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 |
AETNA INC NEW | COM | 00817Y108 | 10,611 | 69,889 | SH | DFND | 1,2,3,4 | 69,889 | 0 | 0 | |
ALCOBRA LTD | SHS | M2239P109 | 337 | 300,945 | SH | DFND | 1,2,3,4 | 300,945 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 58,214 | 413,158 | SH | DFND | 1,2,3,4 | 413,158 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 44,883 | 823,847 | SH | DFND | 1,2,3,4 | 823,847 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 5,109 | 5,278 | SH | DFND | 1,2,3,4 | 5,278 | 0 | 0 | |
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 675 | 450,000 | SH | DFND | 1,2,3,4 | 450,000 | 0 | 0 | |
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 46,147 | 738,121 | SH | DFND | 1,2,3,4 | 738,121 | 0 | 0 | |
ANTARES PHARMA INC | COM | 036642106 | 3,049 | 946,987 | SH | DFND | 1,2,3,4 | 946,987 | 0 | 0 | |
APPLIED MATLS INC | COM | 038222105 | 21,215 | 513,555 | SH | DFND | 1,2,3,4 | 513,555 | 0 | 0 | |
BLUE BUFFALO PET PRODS INC | COM | 09531U102 | 1,711 | 75,000 | SH | DFND | 1,2,3,4 | 75,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 2,786 | 50,000 | SH | Call | DFND | 1,2,3,4 | 50,000 | 0 | 0 |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 2,786 | 50,000 | SH | Put | DFND | 1,2,3,4 | 50,000 | 0 | 0 |
CARA THERAPEUTICS INC | COM | 140755109 | 254 | 16,500 | SH | Call | DFND | 1,2,3,4 | 16,500 | 0 | 0 |
CENTENE CORP DEL | COM | 15135B101 | 8,151 | 102,037 | SH | DFND | 1,2,3,4 | 102,037 | 0 | 0 | |
CHENIERE ENERGY INC | COM NEW | 16411R208 | 12,364 | 253,821 | SH | DFND | 1,2,3,4 | 253,821 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 7,011 | 74,881 | SH | DFND | 1,2,3,4 | 74,881 | 0 | 0 | |
CME GROUP INC | COM | 12572Q105 | 23,712 | 189,330 | SH | DFND | 1,2,3,4 | 189,330 | 0 | 0 | |
COCA COLA EUROPEAN PARTNERS | SHS | G25839104 | 54,270 | 1,334,398 | SH | DFND | 1,2,3,4 | 1,334,398 | 0 | 0 | |
COLGATE PALMOLIVE CO | COM | 194162103 | 9,609 | 129,621 | SH | DFND | 1,2,3,4 | 129,621 | 0 | 0 | |
COLGATE PALMOLIVE CO | COM | 194162103 | 18,503 | 249,600 | SH | Call | DFND | 1,2,3,4 | 249,600 | 0 | 0 |
COMERICA INC | COM | 200340107 | 10,869 | 148,401 | SH | DFND | 1,2,3,4 | 148,401 | 0 | 0 | |
COMSTOCK RES INC | NOTE 7.750% 4/0 | 205768AM6 | 1,206 | 1,566,520 | PRN | DFND | 1,2,3,4 | 1,566,520 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 9,091 | 46,924 | SH | DFND | 1,2,3,4 | 46,924 | 0 | 0 | |
CSX CORP | COM | 126408103 | 10,623 | 194,694 | SH | DFND | 1,2,3,4 | 194,694 | 0 | 0 | |
DOW CHEM CO | COM | 260543103 | 43,757 | 693,782 | SH | DFND | 1,2,3,4 | 693,782 | 0 | 0 | |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 7,259 | 190,873 | SH | DFND | 1,2,3,4 | 190,873 | 0 | 0 | |
ENTELLUS MED INC | COM | 29363K105 | 2,068 | 124,866 | SH | DFND | 1,2,3,4 | 124,866 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 12,749 | 199,700 | SH | Put | DFND | 1,2,3,4 | 199,700 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 59,270 | 392,567 | SH | DFND | 1,2,3,4 | 392,567 | 0 | 0 | |
FATE THERAPEUTICS INC | COM | 31189P102 | 3,729 | 1,150,947 | SH | DFND | 1,2,3,4 | 1,150,947 | 0 | 0 | |
FERROGLOBE PLC | SHS | G33856108 | 1,194 | 99,902 | SH | DFND | 1,2,3,4 | 99,902 | 0 | 0 | |
FLEXION THERAPEUTICS INC | COM | 33938J106 | 19,287 | 953,869 | SH | DFND | 1,2,3,4 | 953,869 | 0 | 0 | |
FORTIVE CORP | COM | 34959J108 | 18,219 | 287,600 | SH | DFND | 1,2,3,4 | 287,600 | 0 | 0 | |
GAMING & LEISURE PPTYS INC | COM | 36467J108 | 2,397 | 63,639 | SH | DFND | 1,2,3,4 | 63,639 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 4,308 | 1,267,205 | SH | DFND | 1,2,3,4 | 1,267,205 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 12,612 | 1,200,000 | SH | DFND | 1,2,3,4 | 1,200,000 | 0 | 0 | |
GULFPORT ENERGY CORP | COM NEW | 402635304 | 15,934 | 1,080,280 | SH | DFND | 1,2,3,4 | 1,080,280 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 31,988 | 2,309,604 | SH | DFND | 1,2,3,4 | 2,309,604 | 0 | 0 | |
HERON THERAPEUTICS INC | COM | 427746102 | 14,910 | 1,076,500 | SH | Call | DFND | 1,2,3,4 | 1,076,500 | 0 | 0 |
HORIZON PHARMA INVT LTD | NOTE 2.500% 3/1 | 44052TAB7 | 23,486 | 27,250,000 | SH | DFND | 1,2,3,4 | 27,250,000 | 0 | 0 | |
HUMANA INC | COM | 444859102 | 10,859 | 45,128 | SH | DFND | 1,2,3,4 | 45,128 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 5,784 | 9,700,000 | SH | DFND | 1,2,3,4 | 9,700,000 | 0 | 0 | |
INTL PAPER CO | COM | 460146103 | 20,143 | 355,817 | SH | DFND | 1,2,3,4 | 355,817 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 44,195 | 500,000 | SH | Put | DFND | 1,2,3,4 | 500,000 | 0 | 0 |
ISHARES TR | NASDQ BIOTEC ETF | 464287556 | 30,946 | 99,800 | SH | Put | DFND | 1,2,3,4 | 99,800 | 0 | 0 |
JAGUAR ANIMAL HEALTH INC | COM | 47008L106 | 687 | 1,297,815 | SH | DFND | 1,2,3,4 | 1,297,815 | 0 | 0 | |
KELLOGG CO | COM | 487836108 | 1,760 | 25,342 | SH | DFND | 1,2,3,4 | 25,342 | 0 | 0 | |
KEMPHARM INC | NOTE 5.500% 2/0 | 488445AB3 | 1,862 | 3,000,000 | PRN | DFND | 1,2,3,4 | 3,000,000 | 0 | 0 | |
KIMBERLY CLARK CORP | COM | 494368103 | 16,320 | 126,400 | SH | Call | DFND | 1,2,3,4 | 126,400 | 0 | 0 |
LEXICON PHARMACEUTICALS INC | COM NEW | 528872302 | 9,975 | 606,410 | SH | DFND | 1,2,3,4 | 606,410 | 0 | 0 | |
LEXICON PHARMACEUTICALS INC | COM NEW | 528872302 | 8,212 | 499,200 | SH | Call | DFND | 1,2,3,4 | 499,200 | 0 | 0 |
LIBERTY MEDIA CORP | DEB 4.000%11/1 | 530715AG6 | 9,380 | 14,000,000 | PRN | DFND | 1,2,3,4 | 14,000,000 | 0 | 0 | |
LINCOLN NATL CORP IND | COM | 534187109 | 9,918 | 146,766 | SH | DFND | 1,2,3,4 | 146,766 | 0 | 0 | |
LOWES COS INC | COM | 548661107 | 13,047 | 168,284 | SH | DFND | 1,2,3,4 | 168,284 | 0 | 0 | |
MARTIN MARIETTA MATLS INC | COM | 573284106 | 27,362 | 122,931 | SH | DFND | 1,2,3,4 | 122,931 | 0 | 0 | |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 12,732 | 770,708 | SH | DFND | 1,2,3,4 | 770,708 | 0 | 0 | |
MCDONALDS CORP | COM | 580135101 | 5,505 | 35,943 | SH | DFND | 1,2,3,4 | 35,943 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 23,389 | 783,301 | SH | DFND | 1,2,3,4 | 783,301 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 3.000%11/1 | 595112AY9 | 2,250 | 2,000,000 | PRN | DFND | 1,2,3,4 | 2,000,000 | 0 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 5,205 | 120,506 | SH | DFND | 1,2,3,4 | 120,506 | 0 | 0 | |
MONDELEZ INTL INC | CL A | 609207105 | 12,935 | 299,500 | SH | Call | DFND | 1,2,3,4 | 299,500 | 0 | 0 |
MYLAN N V | SHS EURO | N59465109 | 3,874 | 99,800 | SH | Put | DFND | 1,2,3,4 | 99,800 | 0 | 0 |
NAVIGATORS GROUP INC | COM | 638904102 | 38 | 696 | SH | DFND | 1,2,3,4 | 696 | 0 | 0 | |
NEWELL BRANDS INC | COM | 651229106 | 41,821 | 779,960 | SH | DFND | 1,2,3,4 | 779,960 | 0 | 0 | |
NEXSTAR MEDIA GROUP INC | CL A | 65336K103 | 36,753 | 614,596 | SH | DFND | 1,2,3,4 | 614,596 | 0 | 0 | |
NOMAD FOODS LTD | USD ORD SHS | G6564A105 | 16,041 | 1,136,882 | SH | DFND | 1,2,3,4 | 1,136,882 | 0 | 0 | |
NORTHERN TR CORP | COM | 665859104 | 30,378 | 312,498 | SH | DFND | 1,2,3,4 | 312,498 | 0 | 0 | |
OTONOMY INC | COM | 68906L105 | 5,890 | 312,453 | SH | DFND | 1,2,3,4 | 312,453 | 0 | 0 | |
OTONOMY INC | COM | 68906L105 | 7,057 | 374,400 | SH | Call | DFND | 1,2,3,4 | 374,400 | 0 | 0 |
PINNACLE FOODS INC DEL | COM | 72348P104 | 19,725 | 332,065 | SH | DFND | 1,2,3,4 | 332,065 | 0 | 0 | |
PORTOLA PHARMACEUTICALS INC | COM | 737010108 | 7,010 | 124,800 | SH | Put | DFND | 1,2,3,4 | 124,800 | 0 | 0 |
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 41,223 | 299,500 | SH | Put | DFND | 1,2,3,4 | 299,500 | 0 | 0 |
RECRO PHARMA INC | COM | 75629F109 | 2,181 | 310,220 | SH | DFND | 1,2,3,4 | 310,220 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 18,988 | 219,259 | SH | DFND | 1,2,3,4 | 219,259 | 0 | 0 | |
SANTANDER CONSUMER USA HDG I | COM | 80283M101 | 5,151 | 403,657 | SH | DFND | 1,2,3,4 | 403,657 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 73,892 | 2,995,200 | SH | Call | DFND | 1,2,3,4 | 2,995,200 | 0 | 0 |
SHERWIN WILLIAMS CO | COM | 824348106 | 18,618 | 53,048 | SH | DFND | 1,2,3,4 | 53,048 | 0 | 0 | |
SHIRE PLC | SPONSORED ADR | 82481R106 | 10,401 | 62,935 | SH | DFND | 1,2,3,4 | 62,935 | 0 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 24,617 | 748,227 | SH | DFND | 1,2,3,4 | 748,227 | 0 | 0 | |
STEADYMED LTD | SHS | M84920103 | 3,170 | 503,140 | SH | DFND | 1,2,3,4 | 503,140 | 0 | 0 | |
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 10,343 | 12,000,000 | PRN | DFND | 1,2,3,4 | 12,000,000 | 0 | 0 | |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 4,337 | 974,623 | SH | DFND | 1,2,3,4 | 974,623 | 0 | 0 | |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 2,888 | 649,000 | SH | Call | DFND | 1,2,3,4 | 649,000 | 0 | 0 |
T MOBILE US INC | COM | 872590104 | 14,321 | 236,249 | SH | DFND | 1,2,3,4 | 236,249 | 0 | 0 | |
TEMPUR SEALY INTL INC | COM | 88023U101 | 5,301 | 99,280 | SH | DFND | 1,2,3,4 | 99,280 | 0 | 0 | |
TONIX PHARMACEUTICALS HLDG C | COM | 890260409 | 279 | 64,549 | SH | DFND | 1,2,3,4 | 64,549 | 0 | 0 | |
ULTA BEAUTY INC | COM | 90384S303 | 2,008 | 6,989 | SH | DFND | 1,2,3,4 | 6,989 | 0 | 0 | |
ULTRA PETROLEUM CORP | COM NEW | 903914208 | 6,510 | 599,972 | SH | DFND | 1,2,3,4 | 599,972 | 0 | 0 | |
UNDER ARMOUR INC | CL C | 904311206 | 1,657 | 82,169 | SH | DFND | 1,2,3,4 | 82,169 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 13,841 | 74,646 | SH | DFND | 1,2,3,4 | 74,646 | 0 | 0 | |
VERSARTIS INC | COM | 92529L102 | 2,042 | 117,043 | SH | DFND | 1,2,3,4 | 117,043 | 0 | 0 | |
VULCAN MATLS CO | COM | 929160109 | 20,654 | 163,038 | SH | DFND | 1,2,3,4 | 163,038 | 0 | 0 | |
WABTEC CORP | COM | 929740108 | 6,753 | 73,800 | SH | DFND | 1,2,3,4 | 73,800 | 0 | 0 | |
WARRIOR MET COAL INC | COM | 93627C101 | 9,581 | 559,308 | SH | DFND | 1,2,3,4 | 559,308 | 0 | 0 | |
WESTERN DIGITAL CORP | COM | 958102105 | 26,283 | 296,651 | SH | DFND | 1,2,3,4 | 296,651 | 0 | 0 | |
WPX ENERGY INC | COM | 98212B103 | 25,176 | 2,606,185 | SH | DFND | 1,2,3,4 | 2,606,185 | 0 | 0 | |
XPO LOGISTICS INC | COM | 983793100 | 18,021 | 278,839 | SH | DFND | 1,2,3,4 | 278,839 | 0 | 0 | |
YUM BRANDS INC | COM | 988498101 | 7,880 | 106,830 | SH | DFND | 1,2,3,4 | 106,830 | 0 | 0 | |
YUM CHINA HLDGS INC | COM | 98850P109 | 9,418 | 238,851 | SH | DFND | 1,2,3,4 | 238,851 | 0 | 0 |