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 |
NXP SEMICONDUCTORS N V | CALL | N6596X109 | 3,209 | 1,269 | SH | Call | DFND | 1 | 0 | 1,269 | 0 |
SILVER SPRING NETWORKS INC | CALL | 82817Q103 | 0 | 7 | SH | Call | DFND | 1 | 0 | 7 | 0 |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578101 | 6,136 | 1,933 | SH | Call | DFND | 1 | 0 | 1,933 | 0 |
AKORN INC | COM | 009728106 | 571 | 17,202 | SH | DFND | 1 | 0 | 17,202 | 0 | |
ALERE INC | COM | 01449J105 | 10,521 | 206,336 | SH | DFND | 1 | 0 | 206,336 | 0 | |
ALTABA INC | COM | 021346101 | 9,032 | 136,355 | SH | DFND | 1 | 0 | 136,355 | 0 | |
BROCADE COMMUNICATIONS SYS I | COM | 111621306 | 19,354 | 1,619,563 | SH | DFND | 1 | 0 | 1,619,563 | 0 | |
CALPINE CORP | COM | 131347304 | 11,532 | 781,860 | SH | DFND | 1 | 0 | 781,860 | 0 | |
DIGITALGLOBE INC | COM | 25389M877 | 24,567 | 696,948 | SH | DFND | 1 | 0 | 696,948 | 0 | |
EXELA TECHNOLOGIES INC | COM | 30162V102 | 861 | 175,737 | SH | DFND | 1 | 0 | 175,737 | 0 | |
GENERAL COMMUNICATION INC | CL A | 369385109 | 912 | 22,355 | SH | DFND | 1 | 0 | 22,355 | 0 | |
IXYS CORP | COM | 46600W106 | 3,170 | 133,765 | SH | DFND | 1 | 0 | 133,765 | 0 | |
KITE PHARMA INC | COM | 49803L109 | 6,618 | 36,805 | SH | DFND | 1 | 0 | 36,805 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM | 52729N308 | 1,697 | 31,844 | SH | DFND | 1 | 0 | 31,844 | 0 | |
MONSANTO CO | COM | 61166W101 | 26,549 | 221,575 | SH | DFND | 1 | 0 | 221,575 | 0 | |
NEXTDECADE CORP | COM | 65342K105 | 95,194 | 9,434,530 | SH | DFND | 1 | 0 | 11,067,943 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 33,601 | 297,121 | SH | DFND | 1 | 0 | 297,121 | 0 | |
PAREXEL INTL CORP | COM | 699462107 | 2,495 | 28,325 | SH | DFND | 1 | 0 | 28,325 | 0 | |
QUORUM HEALTH CORP | COM | 74909E106 | 2,739 | 528,750 | SH | DFND | 1 | 0 | 528,750 | 0 | |
RICE ENERGY INC | COM | 762760106 | 20,087 | 694,077 | SH | DFND | 1 | 0 | 694,077 | 0 | |
RICHMONT MINES INC | COM | 76547T106 | 2,016 | 215,562 | SH | DFND | 1 | 0 | 215,562 | 0 | |
ROCKWELL COLLINS INC | COM | 774341101 | 14,725 | 112,656 | SH | DFND | 1 | 0 | 112,656 | 0 | |
SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | 8,609 | 100,238 | SH | DFND | 1 | 0 | 100,238 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 4,116 | 22,783 | SH | DFND | 1 | 0 | 22,783 | 0 | |
SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 3,968 | 425,302 | SH | DFND | 1 | 0 | 425,302 | 0 | |
TIME WARNER INC | COM | 887317303 | 22,389 | 218,540 | SH | DFND | 1 | 0 | 218,540 | 0 | |
TRIBUNE MEDIA CO | CL A | 896047503 | 5,712 | 139,801 | SH | DFND | 1 | 0 | 139,801 | 0 | |
VANECK VECTORS ETF TR | PUT | 92189F791 | 45 | 446 | SH | Put | DFND | 1 | 0 | 446 | 0 |
DYNEGY INC | W EXP 02/02/2024 | 26817R157 | 41 | 170,511 | SH | DFND | 1 | 0 | 170,511 | 0 | |
NEXTDECADE CORP | W EXP 07/23/2022 | 65342k113 | 100 | 107,500 | SH | DFND | 1 | 0 | 107,500 | 0 | |
NXP SEMICONDUCTORS N V | CALL | N6596X109 | 21 | 21 | SH | Call | DFND | 1 2 | 0 | 21 | 0 |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578101 | 327 | 103 | SH | Call | DFND | 1 2 | 0 | 103 | 0 |
AKORN INC | COM | 009728106 | 604 | 18,186 | SH | DFND | 1 2 | 0 | 18,186 | 0 | |
ALERE INC | COM | 01449J105 | 844 | 16,555 | SH | DFND | 1 2 | 0 | 16,555 | 0 | |
ALTABA INC | COM | 021346101 | 1,287 | 19,424 | SH | DFND | 1 2 | 0 | 19,424 | 0 | |
BROCADE COMMUNICATIONS SYS I | COM | 111621306 | 1,576 | 131,901 | SH | DFND | 1 2 | 0 | 131,901 | 0 | |
CALPINE CORP | COM | 131347304 | 1,606 | 108,892 | SH | DFND | 1 2 | 0 | 108,892 | 0 | |
DIGITALGLOBE INC | COM | 25389M877 | 3,384 | 96,013 | SH | DFND | 1 2 | 0 | 96,013 | 0 | |
GENERAL COMMUNICATION INC | CL A | 369385109 | 952 | 23,338 | SH | DFND | 1 2 | 0 | 23,338 | 0 | |
IXYS CORP | COM | 46600W106 | 438 | 18,487 | SH | DFND | 1 2 | 0 | 18,487 | 0 | |
KITE PHARMA INC | COM | 49803L109 | 1,610 | 8,954 | SH | DFND | 1 2 | 0 | 8,954 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM | 52729N308 | 1,815 | 34,059 | SH | DFND | 1 2 | 0 | 34,059 | 0 | |
MONSANTO CO | COM | 61166W101 | 1,611 | 13,441 | SH | DFND | 1 2 | 0 | 13,441 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 3,652 | 32,297 | SH | DFND | 1 2 | 0 | 32,297 | 0 | |
PAREXEL INTL CORP | COM | 699462107 | 415 | 4,708 | SH | DFND | 1 2 | 0 | 4,708 | 0 | |
QUORUM HEALTH CORP | COM | 74909E106 | 142 | 27,474 | SH | DFND | 1 2 | 0 | 27,474 | 0 | |
RICE ENERGY INC | COM | 762760106 | 2,806 | 96,953 | SH | DFND | 1 2 | 0 | 96,953 | 0 | |
RICHMONT MINES INC | COM | 76547T106 | 282 | 30,174 | SH | DFND | 1 2 | 0 | 30,174 | 0 | |
ROCKWELL COLLINS INC | COM | 774341101 | 1,212 | 9,271 | SH | DFND | 1 2 | 0 | 9,271 | 0 | |
SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | 1,192 | 13,880 | SH | DFND | 1 2 | 0 | 13,880 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 1,257 | 6,959 | SH | DFND | 1 2 | 0 | 6,959 | 0 | |
SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 243 | 26,038 | SH | DFND | 1 2 | 0 | 26,038 | 0 | |
TIME WARNER INC | COM | 887317303 | 2,434 | 23,757 | SH | DFND | 1 2 | 0 | 23,757 | 0 | |
TRIBUNE MEDIA CO | CL A | 896047503 | 791 | 19,358 | SH | DFND | 1 2 | 0 | 19,358 | 0 | |
VANECK VECTORS ETF TR | PUT | 92189F791 | 6 | 62 | SH | Put | DFND | 1 2 | 0 | 62 | 0 |
DYNEGY INC | W EXP 02/02/2024 | 26817R157 | 2 | 10,071 | SH | DFND | 1 2 | 0 | 10,071 | 0 | |
NXP SEMICONDUCTORS N V | CALL | N6596X109 | 112 | 114 | SH | Call | DFND | 1 2 3 | 0 | 114 | 0 |
SILVER SPRING NETWORKS INC | CALL | 82817Q103 | 0 | 2 | SH | Call | DFND | 1 2 3 | 0 | 2 | 0 |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578101 | 1,165 | 367 | SH | Call | DFND | 1 2 3 | 0 | 367 | 0 |
AKORN INC | COM | 009728106 | 4,020 | 121,135 | SH | DFND | 1 2 3 | 0 | 121,135 | 0 | |
ALERE INC | COM | 01449J105 | 5,579 | 109,421 | SH | DFND | 1 2 3 | 0 | 109,421 | 0 | |
BROCADE COMMUNICATIONS SYS I | COM | 111621306 | 10,468 | 875,949 | SH | DFND | 1 2 3 | 0 | 875,949 | 0 | |
CALPINE CORP | COM | 131347304 | 10,698 | 725,301 | SH | DFND | 1 2 3 | 0 | 725,301 | 0 | |
BARD C R INC | COM | 067383109 | 5,661 | 17,662 | SH | DFND | 1 2 3 | 0 | 17,662 | 0 | |
DIGITALGLOBE INC | COM | 25389M877 | 22,731 | 644,861 | SH | DFND | 1 2 3 | 0 | 644,861 | 0 | |
GENERAL COMMUNICATION INC | CL A | 369385109 | 4,972 | 121,893 | SH | DFND | 1 2 3 | 0 | 121,893 | 0 | |
IXYS CORP | COM | 46600W106 | 2,840 | 119,819 | SH | DFND | 1 2 3 | 0 | 119,819 | 0 | |
KITE PHARMA INC | COM | 49803L109 | 10,732 | 59,686 | SH | DFND | 1 2 3 | 0 | 59,686 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM | 52729N308 | 16,498 | 309,580 | SH | DFND | 1 2 3 | 0 | 309,580 | 0 | |
MONSANTO CO | COM | 61166W101 | 10,724 | 89,498 | SH | DFND | 1 2 3 | 0 | 89,498 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 26,929 | 238,117 | SH | DFND | 1 2 3 | 0 | 238,117 | 0 | |
PAREXEL INTL CORP | COM | 699462107 | 5,432 | 61,671 | SH | DFND | 1 2 3 | 0 | 61,671 | 0 | |
RICE ENERGY INC | COM | 762760106 | 18,892 | 652,812 | SH | DFND | 1 2 3 | 0 | 652,812 | 0 | |
RICHMONT MINES INC | COM | 76547T106 | 1,852 | 198,099 | SH | DFND | 1 2 3 | 0 | 198,099 | 0 | |
ROCKWELL COLLINS INC | COM | 774341101 | 6,923 | 52,965 | SH | DFND | 1 2 3 | 0 | 52,965 | 0 | |
SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | 7,301 | 85,003 | SH | DFND | 1 2 3 | 0 | 85,003 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 10,533 | 58,301 | SH | DFND | 1 2 3 | 0 | 58,301 | 0 | |
SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 1,645 | 176,267 | SH | DFND | 1 2 3 | 0 | 176,267 | 0 | |
TIME WARNER INC | COM | 887317303 | 15,133 | 147,715 | SH | DFND | 1 2 3 | 0 | 147,715 | 0 | |
TRIBUNE MEDIA CO | CL A | 896047503 | 5,249 | 128,457 | SH | DFND | 1 2 3 | 0 | 128,457 | 0 | |
VANECK VECTORS ETF TR | PUT | 92189F791 | 22 | 212 | SH | Put | DFND | 1 2 3 | 0 | 212 | 0 |