 | 21,786 | 0 | |
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 17,627 | 815,000 | SH | DFND | 1,2,3,4 | 0 | 815,000 | 0 | |
ANTARES PHARMA INC | COM | 036642106 | 4,699 | 2,016,830 | SH | DFND | 1,2,3,4 | 0 | 2,016,830 | 0 | |
APACHE CORP | COM | 037411105 | 50,182 | 790,644 | SH | DFND | 1,2,3,4 | 0 | 790,644 | 0 | |
ARCHER DANIELS MIDLAND CO | COM | 039483102 | 2,283 | 50,000 | SH | DFND | 1,2,3,4 | 0 | 50,000 | 0 | |
ARCHER DANIELS MIDLAND CO | COM | 039483102 | 18,260 | 400,000 | SH | Call | DFND | 1,2,3,4 | 0 | 400,000 | 0 |
ARCONIC INC | COM | 03965L100 | 4,375 | 236,000 | SH | DFND | 1,2,3,4 | 0 | 236,000 | 0 | |
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 995 | 80,000 | SH | Put | DFND | 1,2,3,4 | 0 | 80,000 | 0 |
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 8,242 | 301,700 | SH | Call | DFND | 1,2,3,4 | 0 | 301,700 | 0 |
ATHENE HLDG LTD | CL A | G0684D107 | 8,537 | 192,308 | SH | DFND | 1,2,3,4 | 0 | 192,308 | 0 | |
BLOOMIN BRANDS INC | COM | 094235108 | 3,155 | 175,000 | SH | DFND | 1,2,3,4 | 0 | 175,000 | 0 | |
BRINKER INTL INC | COM | 109641100 | 2,972 | 60,000 | SH | DFND | 1,2,3,4 | 0 | 60,000 | 0 | |
CALLON PETE CO DEL | COM | 13123X102 | 25,358 | 1,649,869 | SH | DFND | 1,2,3,4 | 0 | 1,649,869 | 0 | |
CATALYST PHARMACEUTICALS INC | COM | 14888U101 | 794 | 756,311 | SH | DFND | 1,2,3,4 | 0 | 756,311 | 0 | |
CHURCH & DWIGHT INC | COM | 171340102 | 8,396 | 190,000 | SH | DFND | 1,2,3,4 | 0 | 190,000 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 29,715 | 500,000 | SH | Put | DFND | 1,2,3,4 | 0 | 500,000 | 0 |
CLOROX CO DEL | COM | 189054109 | 12,002 | 100,000 | SH | Call | DFND | 1,2,3,4 | 0 | 100,000 | 0 |
COLGATE PALMOLIVE CO | COM | 194162103 | 19,632 | 300,000 | SH | Call | DFND | 1,2,3,4 | 0 | 300,000 | 0 |
COLUCID PHARMACEUTICALS INC | COM | 19716T101 | 2,201 | 60,461 | SH | DFND | 1,2,3,4 | 0 | 60,461 | 0 | |
CSRA INC | COM | 12650T104 | 6,368 | 200,000 | SH | DFND | 1,2,3,4 | 0 | 200,000 | 0 | |
CSX CORP | COM | 126408103 | 15,342 | 426,989 | SH | DFND | 1,2,3,4 | 0 | 426,989 | 0 | |
CYMABAY THERAPEUTICS INC | COM | 23257D103 | 1,629 | 941,348 | SH | DFND | 1,2,3,4 | 0 | 941,348 | 0 | |
DANA INCORPORATED | COM | 235825205 | 4,955 | 261,040 | SH | DFND | 1,2,3,4 | 0 | 261,040 | 0 | |
DAVE & BUSTERS ENTMT INC | COM | 238337109 | 7,087 | 125,884 | SH | DFND | 1,2,3,4 | 0 | 125,884 | 0 | |
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 31,243 | 568,368 | SH | DFND | 1,2,3,4 | 0 | 568,368 | 0 | |
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 6,149 | 125,000 | SH | DFND | 1,2,3,4 | 0 | 125,000 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 20,575 | 450,506 | SH | DFND | 1,2,3,4 | 0 | 450,506 | 0 | |
DOW CHEM CO | COM | 260543103 | 15,730 | 274,912 | SH | DFND | 1,2,3,4 | 0 | 274,912 | 0 | |
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 5,172 | 57,041 | SH | DFND | 1,2,3,4 | 0 | 57,041 | 0 | |
DUNKIN BRANDS GROUP INC | COM | 265504100 | 20,976 | 400,000 | SH | Call | DFND | 1,2,3,4 | 0 | 400,000 | 0 |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 257 | 65,100 | SH | Call | DFND | 1,2,3,4 | 0 | 65,100 | 0 |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 10,710 | 309,088 | SH | DFND | 1,2,3,4 | 0 | 309,088 | 0 | |
ENTELLUS MED INC | COM | 29363K105 | 4,757 | 250,756 | SH | DFND | 1,2,3,4 | 0 | 250,756 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 23,777 | 206,668 | SH | DFND | 1,2,3,4 | 0 | 206,668 | 0 | |
FATE THERAPEUTICS INC | COM | 31189P102 | 6,566 | 2,615,847 | SH | DFND | 1,2,3,4 | 0 | 2,615,847 | 0 | |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 26,238 | 1,379,486 | SH | DFND | 1,2,3,4 | 0 | 1,379,486 | 0 | |
FORTIVE CORP | COM | 34959J108 | 22,757 | 424,342 | SH | DFND | 1,2,3,4 | 0 | 424,342 | 0 | |
GAMING & LEISURE PPTYS INC | COM | 36467J108 | 5,480 | 178,954 | SH | DFND | 1,2,3,4 | 0 | 178,954 | 0 | |
GENERAL DYNAMICS CORP | COM | 369550108 | 23,718 | 137,370 | SH | DFND | 1,2,3,4 | 0 | 137,370 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 4,759 | 1,269,197 | SH | DFND | 1,2,3,4 | 0 | 1,269,197 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 12,600 | 1,200,000 | SH | DFND | 1,2,3,4 | 0 | 1,200,000 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 36,852 | 2,813,161 | SH | DFND | 1,2,3,4 | 0 | 2,813,161 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 13,559 | 1,035,000 | SH | Call | DFND | 1,2,3,4 | 0 | 1,035,000 | 0 |
HESS CORP | COM | 42809H107 | 62,290 | 1,000,000 | SH | Put | DFND | 1,2,3,4 | 0 | 1,000,000 | 0 |
HORIZON PHARMA INVT LTD | NOTE 2.500% 3/1 | 44052TAB7 | 42,568 | 44,750,000 | PRN | DFND | 1,2,3,4 | 0 | 44,750,000 | 0 | |
HORIZON PHARMA PLC | SHS | G4617B105 | 108,125 | 6,682,618 | SH | DFND | 1,2,3,4 | 0 | 6,682,618 | 0 | |
HORIZON PHARMA PLC | SHS | G4617B105 | 72,873 | 4,503,900 | SH | Call | DFND | 1,2,3,4 | 0 | 4,503,900 | 0 |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 5,928 | 5,700,000 | PRN | DFND | 1,2,3,4 | 0 | 5,700,000 | 0 | |
INTERCONTINENTAL EXCHANGE IN | COM | 45866F104 | 9,789 | 173,500 | SH | DFND | 1,2,3,4 | 0 | 173,500 | 0 | |
INTL PAPER CO | COM | 460146103 | 65,681 | 1,237,866 | SH | DFND | 1,2,3,4 | 0 | 1,237,866 | 0 | |
INVUITY INC | COM NEW | 46187J205 | 4,160 | 723,432 | SH | DFND | 1,2,3,4 | 0 | 723,432 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 40,455 | 300,000 | SH | Put | DFND | 1,2,3,4 | 0 | 300,000 | 0 |
JAGUAR ANIMAL HEALTH INC | COM | 47008L106 | 917 | 1,297,815 | SH | DFND | 1,2,3,4 | 0 | 1,297,815 | 0 | |
KADMON HLDGS INC | COM | 48283N106 | 287 | 54,333 | SH | DFND | 1,2,3,4 | 0 | 54,333 | 0 | |
KROGER CO | COM | 501044101 | 1,208 | 35,000 | SH | DFND | 1,2,3,4 | 0 | 35,000 | 0 | |
LENNAR CORP | CL A | 526057104 | 15,761 | 367,125 | SH | DFND | 1,2,3,4 | 0 | 367,125 | 0 | |
LEXICON PHARMACEUTICALS INC | COM NEW | 528872302 | 16,839 | 1,217,575 | SH | DFND | 1,2,3,4 | 0 | 1,217,575 | 0 | |
LEXICON PHARMACEUTICALS INC | COM NEW | 528872302 | 4,149 | 300,000 | SH | Call | DFND | 1,2,3,4 | 0 | 300,000 | 0 |
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 8,330 | 14,000,000 | PRN | DFND | 1,2,3,4 | 0 | 14,000,000 | 0 | |
LILLY ELI & CO | COM | 532457108 | 11,099 | 150,900 | SH | Call | DFND | 1,2,3,4 | 0 | 150,900 | 0 |
LINCOLN NATL CORP IND | COM | 534187109 | 30,290 | 457,070 | SH | DFND | 1,2,3,4 | 0 | 457,070 | 0 | |
LOWES COS INC | COM | 548661107 | 37,323 | 524,786 | SH | DFND | 1,2,3,4 | 0 | 524,786 | 0 | |
LOWES COS INC | COM | 548661107 | 21,336 | 300,000 | SH | Put | DFND | 1,2,3,4 | 0 | 300,000 | 0 |
LUMENTUM HLDGS INC | COM | 55024U109 | 15,772 | 408,064 | SH | DFND | 1,2,3,4 | 0 | 408,064 | 0 | |
MELLANOX TECHNOLOGIES LTD | SHS | M51363113 | 3,781 | 92,443 | SH | DFND | 1,2,3,4 | 0 | 92,443 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 663 | 14,951 | SH | DFND | 1,2,3,4 | 0 | 14,951 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 28,815 | 650,000 | SH | Call | DFND | 1,2,3,4 | 0 | 650,000 | 0 |
MONSTER BEVERAGE CORP NEW | COM | 61174X109 | 13,863 | 312,645 | SH | DFND | 1,2,3,4 | 0 | 312,645 | 0 | |
NAVIGATORS GROUP INC | COM | 638904102 | 6,806 | 57,798 | SH | DFND | 1,2,3,4 | 0 | 57,798 | 0 | |
NEWELL BRANDS INC | COM | 651229106 | 43,682 | 978,314 | SH | DFND | 1,2,3,4 | 0 | 978,314 | 0 | |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 38,605 | 609,869 | SH | DFND | 1,2,3,4 | 0 | 609,869 | 0 | |
NIVALIS THERAPEUTICS INC | COM | 65481J109 | 1,165 | 519,910 | SH | DFND | 1,2,3,4 | 0 | 519,910 | 0 | |
NOBLE ENERGY INC | COM | 655044105 | 45,343 | 1,191,347 | SH | DFND | 1,2,3,4 | 0 | 1,191,347 | 0 | |
NOMAD HLDGS LTD | USD ORD SHS | G6564A105 | 11,868 | 1,240,090 | SH | DFND | 1,2,3,4 | 0 | 1,240,090 | 0 | |
NORTHERN TR CORP | COM | 665859104 | 33,079 | 371,462 | SH | DFND | 1,2,3,4 | 0 | 371,462 | 0 | |
NOVAN INC | COM | 66988N106 | 7,096 | 262,625 | SH | DFND | 1,2,3,4 | 0 | 262,625 | 0 | |
OPHTHOTECH CORP | COM | 683745103 | 97 | 20,000 | SH | Call | DFND | 1,2,3,4 | 0 | 20,000 | 0 |
OTONOMY INC | COM | 68906L105 | 9,617 | 604,860 | SH | DFND | 1,2,3,4 | 0 | 604,860 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 11,656 | 218,077 | SH | DFND | 1,2,3,4 | 0 | 218,077 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 34,743 | 650,000 | SH | Call | DFND | 1,2,3,4 | 0 | 650,000 | 0 |
POWERSHS DB US DOLLAR INDEX | DOLL INDX BULL | 73936D107 | 24,288 | 917,900 | SH | DFND | 1,2,3,4 | 0 | 917,900 | 0 | |
PTC THERAPEUTICS INC | COM | 69366J200 | 6,601 | 605,000 | SH | DFND | 1,2,3,4 | 0 | 605,000 | 0 | |
PTC THERAPEUTICS INC | COM | 69366J200 | 2,182 | 200,000 | SH | Call | DFND | 1,2,3,4 | 0 | 200,000 | 0 |
RECRO PHARMA INC | COM | 75629F109 | 2,507 | 311,072 | SH | DFND | 1,2,3,4 | 0 | 311,072 | 0 | |
RETROPHIN INC | COM | 761299106 | 7,829 | 413,591 | SH | DFND | 1,2,3,4 | 0 | 413,591 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 14,008 | 274,339 | SH | DFND | 1,2,3,4 | 0 | 274,339 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 10,212 | 200,000 | SH | Put | DFND | 1,2,3,4 | 0 | 200,000 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 14,455 | 211,140 | SH | DFND | 1,2,3,4 | 0 | 211,140 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 7,532 | 100,000 | SH | DFND | 1,2,3,4 | 0 | 100,000 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 28,490 | 350,000 | SH | Put | DFND | 1,2,3,4 | 0 | 350,000 | 0 |
SHERWIN WILLIAMS CO | COM | 824348106 | 16,898 | 62,878 | SH | DFND | 1,2,3,4 | 0 | 62,878 | 0 | |
SHIRE PLC | SPONSORED ADR | 82481R106 | 2,028 | 11,900 | SH | DFND | 1,2,3,4 | 0 | 11,900 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 7,526 | 225,671 | SH | DFND | 1,2,3,4 | 0 | 225,671 | 0 | |
SOUTHWEST AIRLS CO | COM | 844741108 | 12,919 | 259,200 | SH | DFND | 1,2,3,4 | 0 | 259,200 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 89,412 | 400,000 | SH | Put | DFND | 1,2,3,4 | 0 | 400,000 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 7,399 | 125,000 | SH | DFND | 1,2,3,4 | 0 | 125,000 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 11,838 | 200,000 | SH | Call | DFND | 1,2,3,4 | 0 | 200,000 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 17,757 | 300,000 | SH | Put | DFND | 1,2,3,4 | 0 | 300,000 | 0 |
SPDR SERIES TRUST | S&P REGL BKG | 78464A698 | 5,557 | 100,000 | SH | DFND | 1,2,3,4 | 0 | 100,000 | 0 | |
SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 26,442 | 600,000 | SH | Put | DFND | 1,2,3,4 | 0 | 600,000 | 0 |
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 7,131 | 10,000,000 | PRN | DFND | 1,2,3,4 | 0 | 10,000,000 | 0 | |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 9,552 | 1,568,487 | SH | DFND | 1,2,3,4 | 0 | 1,568,487 | 0 | |
T MOBILE US INC | COM | 872590104 | 12,068 | 209,845 | SH | DFND | 1,2,3,4 | 0 | 209,845 | 0 | |
TARGA RES CORP | COM | 87612G101 | 4,861 | 86,694 | SH | DFND | 1,2,3,4 | 0 | 86,694 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 17,492 | 256,174 | SH | DFND | 1,2,3,4 | 0 | 256,174 | 0 | |
TJX COS INC NEW | COM | 872540109 | 5,515 | 73,400 | SH | DFND | 1,2,3,4 | 0 | 73,400 | 0 | |
TONIX PHARMACEUTICALS HLDG C | COM NEW | 890260201 | 327 | 696,455 | SH | DFND | 1,2,3,4 | 0 | 696,455 | 0 | |
TORCHMARK CORP | COM | 891027104 | 7,371 | 99,934 | SH | DFND | 1,2,3,4 | 0 | 99,934 | 0 | |
TRINA SOLAR LIMITED | DBCV 3.500% 6/1 | 89628EAC8 | 4,763 | 5,000,000 | PRN | DFND | 1,2,3,4 | 0 | 5,000,000 | 0 | |
TYSON FOODS INC | CL A | 902494103 | 40,256 | 652,655 | SH | DFND | 1,2,3,4 | 0 | 652,655 | 0 | |
ULTA SALON COSMETCS & FRAG I | COM | 90384S303 | 6,883 | 27,000 | SH | DFND | 1,2,3,4 | 0 | 27,000 | 0 | |
UNION PAC CORP | COM | 907818108 | 65,579 | 632,510 | SH | DFND | 1,2,3,4 | 0 | 632,510 | 0 | |
VANDA PHARMACEUTICALS INC | COM | 921659108 | 6,679 | 418,732 | SH | DFND | 1,2,3,4 | 0 | 418,732 | 0 | |
VERSARTIS INC | COM | 92529L102 | 7,623 | 511,610 | SH | DFND | 1,2,3,4 | 0 | 511,610 | 0 | |
VOYA FINL INC | COM | 929089100 | 9,636 | 245,700 | SH | DFND | 1,2,3,4 | 0 | 245,700 | 0 | |
WAL-MART STORES INC | COM | 931142103 | 34,560 | 500,000 | SH | Put | DFND | 1,2,3,4 | 0 | 500,000 | 0 |
WPX ENERGY INC | COM | 98212B103 | 34,170 | 2,345,210 | SH | DFND | 1,2,3,4 | 0 | 2,345,210 | 0 |