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 |
ACACIA COMMUNICATIONS INC | Equity | 00401C108 | 14 | 210 | SH | SOLE | 210 | 0 | 0 | ||
ACACIA COMMUNICATIONS INC | Equity | 00401C108 | 378 | 5,602 | SH | DFND | 1 | 5,602 | 0 | 0 | |
ACAMAR PARTNERS ACQSITION CO | Equity | 004285102 | 736 | 72,048 | SH | SOLE | 72,048 | 0 | 0 | ||
ACE CONVERGENCE ACQU CORP | Equity | G0083D112 | 1,258 | 122,728 | SH | SOLE | 122,728 | 0 | 0 | ||
ADVANCED DISP SVCS INC DEL | Equity | 00790X101 | 27,836 | 920,791 | SH | SOLE | 920,791 | 0 | 0 | ||
ADVANCED DISP SVCS INC DEL | Equity | 00790X101 | 1,037 | 34,314 | SH | DFND | 1 | 34,314 | 0 | 0 | |
AIMMUNE THERAPEUTICS INC | Equity | 00900T107 | 18,107 | 525,598 | SH | SOLE | 525,598 | 0 | 0 | ||
ALUSSA ENERGY ACQUISITION CO | Equity | G0232J101 | 2,163 | 217,824 | SH | SOLE | 217,824 | 0 | 0 | ||
AMCI ACQUISITION CORP | Equity | 00165R101 | 2,867 | 277,262 | SH | SOLE | 277,262 | 0 | 0 | ||
ANDINA ACQUISITION CORP III | Equity | G04415108 | 2,251 | 219,813 | SH | SOLE | 219,813 | 0 | 0 | ||
ARTIUS ACQUISITION INC | Equity | 04316G105 | 1,909 | 192,011 | SH | SOLE | 192,011 | 0 | 0 | ||
ASCENDANT DIGITAL ACQUISITIO | Equity | G05155125 | 166 | 15,800 | SH | SOLE | 15,800 | 0 | 0 | ||
BITAUTO HLDGS LTD | Equity | 091727107 | 513 | 32,549 | SH | DFND | 1 | 32,549 | 0 | 0 | |
BOWX ACQUISITION CORP | Equity | 103085205 | 721 | 70,290 | SH | SOLE | 70,290 | 0 | 0 | ||
BURGUNDY TECHNOLOGY ACQU COR | Equity | G1702T132 | 1,312 | 131,745 | SH | SOLE | 131,745 | 0 | 0 | ||
CAPSTAR SPL PURP ACQUISITION | Equity | 14070Y200 | 129 | 12,640 | SH | SOLE | 12,640 | 0 | 0 | ||
CC NEUBERGER PRIN HLDGS II | Equity | G3166T129 | 153 | 14,855 | SH | SOLE | 14,855 | 0 | 0 | ||
CC NEUBERGER PRINCIPAL HLDNG | Equity | G1992Y106 | 361 | 33,332 | SH | SOLE | 33,332 | 0 | 0 | ||
CC NEUBERGER PRINCIPAL HLDNG | Equity | G1992Y114 | 156 | 14,999 | SH | SOLE | 14,999 | 0 | 0 | ||
CELLULAR BIOMEDICINE GROUP I | Equity | 15117P102 | 653 | 35,613 | SH | DFND | 1 | 35,613 | 0 | 0 | |
CF FIN ACQUISITION CORP | Equity | 12528N107 | 2,885 | 277,381 | SH | SOLE | 277,381 | 0 | 0 | ||
CHP MERGER CORP | Equity | 12558Y106 | 1,786 | 175,313 | SH | SOLE | 175,313 | 0 | 0 | ||
CHURCHILL CAPITAL CORP IV | Equity | 171439201 | 3,514 | 350,651 | SH | SOLE | 350,651 | 0 | 0 | ||
CIIG MERGER CORP | Equity | 12559C202 | 482 | 47,185 | SH | SOLE | 47,185 | 0 | 0 | ||
CLIMATE CHANGE CRISIS REAL I | Equity | 18716C209 | 2,412 | 240,000 | SH | SOLE | 240,000 | 0 | 0 | ||
CM LIFE SCIENCES INC | Equity | 18978W208 | 1,179 | 112,602 | SH | SOLE | 112,602 | 0 | 0 | ||
COLONNADE ACQUISITION CORP | Equity | G2283K128 | 1,077 | 108,100 | SH | SOLE | 108,100 | 0 | 0 | ||
CRESCENT ACQUISITION CORP | Equity | 22564L105 | 3,920 | 390,441 | SH | SOLE | 390,441 | 0 | 0 | ||
D8 HOLDINGS CORP | Equity | G2614K102 | 1,580 | 156,910 | SH | SOLE | 156,910 | 0 | 0 | ||
DFP HEALTHCARE ACQUISITNS CO | Equity | 23343Q100 | 715 | 68,884 | SH | SOLE | 68,884 | 0 | 0 | ||
DMY TECHNOLOGY GROUP INC II | Equity | 233277201 | 1,565 | 153,000 | SH | SOLE | 153,000 | 0 | 0 | ||
E MERGE TECHNOLOGY ACQUISITI | Equity | 26873Y203 | 4,008 | 397,594 | SH | SOLE | 397,594 | 0 | 0 | ||
E TRADE FINANCIAL CORP | Equity | 269246401 | 7,595 | 151,750 | SH | SOLE | 151,750 | 0 | 0 | ||
E TRADE FINANCIAL CORP | Equity | 269246401 | 461 | 9,205 | SH | DFND | 1 | 9,205 | 0 | 0 | |
EAST RES ACQUISITION CO | Equity | 274681204 | 636 | 62,998 | SH | SOLE | 62,998 | 0 | 0 | ||
EQUITY DISTR ACQUISITION COR | Equity | 29465E205 | 2,884 | 280,000 | SH | SOLE | 280,000 | 0 | 0 | ||
FALCON CAPITAL ACQUISITN COR | Equity | 30606L207 | 3,087 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
FG NEW AMER ACQUISITION CORP | Equity | 30259V205 | 6,137 | 613,100 | SH | SOLE | 613,100 | 0 | 0 | ||
FITBIT INC | Equity | 33812L102 | 194 | 27,816 | SH | DFND | 1 | 27,816 | 0 | 0 | |
FOLEY TRASIMENE ACQUISITION | Equity | 344328208 | 857 | 84,055 | SH | SOLE | 84,055 | 0 | 0 | ||
FORTRESS VALUE ACQUISITION I | Equity | 349642207 | 1,178 | 114,405 | SH | SOLE | 114,405 | 0 | 0 | ||
FORUM MERGER III CORP | Equity | 349885202 | 1,845 | 176,719 | SH | SOLE | 176,719 | 0 | 0 | ||
FTAC OLYMPUS ACQUISITION COR | Equity | G37288118 | 3,500 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
FUSION ACQUISITION CORP | Equity | 36118H204 | 651 | 63,200 | SH | SOLE | 63,200 | 0 | 0 | ||
GIGCAPITAL2 INC | Equity | 375036100 | 449 | 44,151 | SH | SOLE | 44,151 | 0 | 0 | ||
GORES HLDGS V INC | Equity | 382864205 | 662 | 63,945 | SH | SOLE | 63,945 | 0 | 0 | ||
GS ACQUISITION HLDGS CORP II | Equity | 36258Q204 | 355 | 31,600 | SH | SOLE | 31,600 | 0 | 0 | ||
GX ACQUISITION CORP | Equity | 36251A107 | 3,225 | 307,128 | SH | SOLE | 307,128 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP II | Equity | 42087L101 | 3,431 | 343,057 | SH | SOLE | 343,057 | 0 | 0 | ||
HUDSON LTD | Equity | G46408103 | 634 | 83,397 | SH | DFND | 1 | 83,397 | 0 | 0 | |
HUDSON EXECUTIVE INVT CORP | Equity | 443761200 | 584 | 55,857 | SH | SOLE | 55,857 | 0 | 0 | ||
IMMUNOMEDICS INC | Equity | 452907108 | 17,775 | 209,046 | SH | SOLE | 209,046 | 0 | 0 | ||
INNERWORKINGS INC | Equity | 45773Y105 | 344 | 114,962 | SH | DFND | 1 | 114,962 | 0 | 0 | |
JERNIGAN CAP INC | Equity | 476405105 | 815 | 47,540 | SH | DFND | 1 | 47,540 | 0 | 0 | |
JUNIPER INDL HLDGS INC | Equity | 48205G106 | 1,815 | 173,500 | SH | SOLE | 173,500 | 0 | 0 | ||
JUNIPER INDL HLDGS INC | Equity | 48205G205 | 393 | 34,451 | SH | SOLE | 34,451 | 0 | 0 | ||
KENSINGTON CAP ACQUISITION C | Equity | 490073103 | 402 | 24,027 | SH | SOLE | 24,027 | 0 | 0 | ||
LEISURE ACQUISITION CORP | Equity | 52539T107 | 249 | 23,303 | SH | SOLE | 23,303 | 0 | 0 | ||
LIONHEART ACQUISITION CORP I | Equity | 53625R203 | 3,327 | 334,000 | SH | SOLE | 334,000 | 0 | 0 | ||
LIVE OAK ACQUISITION CORP | Equity | 53804F202 | 528 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
LIVONGO HEALTH INC | Equity | 539183103 | 38,523 | 275,063 | SH | SOLE | 275,063 | 0 | 0 | ||
LIVONGO HEALTH INC | Equity | 539183103 | 1,049 | 7,491 | SH | DFND | 1 | 7,491 | 0 | 0 | |
LONGVIEW ACQUISITION CORP | Equity | 543195101 | 986 | 100,399 | SH | SOLE | 100,399 | 0 | 0 | ||
MALACCA STRAITS ACQUISITION | Equity | G5859B125 | 839 | 84,345 | SH | SOLE | 84,345 | 0 | 0 | ||
MEGALITH FINL ACQUISITION CO | Equity | 58518F109 | 1,687 | 163,595 | SH | SOLE | 163,595 | 0 | 0 | ||
MOMENTA PHARMACEUTICALS INC | Equity | 60877T100 | 15,914 | 303,245 | SH | SOLE | 303,245 | 0 | 0 | ||
MOMENTA PHARMACEUTICALS INC | Equity | 60877T100 | 345 | 6,569 | SH | DFND | 1 | 6,569 | 0 | 0 | |
MONOCLE ACQUISITION CORP | Equity | 609754106 | 1,819 | 177,679 | SH | SOLE | 177,679 | 0 | 0 | ||
MVC CAP INC | Equity | 553829102 | 521 | 66,719 | SH | DFND | 1 | 66,719 | 0 | 0 | |
NATIONAL GEN HLDGS CORP | Equity | 636220303 | 26,638 | 789,280 | SH | SOLE | 789,280 | 0 | 0 | ||
NATIONAL GEN HLDGS CORP | Equity | 636220303 | 277 | 8,215 | SH | DFND | 1 | 8,215 | 0 | 0 | |
NEW PROVIDENCE ACQUISITION | Equity | 64822P106 | 4,196 | 416,645 | SH | SOLE | 416,645 | 0 | 0 | ||
NEWHOLD INVESTMENT CORP | Equity | 651448201 | 826 | 82,116 | SH | SOLE | 82,116 | 0 | 0 | ||
NORTH MOUNTAIN MERGER CORP | Equity | 661204206 | 2,066 | 202,587 | SH | SOLE | 202,587 | 0 | 0 | ||
NORTHERN GENESIS ACQUISITION | Equity | 66516T203 | 2,797 | 280,000 | SH | SOLE | 280,000 | 0 | 0 | ||
OAKTREE ACQUISITION CORP II | Equity | G6715X129 | 1,852 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
ONE | Equity | G7000X113 | 737 | 67,626 | SH | SOLE | 67,626 | 0 | 0 | ||
PMV CONSUMER ACQUISITION COR | Equity | 693486201 | 1,798 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
PRIME IMPACT ACQUISITION I | Equity | G61074111 | 3,436 | 342,900 | SH | SOLE | 342,900 | 0 | 0 | ||
QELL ACQUISITION CORP | Equity | G7307X121 | 2,845 | 280,000 | SH | SOLE | 280,000 | 0 | 0 | ||
REDBALL ACQUISITION CORP | Equity | G7417R121 | 1,436 | 135,900 | SH | SOLE | 135,900 | 0 | 0 | ||
REPLAY ACQUISITION CORP | Equity | G75130107 | 651 | 63,913 | SH | SOLE | 63,913 | 0 | 0 | ||
RMG ACQUISITION CORP | Equity | 749641106 | 1,605 | 150,161 | SH | SOLE | 150,161 | 0 | 0 | ||
ROSETTA STONE INC | Equity | 777780107 | 16,345 | 545,192 | SH | SOLE | 545,192 | 0 | 0 | ||
SC HEALTH CORP | Equity | G78516203 | 550 | 54,515 | SH | SOLE | 54,515 | 0 | 0 | ||
SCHULTZE SPL PURP ACQUSTN CO | Equity | 80821R109 | 134 | 13,183 | SH | SOLE | 13,183 | 0 | 0 | ||
SILVER SPIKE ACQUISITION COR | Equity | G8136L106 | 414 | 40,893 | SH | SOLE | 40,893 | 0 | 0 | ||
SOCIAL CAP HEDSPIA HLDG CO I | Equity | G8251K107 | 3,249 | 260,736 | SH | SOLE | 260,736 | 0 | 0 | ||
SOFTWARE ACQUISITN GRUP INC | Equity | 83407F200 | 1,791 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
SOUTH MTN MERGER CORP | Equity | 838884104 | 523 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
STABLE RD ACQUISITION CORP | Equity | 85236Q109 | 1,176 | 116,657 | SH | SOLE | 116,657 | 0 | 0 | ||
STARBOARD VALUE ACQUISITN CO | Equity | 85521J208 | 2,309 | 228,582 | SH | SOLE | 228,582 | 0 | 0 | ||
SUSTAINABLE OPPORTNTS ACQ CO | Equity | G8598Y109 | 1,032 | 101,152 | SH | SOLE | 101,152 | 0 | 0 | ||
TAILWIND ACQUISITION CORP | Equity | 87403Q201 | 3,306 | 328,945 | SH | SOLE | 328,945 | 0 | 0 | ||
TD AMERITRADE HLDG CORP | Equity | 87236Y108 | 325 | 8,311 | SH | DFND | 1 | 8,311 | 0 | 0 | |
THUNDER BRDG ACQUISTION II L | Equity | G8857S116 | 538 | 52,700 | SH | SOLE | 52,700 | 0 | 0 | ||
TIFFANY & CO NEW | Equity | 886547108 | 47 | 404 | SH | SOLE | 404 | 0 | 0 | ||
TIFFANY & CO NEW | Equity | 886547108 | 332 | 2,869 | SH | DFND | 1 | 2,869 | 0 | 0 | |
TORTOISE ACQUISITION CORP II | Equity | G89554110 | 1,469 | 135,000 | SH | SOLE | 135,000 | 0 | 0 | ||
TREBIA ACQUISITION CORP | Equity | G9027T109 | 583 | 57,278 | SH | SOLE | 57,278 | 0 | 0 | ||
TREBIA ACQUISITION CORP | Equity | G9027T125 | 404 | 37,400 | SH | SOLE | 37,400 | 0 | 0 | ||
TRINE ACQUISITION CORP | Equity | 89628U108 | 150 | 13,846 | SH | SOLE | 13,846 | 0 | 0 | ||
TUSCAN HLDGS CORP | Equity | 90069K104 | 3,096 | 304,125 | SH | SOLE | 304,125 | 0 | 0 | ||
TUSCAN HLDGS CORP II | Equity | 90070A103 | 260 | 26,076 | SH | SOLE | 26,076 | 0 | 0 | ||
UNION ACQUISITION CORP II | Equity | G9402Q100 | 596 | 60,011 | SH | SOLE | 60,011 | 0 | 0 | ||
VARIAN MED SYS INC | Equity | 92220P105 | 21,114 | 122,757 | SH | SOLE | 122,757 | 0 | 0 | ||
VARIAN MED SYS INC | Equity | 92220P105 | 600 | 3,489 | SH | DFND | 1 | 3,489 | 0 | 0 | |
VECTOR ACQUISITION CORP | Equity | G9442R100 | 2,978 | 293,705 | SH | SOLE | 293,705 | 0 | 0 | ||
VESPER HEALTHCARE ACQSTN COR | Equity | 92538T203 | 2,985 | 290,900 | SH | SOLE | 290,900 | 0 | 0 | ||
VIVINT SOLAR INC | Equity | 92854Q106 | 564 | 13,318 | SH | DFND | 1 | 13,318 | 0 | 0 | |
VPC IMPACT ACQUISITION HLDNG | Equity | G9441E126 | 2,500 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
WILLIS TOWERS WATSON PLC LTD | Equity | G96629103 | 23,822 | 114,081 | SH | SOLE | 114,081 | 0 | 0 | ||
WILLIS TOWERS WATSON PLC LTD | Equity | G96629103 | 1,008 | 4,825 | SH | DFND | 1 | 4,825 | 0 | 0 | |
WRIGHT MED GROUP N V | Equity | N96617118 | 12,694 | 415,661 | SH | SOLE | 415,661 | 0 | 0 | ||
WRIGHT MED GROUP N V | Equity | N96617118 | 355 | 11,630 | SH | DFND | 1 | 11,630 | 0 | 0 |