The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| ACTINIUM PHARMACEUTICALS INC | COM | 00507W107 | 589 | 1,024,592 | SH | DFND | 1 | 1,024,592 | 0 | 0 | |
| AMBAC FINL GROUP INC | COM NEW | 023139884 | 57,681 | 60,000 | SH | Put | DFND | 1 | 60,000 | 0 | 0 |
| APPLIED MATLS INC | COM | 038222105 | 2,157 | 41,400 | SH | DFND | 1 | 41,400 | 0 | 0 | |
| BANK AMER CORP | COM | 060505104 | 37,032 | 1,461,418 | SH | DFND | 1 | 1,461,418 | 0 | 0 | |
| BANK N S HALIFAX | COM | 064149107 | 16,040 | 200,000 | SH | Put | DFND | 1 | 200,000 | 0 | 0 |
| BELLATRIX EXPLORATION LTD | COM NEW | 078314507 | 13,706 | 3,850,000 | SH | DFND | 1 | 3,850,000 | 0 | 0 | |
| BROADCOM LTD | SHS | Y09827109 | 12,127 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| CATASYS INC | COM PAR | 149049504 | 1,021 | 209,584 | SH | DFND | 1 | 209,584 | 0 | 0 | |
| CDN IMPERIAL BK COMM TORONTO | COM | 136069101 | 65,502 | 600,000 | SH | Put | DFND | 1 | 600,000 | 0 | 0 |
| CENTRAL FD CDA LTD | CL A | 153501101 | 1,520 | 120,000 | SH | DFND | 1 | 120,000 | 0 | 0 | |
| CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 1,385 | 4,500 | SH | DFND | 1 | 4,500 | 0 | 0 | |
| COMBIMATRIX CORPORATION | *W EXP 03/18/202 | 20009T147 | 3,605 | 480,617 | SH | DFND | 1 | 480,617 | 0 | 0 | |
| CREDIT ACCEP CORP MICH | COM | 225310101 | 42,418 | 151,400 | SH | Put | DFND | 1 | 151,400 | 0 | 0 |
| CSX CORP | COM | 126408103 | 4,997 | 92,100 | SH | DFND | 1 | 92,100 | 0 | 0 | |
| DOWDUPONT INC | COM | 26078J100 | 7,100 | 102,560 | SH | DFND | 1 | 102,560 | 0 | 0 | |
| ELLIS PERRY INTL INC | COM | 288853104 | 2,469 | 104,372 | SH | DFND | 1 | 104,372 | 0 | 0 | |
| ENDOCYTE INC | COM | 29269A102 | 270 | 191,300 | SH | DFND | 1 | 191,300 | 0 | 0 | |
| ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 8,550 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
| GARTNER INC | COM | 366651107 | 3,135 | 25,200 | SH | DFND | 1 | 25,200 | 0 | 0 | |
| HD SUPPLY HLDGS INC | COM | 40416M105 | 1,583 | 43,900 | SH | DFND | 1 | 43,900 | 0 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 1,347 | 92,900 | SH | Call | DFND | 1 | 92,900 | 0 | 0 |
| HUDBAY MINERALS INC | COM | 443628102 | 925 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| IMMUNOCELLULAR THERAPEUTICS | *W EXP 08/12/202 | 452536121 | 44 | 117,188 | SH | DFND | 1 | 117,188 | 0 | 0 | |
| INSPIREMD INC | *W EXP 03/14/202 | 45779A135 | 100 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| INSPIREMD INC | COM PAR | 45779A804 | 25 | 62,500 | SH | DFND | 1 | 62,500 | 0 | 0 | |
| INTEL CORP | COM | 458140100 | 15,221 | 399,700 | SH | Put | DFND | 1 | 399,700 | 0 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,650 | 17,280 | SH | DFND | 1 | 17,280 | 0 | 0 | |
| KONA GRILL INC | COM | 50047H201 | 3,327 | 875,574 | SH | DFND | 1 | 875,574 | 0 | 0 | |
| MACYS INC | COM | 55616P104 | 10,495 | 481,000 | SH | DFND | 1 | 481,000 | 0 | 0 | |
| MICROSOFT CORP | COM | 594918104 | 11,903 | 159,787 | SH | DFND | 1 | 159,787 | 0 | 0 | |
| NETFLIX INC | COM | 64110L106 | 36,270 | 200,000 | SH | Put | DFND | 1 | 200,000 | 0 | 0 |
| NVIDIA CORP | COM | 67066G104 | 39,812 | 222,700 | SH | Put | DFND | 1 | 222,700 | 0 | 0 |
| ON SEMICONDUCTOR CORP | COM | 682189105 | 5,185 | 280,700 | SH | Put | DFND | 1 | 280,700 | 0 | 0 |
| OWENS CORNING NEW | COM | 690742101 | 6,833 | 88,340 | SH | DFND | 1 | 88,340 | 0 | 0 | |
| PENNEY J C INC | COM | 708160106 | 1,143 | 300,000 | SH | DFND | 1 | 300,000 | 0 | 0 | |
| PIER 1 IMPORTS INC | COM | 720279108 | 1,800 | 429,482 | SH | DFND | 1 | 429,482 | 0 | 0 | |
| RANDGOLD RES LTD | ADR | 752344309 | 8,643 | 88,504 | SH | DFND | 1 | 88,504 | 0 | 0 | |
| ROYAL BK CDA MONTREAL QUE | COM | 780087102 | 38,616 | 400,000 | SH | Put | DFND | 1 | 400,000 | 0 | 0 |
| RXI PHARMACEUTICALS CORP NEW | *W EXP 12/21/202 | 74979C113 | 1,067 | 2,222,222 | SH | DFND | 1 | 2,222,222 | 0 | 0 | |
| SANOFI | RIGHT 12/31/2020 | 80105N113 | 540 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
| SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/202 | Y73760145 | 1,619 | 1,432,500 | SH | DFND | 1 | 1,432,500 | 0 | 0 | |
| SECOND SIGHT MED PRODS INC | *W EXP 03/06/202 | 81362J118 | 1,610 | 1,341,280 | SH | DFND | 1 | 1,341,280 | 0 | 0 | |
| SERVICEMASTER GLOBAL HLDGS I | COM | 81761R109 | 2,337 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| SILVER RUN ACQUISITION | *W EXP 03/28/202 | 82812A111 | 11,198 | 1,100,000 | SH | DFND | 1 | 1,100,000 | 0 | 0 | |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 75,369 | 300,000 | SH | Call | DFND | 1 | 300,000 | 0 | 0 |
| TABLEAU SOFTWARE INC | CL A | 87336U105 | 8,762 | 117,000 | SH | Put | DFND | 1 | 117,000 | 0 | 0 |
| TESLA INC | COM | 88160R101 | 10,233 | 30,000 | SH | Put | DFND | 1 | 30,000 | 0 | 0 |
| TEXAS INSTRS INC | COM | 882508104 | 26,892 | 300,000 | SH | Put | DFND | 1 | 300,000 | 0 | 0 |
| THE ONE GROUP HOSPITALITY IN | COM | 88338K103 | 3,940 | 2,345,443 | SH | DFND | 1 | 2,345,443 | 0 | 0 | |
| TRAVELPORT WORLDWIDE LTD | SHS | G9019D104 | 1,570 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
| TWITTER INC | COM | 90184L102 | 3,374 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
| VULCAN MATLS CO | COM | 929160109 | 13,012 | 108,800 | SH | DFND | 1 | 108,800 | 0 | 0 | |
| WESTERN DIGITAL CORP | COM | 958102105 | 27,691 | 320,500 | SH | Put | DFND | 1 | 320,500 | 0 | 0 |
| WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 9,026 | 165,000 | SH | DFND | 1 | 165,000 | 0 | 0 | |