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 |
ABERDEEN EMRG MRKTS EQT INM | COM | 00301W105 | 1,089 | 155,640 | SH | DFND | 1,2 | 155,640 | 0 | 0 | |
ABRAXAS PETE CORP | COM | 003830106 | 71 | 24,673 | SH | DFND | 1,2 | 24,673 | 0 | 0 | |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 59 | 11,204 | SH | DFND | 1,2 | 11,204 | 0 | 0 | |
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 692 | 8,220 | SH | DFND | 1,2 | 8,220 | 0 | 0 | |
ALEXANDRIA REAL ESTATE EQ IN | PFD CONV SER D | 015271505 | 9,570 | 275,000 | SH | DFND | 1,2 | 275,000 | 0 | 0 | |
ALEXCO RESOURCE CORP | COM | 01535P106 | 73 | 55,180 | SH | DFND | 1,2 | 55,180 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 515 | 4,150 | SH | DFND | 1,2 | 4,150 | 0 | 0 | |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 242 | 2,460 | SH | DFND | 1,2 | 2,460 | 0 | 0 | |
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 4,545 | 450,000 | SH | DFND | 1,2 | 450,000 | 0 | 0 | |
AMERICAN CAP SR FLOATING LTD | COM | 02504D108 | 598 | 48,581 | SH | DFND | 1,2 | 48,581 | 0 | 0 | |
AMTRUST FINL SVCS INC | NOTE 2.750%12/1 | 032359AG6 | 9,265 | 9,593,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
AMYRIS INC | COM NEW | 03236M200 | 71 | 11,041 | SH | DFND | 1,2 | 11,041 | 0 | 0 | |
ASCENA RETAIL GROUP INC | COM | 04351G101 | 63 | 15,747 | SH | DFND | 1,2 | 15,747 | 0 | 0 | |
ASSURED GUARANTY LTD | COM | G0585R106 | 337 | 9,445 | SH | DFND | 1,2 | 9,445 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 4,543 | 141,491 | SH | DFND | 1 | 141,491 | 0 | 0 | |
ATLANTIC ACQUISITION CORP | COM | 048206106 | 4,858 | 478,600 | SH | DFND | 1,2 | 478,600 | 0 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 518 | 25,800 | SH | DFND | 1,2 | 25,800 | 0 | 0 | |
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 22,889 | 2,282,051 | SH | DFND | 1,2 | 2,282,051 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 22,030 | 781,500 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
BANK OF NT BUTTERFIELD&SON L | SHS NEW | G0772R208 | 478 | 10,400 | SH | DFND | 1,2 | 10,400 | 0 | 0 | |
BARCLAYS PLC | ADR | 06738E204 | 12,036 | 1,200,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 2,000 | 190,480 | SH | DFND | 1,2 | 190,480 | 0 | 0 | |
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 50 | 16,989 | SH | DFND | 1,2 | 16,989 | 0 | 0 | |
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 1,385 | 138,252 | SH | DFND | 1,2 | 138,252 | 0 | 0 | |
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 5,090 | 520,965 | SH | DFND | 1,2 | 520,965 | 0 | 0 | |
BLACKSTONE MTG TR INC | NOTE 5.250%12/0 | 09257WAA8 | 1,225 | 1,062,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BRIGHTSPHERE INVESTMNT GRP P | SHS | G1644T109 | 3,565 | 250,000 | SH | DFND | 1,2 | 250,000 | 0 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 24,787 | 14,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CAI INTERNATIONAL INC | COM | 12477X106 | 6,813 | 293,174 | SH | DFND | 1,2 | 293,174 | 0 | 0 | |
CAPITOL INVT CORP IV | CL A ORD | G18920101 | 3,044 | 308,364 | SH | DFND | 1,2 | 308,364 | 0 | 0 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 161 | 17,950 | SH | DFND | 1,2 | 17,950 | 0 | 0 | |
CASTLE BRANDS INC | COM | 148435100 | 31 | 25,951 | SH | DFND | 1,2 | 25,951 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 903 | 11,372 | SH | DFND | 1,2 | 11,372 | 0 | 0 | |
CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461100 | 94 | 10,594 | SH | DFND | 1,2 | 10,594 | 0 | 0 | |
CHARTER COMMUNICATIONS INC N | CL A | 16119P108 | 3,705 | 12,635 | SH | DFND | 1,2 | 12,635 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 2.250%12/1 | 165167CB1 | 67 | 70,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CIENA CORP | NOTE 3.750%10/1 | 171779AJ0 | 1,323 | 1,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 13,056 | 1,325,460 | SH | DFND | 1,2 | 1,325,460 | 0 | 0 | |
CNX RESOURCES CORPORATION | COM | 12653C108 | 181 | 10,185 | SH | DFND | 1,2 | 10,185 | 0 | 0 | |
COLONY CAP INC NEW | CL A COM | 19626G108 | 171 | 27,482 | SH | DFND | 1,2 | 27,482 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | RIGHT 12/31/2019 | 203668116 | 33 | 3,000,000 | SH | DFND | 1,2 | 3,000,000 | 0 | 0 | |
CONSOLIDATED TOMOKA LD CO | NOTE 4.500% 3/1 | 210226AB2 | 7,698 | 7,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 5,173 | 519,415 | SH | DFND | 1,2 | 519,415 | 0 | 0 | |
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 52,366 | 23,150,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CYS INVTS INC | COM | 12673A108 | 171 | 22,807 | SH | DFND | 1,2 | 22,807 | 0 | 0 | |
DENNYS CORP | COM | 24869P104 | 174 | 10,906 | SH | DFND | 1,2 | 10,906 | 0 | 0 | |
DHX MEDIA LTD | COM VAR VTG | 252406152 | 86 | 41,159 | SH | DFND | 1,2 | 41,159 | 0 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 73 | 48,037 | SH | DFND | 1,2 | 48,037 | 0 | 0 | |
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 57,184 | 468,719 | SH | DFND | 1,2 | 468,719 | 0 | 0 | |
DRAPER OAKWOOD TECHNOLOGY | COM CL A | 26146L103 | 1,521 | 152,358 | SH | DFND | 1,2 | 152,358 | 0 | 0 | |
DUFF & PHELPS SLCT ENGY MLP | COM | 26433F108 | 134 | 24,139 | SH | DFND | 1,2 | 24,139 | 0 | 0 | |
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 9,660 | 306,667 | SH | DFND | 1,2 | 306,667 | 0 | 0 | |
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 213 | 5,427 | SH | DFND | 1,2 | 5,427 | 0 | 0 | |
FAR PT ACQUISITION CORP | UNIT 06/01/2025 | 30734W208 | 1,528 | 150,000 | SH | DFND | 1,2 | 150,000 | 0 | 0 | |
FEDERAL STR ACQUISITION CORP | CL A | 31421V107 | 3,007 | 306,250 | SH | DFND | 1,2 | 306,250 | 0 | 0 | |
FIDELITY NATIONAL FINANCIAL | NOTE 4.250% 8/1 | 31620RAE5 | 4,117 | 1,400,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
FLUIDIGM CORP DEL | COM | 34385P108 | 61 | 10,313 | SH | DFND | 1,2 | 10,313 | 0 | 0 | |
FRONTIER COMMUNICATIONS CORP | COM NEW | 35906A306 | 1,807 | 337,200 | SH | DFND | 1,2 | 337,200 | 0 | 0 | |
FRONTIER COMMUNICATIONS CORP | COM NEW | 35906A306 | 1,807 | 337,200 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
FUELCELL ENERGY INC | COM NEW | 35952H502 | 66 | 49,886 | SH | DFND | 1,2 | 49,886 | 0 | 0 | |
GABELLI UTIL TR | COM | 36240A101 | 570 | 96,692 | SH | DFND | 1,2 | 96,692 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 168 | 12,331 | SH | DFND | 1,2 | 12,331 | 0 | 0 | |
GIGCAPITAL INC | COM | 37518N106 | 7,789 | 789,921 | SH | DFND | 1,2 | 789,921 | 0 | 0 | |
GILDAN ACTIVEWEAR INC | COM | 375916103 | 330 | 11,713 | SH | DFND | 1,2 | 11,713 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 713 | 10,070 | SH | DFND | 1,2 | 10,070 | 0 | 0 | |
GLU MOBILE INC | COM | 379890106 | 65 | 10,192 | SH | DFND | 1,2 | 10,192 | 0 | 0 | |
GOLDMAN SACHS MLP ENERGY REN | COM | 38148G107 | 131 | 21,300 | SH | DFND | 1,2 | 21,300 | 0 | 0 | |
GRANITE PT MTG TR INC | NOTE 5.625%12/0 | 38741LAB3 | 14,527 | 14,250,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
GS ACQUISITION HLDGS CORP | UNIT 06/12/2023 | 36255F201 | 3,161 | 309,300 | SH | DFND | 1,2 | 309,300 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 4,181 | 413,943 | SH | DFND | 1,2 | 413,943 | 0 | 0 | |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 351 | 20,814 | SH | DFND | 1,2 | 20,814 | 0 | 0 | |
HARVARD BIOSCIENCE INC | COM | 416906105 | 54 | 10,003 | SH | DFND | 1,2 | 10,003 | 0 | 0 | |
HAWAIIAN TELCOM HOLDCO INC | COM | 420031106 | 5,440 | 188,100 | SH | DFND | 1,2 | 188,100 | 0 | 0 | |
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 20,490 | 2,020,704 | SH | DFND | 1,2 | 2,020,704 | 0 | 0 | |
HIGHPOINT RES CORP | COM | 43114K108 | 70 | 11,486 | SH | DFND | 1,2 | 11,486 | 0 | 0 | |
HL ACQUISITIONS CORP | UNIT 06/21/2023 | G4603R114 | 2,512 | 250,000 | SH | DFND | 1,2 | 250,000 | 0 | 0 | |
HORNBECK OFFSHORE SVCS INC N | COM | 440543106 | 63 | 15,974 | SH | DFND | 1,2 | 15,974 | 0 | 0 | |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 2,000 | 1,176,386 | SH | DFND | 1,2 | 1,176,386 | 0 | 0 | |
I AM CAP ACQUISITION CO | COM | 45074Q108 | 811 | 75,000 | SH | DFND | 1,2 | 75,000 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 687 | 10,249 | SH | DFND | 1,2 | 10,249 | 0 | 0 | |
INDUSTREA ACQUISITION CORP | CL A | 45579J104 | 8,866 | 899,159 | SH | DFND | 1,2 | 899,159 | 0 | 0 | |
INTREPID POTASH INC | COM | 46121Y102 | 65 | 15,857 | SH | DFND | 1,2 | 15,857 | 0 | 0 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 164 | 10,293 | SH | DFND | 1,2 | 10,293 | 0 | 0 | |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 749 | 17,983 | SH | DFND | 1,2 | 17,983 | 0 | 0 | |
ISHARES INC | MSCI STH KOR ETF | 464286772 | 27,084 | 400,000 | SH | Put | DFND | 1 | 0 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 20,502 | 200,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
JANUS HENDERSON GROUP PLC | NOTE 0.750% 7/1 | 47102XAH8 | 4,254 | 3,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
JAPAN SMALLER CAPTLZTN FD IN | COM | 47109U104 | 160 | 13,735 | SH | DFND | 1,2 | 13,735 | 0 | 0 | |
JUST ENERGY GROUP INC | COM | 48213W101 | 192 | 53,102 | SH | DFND | 1,2 | 53,102 | 0 | 0 | |
KAYNE ANDERSON ACQUISITION | UNIT 06/30/2022 | 48661U201 | 2,784 | 269,000 | SH | DFND | 1,2 | 269,000 | 0 | 0 | |
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 13,624 | 1,376,118 | SH | DFND | 1,2 | 1,376,118 | 0 | 0 | |
KAYNE ANDERSON ENERGY DEV CO | COM | 48660Q102 | 455 | 26,181 | SH | DFND | 1,2 | 26,181 | 0 | 0 | |
KB HOME | NOTE 1.375% 2/0 | 48666KAS8 | 31,153 | 28,673,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
KBL MERGER CORP IV | COM | 48242A104 | 4,034 | 405,839 | SH | DFND | 1,2 | 405,839 | 0 | 0 | |
LEISURE ACQUISITION CORP | COM | 52539T107 | 5,555 | 575,040 | SH | DFND | 1,2 | 575,040 | 0 | 0 | |
LEO HOLDINGS CORP | COM CL A | G5463L105 | 5,919 | 611,510 | SH | DFND | 1,2 | 611,510 | 0 | 0 | |
LF CAP ACQUISITION CORP | CL A | 50200K108 | 9,566 | 950,000 | SH | DFND | 1,2 | 950,000 | 0 | 0 | |
LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | 26,153 | 41,143,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP DELAWARE | NOTE 1.375%10/1 | 531229AB8 | 62,316 | 49,817,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MAGNA INTL INC | COM | 559222401 | 352 | 6,041 | SH | DFND | 1,2 | 6,041 | 0 | 0 | |
MAIDEN HOLDINGS LTD | SHS | G5753U112 | 176 | 22,666 | SH | DFND | 1,2 | 22,666 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 197 | 10,550 | SH | DFND | 1,2 | 10,550 | 0 | 0 | |
MANNKIND CORP | COM NEW | 56400P706 | 64 | 33,903 | SH | DFND | 1,2 | 33,903 | 0 | 0 | |
MEDALLION FINL CORP | COM | 583928106 | 62 | 11,262 | SH | DFND | 1,2 | 11,262 | 0 | 0 | |
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 6,142 | 5,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MEDIDATA SOLUTIONS INC | NOTE 1.000% 8/0 | 58471AAB1 | 16,781 | 12,213,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
METHANEX CORP | COM | 59151K108 | 342 | 4,828 | SH | DFND | 1,2 | 4,828 | 0 | 0 | |
MFA FINL INC | COM | 55272X102 | 163 | 21,471 | SH | DFND | 1,2 | 21,471 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 3.000%11/1 | 595112AY9 | 11,812 | 6,506,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MINDBODY INC | COM CL A | 60255W105 | 1,110 | 28,750 | SH | DFND | 1,2 | 28,750 | 0 | 0 | |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 7,175 | 719,701 | SH | DFND | 1,2 | 719,701 | 0 | 0 | |
MOLECULAR TEMPLATES INC | COM | 608550109 | 65 | 12,494 | SH | DFND | 1,2 | 12,494 | 0 | 0 | |
MOLINA HEALTHCARE INC | DBCV 1.625% 8/1 | 60855RAD2 | 19,394 | 11,476,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MOSAIC ACQUISITION CORP | SHS CL A | G62848109 | 2,621 | 270,780 | SH | DFND | 1,2 | 270,780 | 0 | 0 | |
MTECH ACQUISITION CORP | COM CLASS A | 55378W107 | 883 | 90,432 | SH | DFND | 1,2 | 90,432 | 0 | 0 | |
MTGE INVT CORP | COM | 55378A105 | 16,060 | 819,384 | SH | DFND | 1,2 | 819,384 | 0 | 0 | |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 3,057 | 317,067 | SH | DFND | 1,2 | 317,067 | 0 | 0 | |
MYOVANT SCIENCES LTD | COM | G637AM102 | 218 | 9,552 | SH | DFND | 1,2 | 9,552 | 0 | 0 | |
NATIONSTAR MTG HLDGS INC | COM | 63861C109 | 591 | 33,703 | SH | DFND | 1,2 | 33,703 | 0 | 0 | |
NAVIENT CORPORATION | COM | 63938C108 | 154 | 11,795 | SH | DFND | 1,2 | 11,795 | 0 | 0 | |
NEUBERGER BERMAN MLP INCOME | COM | 64129H104 | 109 | 12,400 | SH | DFND | 1,2 | 12,400 | 0 | 0 | |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 773 | 7,865 | SH | DFND | 1,2 | 7,865 | 0 | 0 | |
NEW FRONTIER CORP | UNIT 99/99/9999 | G6485P116 | 1,759 | 175,000 | SH | DFND | 1,2 | 175,000 | 0 | 0 | |
NEW SR INVT GROUP INC | COM | 648691103 | 167 | 22,015 | SH | DFND | 1,2 | 22,015 | 0 | 0 | |
NEXEO SOLUTIONS INC | *W EXP 06/09/202 | 65342H110 | 571 | 1,000,000 | SH | DFND | 1,2 | 1,000,000 | 0 | 0 | |
NEXTERA ENERGY INC | UNIT 08/31/2018 | 65339F846 | 7,456 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
NOBLE CORP PLC | SHS USD | G65431101 | 75 | 11,927 | SH | DFND | 1,2 | 11,927 | 0 | 0 | |
NORTHERN OIL & GAS INC NEV | COM | 665531109 | 77 | 24,322 | SH | DFND | 1,2 | 24,322 | 0 | 0 | |
NOVAVAX INC | COM | 670002104 | 98 | 73,414 | SH | DFND | 1,2 | 73,414 | 0 | 0 | |
NOVO-NORDISK A S | ADR | 670100205 | 351 | 7,616 | SH | DFND | 1,2 | 7,616 | 0 | 0 | |
ONE MADISON CORP | COM CL A | G6772P100 | 212 | 21,808 | SH | DFND | 1,2 | 21,808 | 0 | 0 | |
OPES ACQUISITION CORP | COM | 68373P100 | 2,910 | 300,000 | SH | DFND | 1,2 | 300,000 | 0 | 0 | |
PARAMOUNT GOLD NEV CORP | COM | 69924M109 | 189 | 150,000 | SH | DFND | 1,2 | 150,000 | 0 | 0 | |
PARTY CITY HOLDCO INC | COM | 702149105 | 164 | 10,742 | SH | DFND | 1,2 | 10,742 | 0 | 0 | |
PENNYMAC FINL SVCS INC | CL A | 70932B101 | 1,965 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
PENSARE ACQUISITION CORP | RIGHT 99/99/9999 | 70957E121 | 25 | 50,316 | SH | DFND | 1,2 | 50,316 | 0 | 0 | |
PENSARE ACQUISITION CORP | *W EXP 07/27/202 | 70957E113 | 16 | 25,158 | SH | DFND | 1,2 | 25,158 | 0 | 0 | |
PLATINUM EAGLE ACQUISITIN CO | UNIT 01/09/2023 | G7126L126 | 492 | 49,000 | SH | DFND | 1,2 | 49,000 | 0 | 0 | |
PURE ACQUISITION CORP | CL A | 74621Q106 | 12,241 | 1,269,800 | SH | DFND | 1,2 | 1,269,800 | 0 | 0 | |
PURE ACQUISITION CORP | *W EXP 04/17/202 | 74621Q114 | 1,504 | 1,175,000 | SH | DFND | 1,2 | 1,175,000 | 0 | 0 | |
RADIUS HEALTH INC | COM NEW | 750469207 | 374 | 12,706 | SH | DFND | 1,2 | 12,706 | 0 | 0 | |
RED HAT INC | COM | 756577102 | 3,647 | 27,141 | SH | DFND | 1,2 | 27,141 | 0 | 0 | |
REDWOOD TR INC | NOTE 5.625% 7/1 | 758075AD7 | 2,955 | 3,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
REGALWOOD GLOBAL ENERGY LTD | COM CL A | G74760102 | 6,686 | 685,000 | SH | DFND | 1,2 | 685,000 | 0 | 0 | |
RESOURCE CAP CORP | NOTE 4.500% 8/1 | 76120WAC8 | 21,549 | 21,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
RETAIL PPTYS AMER INC | CL A | 76131V202 | 188 | 14,696 | SH | DFND | 1,2 | 14,696 | 0 | 0 | |
RLJ LODGING TR | CUM CONV PFD A | 74965L200 | 19,818 | 755,259 | SH | DFND | 1,2 | 755,259 | 0 | 0 | |
ROYAL BK SCOTLAND GROUP PLC | SP ADR PREF S | 780097739 | 513 | 19,963 | SH | DFND | 1,2 | 19,963 | 0 | 0 | |
SABAN CAP ACQUISITION CORP | COM CL A | 78516C106 | 756 | 74,898 | SH | DFND | 1,2 | 74,898 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 410 | 2,620 | SH | DFND | 1,2 | 2,620 | 0 | 0 | |
SALLY BEAUTY HLDGS INC | COM | 79546E104 | 171 | 10,659 | SH | DFND | 1,2 | 10,659 | 0 | 0 | |
SEABRIDGE GOLD INC | COM | 811916105 | 10,760 | 955,500 | SH | DFND | 1,2 | 955,500 | 0 | 0 | |
SECOND SIGHT MED PRODS INC | COM | 81362J100 | 41 | 24,491 | SH | DFND | 1,2 | 24,491 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 2,084 | 30,000 | SH | DFND | 1,2 | 30,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 1,098 | 10,050 | SH | DFND | 1,2 | 10,050 | 0 | 0 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 1,898 | 25,000 | SH | DFND | 1 | 25,000 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | COM CL A | G8062D102 | 4,558 | 462,750 | SH | DFND | 1,2 | 462,750 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | UNIT 11/02/2022 | G8062D128 | 187 | 18,544 | SH | DFND | 1,2 | 18,544 | 0 | 0 | |
SIGNET JEWELERS LIMITED | SHS | G81276100 | 241 | 4,320 | SH | DFND | 1,2 | 4,320 | 0 | 0 | |
SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 233 | 55,681 | SH | DFND | 1,2 | 55,681 | 0 | 0 | |
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 160 | 19,915 | SH | DFND | 1,2 | 19,915 | 0 | 0 | |
SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 10,095 | 805,677 | SH | DFND | 1,2 | 805,677 | 0 | 0 | |
SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | 2,497 | 302,623 | SH | DFND | 1,2 | 302,623 | 0 | 0 | |
STARWOOD PPTY TR INC | NOTE 4.000% 1/1 | 85571BAB1 | 2,502 | 2,229,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
STEIN MART INC | COM | 858375108 | 39 | 15,901 | SH | DFND | 1,2 | 15,901 | 0 | 0 | |
TEGNA INC | COM | 87901J105 | 167 | 15,368 | SH | DFND | 1,2 | 15,368 | 0 | 0 | |
TEMPLETON DRAGON FD INC | COM | 88018T101 | 340 | 15,972 | SH | DFND | 1,2 | 15,972 | 0 | 0 | |
TEMPLETON EMERGING MKTS FD I | COM | 880191101 | 178 | 12,100 | SH | DFND | 1,2 | 12,100 | 0 | 0 | |
TERADYNE INC | NOTE 1.250%12/1 | 880770AG7 | 20,175 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TETRA TECHNOLOGIES INC DEL | COM | 88162F105 | 70 | 15,820 | SH | DFND | 1,2 | 15,820 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 2,092 | 86,000 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 41,344 | 1,700,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
THUNDER BRIDGE ACQUISITION L | UNIT 01/01/2025 | G8857R118 | 16,064 | 1,600,000 | SH | DFND | 1,2 | 1,600,000 | 0 | 0 | |
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 761 | 75,000 | SH | DFND | 1,2 | 75,000 | 0 | 0 | |
TIBERIUS ACQUISITION CORP | COM | 88633A107 | 3,764 | 391,624 | SH | DFND | 1,2 | 391,624 | 0 | 0 | |
TORTOISE MLP FD INC | RIGHT 07/18/2018 | 89148B119 | 149 | 398,752 | SH | DFND | 1,2 | 398,752 | 0 | 0 | |
TPG PACE HLDGS CORP | CL A | G89827128 | 7,104 | 715,443 | SH | DFND | 1,2 | 715,443 | 0 | 0 | |
TRIANGLE CAP CORP | COM | 895848109 | 10,093 | 877,665 | SH | DFND | 1,2 | 877,665 | 0 | 0 | |
TRIDENT ACQUISITIONS CORP | COM | 89615T106 | 11,700 | 1,200,000 | SH | DFND | 1,2 | 1,200,000 | 0 | 0 | |
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 235 | 733,500 | SH | DFND | 1,2 | 733,500 | 0 | 0 | |
TRINITY INDS INC | COM | 896522109 | 404 | 11,803 | SH | DFND | 1,2 | 11,803 | 0 | 0 | |
TRINITY MERGER CORP | COM CL A | 89653L106 | 9,252 | 947,000 | SH | DFND | 1,2 | 947,000 | 0 | 0 | |
TUESDAY MORNING CORP | COM NEW | 899035505 | 55 | 17,900 | SH | DFND | 1,2 | 17,900 | 0 | 0 | |
TWELVE SEAS INVESTMENT COMPA | UNIT 06/21/2023 | G9145A123 | 12,379 | 1,230,499 | SH | DFND | 1,2 | 1,230,499 | 0 | 0 | |
TWO HBRS INVT CORP | COM NEW | 90187B408 | 168 | 10,611 | SH | DFND | 1,2 | 10,611 | 0 | 0 | |
UNION ACQUISITION CORP | SHS | G9366W101 | 2,580 | 266,250 | SH | DFND | 1,2 | 266,250 | 0 | 0 | |
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 320 | 32,383 | SH | DFND | 1,2 | 32,383 | 0 | 0 | |
VECTOIQ ACQUISITION CORP | COM | 92243N103 | 3,334 | 348,000 | SH | DFND | 1,2 | 348,000 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 14,846 | 11,100,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 647 | 3,808 | SH | DFND | 1,2 | 3,808 | 0 | 0 | |
VIRNETX HLDG CORP | COM | 92823T108 | 45 | 13,298 | SH | DFND | 1,2 | 13,298 | 0 | 0 | |
VITAL THERAPIES INC | COM | 92847R104 | 76 | 11,113 | SH | DFND | 1,2 | 11,113 | 0 | 0 | |
VIVINT SOLAR INC | COM | 92854Q106 | 53 | 10,805 | SH | DFND | 1,2 | 10,805 | 0 | 0 | |
VOYA EMERGING MKTS HIGH DIVI | COM | 92912P108 | 101 | 12,524 | SH | DFND | 1,2 | 12,524 | 0 | 0 | |
WASHINGTON PRIME GROUP NEW | COM | 93964W108 | 198 | 24,357 | SH | DFND | 1,2 | 24,357 | 0 | 0 | |
WELLS FARGO CO NEW | COM | 949746101 | 499 | 9,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
WIX COM LTD | SHS | M98068105 | 1,264 | 12,600 | SH | DFND | 1,2 | 12,600 | 0 | 0 | |
WMIH CORP | COM | 92936P100 | 432 | 322,184 | SH | DFND | 1,2 | 322,184 | 0 | 0 | |
WORKDAY INC | CL A | 98138H101 | 4,180 | 34,512 | SH | DFND | 1,2 | 34,512 | 0 | 0 | |
WORKDAY INC | NOTE 0.750% 7/1 | 98138HAC5 | 34,406 | 23,013,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ZILLOW GROUP INC | CL C CAP STK | 98954M200 | 2,067 | 35,000 | SH | DFND | 1,2 | 35,000 | 0 | 0 |