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 |
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 41,938 | 1,511,817 | SH | DFND | 1,2 | 0 | 1,511,817 | 0 | |
IHS MARKIT LTD | SHS | G47567105 | 14,770 | 111,113 | SH | DFND | 1,2 | 0 | 111,113 | 0 | |
BABYLON HLDGS LTD | CL A SHS | G07031100 | 369 | 63,164 | SH | DFND | 1,2 | 0 | 63,164 | 0 | |
ATOTECH LTD | COM | G0625A105 | 10,748 | 421,180 | SH | DFND | 1,2 | 0 | 421,180 | 0 | |
EURONAV NV | SHS | B38564108 | 1,387 | 156,000 | SH | DFND | 1,2 | 0 | 156,000 | 0 | |
ZYNGA INC | NOTE 0.250% 6/0 | 98986TAB4 | 2,168 | 2,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ZILLOW GROUP INC | NOTE 2.750% 5/1 | 98954MAH4 | 258 | 200,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ZILLOW GROUP INC | CL A | 98954M101 | 10,198 | 163,904 | SH | DFND | 1,2 | 0 | 163,904 | 0 | |
ZENDESK INC | NOTE 0.625% 6/1 | 98936JAD3 | 17,975 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ZENDESK INC | NOTE 0.250% 3/1 | 98936JAB7 | 258 | 150,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
XILINX INC | COM | 983919101 | 3,607 | 17,013 | SH | DFND | 1,2 | 0 | 17,013 | 0 | |
WORLD WRESTLING ENTMT INC | NOTE 3.375%12/1 | 98156QAB4 | 18,554 | 9,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
WORKIVA INC | NOTE 1.125% 8/1 | 98139AAB1 | 31,411 | 17,629,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
WORKDAY INC | NOTE 0.250%10/0 | 98138HAF8 | 373 | 200,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
WESTERN DIGITAL CORP. | NOTE 1.500% 2/0 | 958102AP0 | 13,001 | 12,800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ANTHEM INC | NOTE 2.750%10/1 | 94973VBG1 | 7,158 | 1,100,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
WAYFAIR INC | NOTE 0.625%10/0 | 94419LAM3 | 25,789 | 28,139,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
VIACOMCBS INC | CL A | 92556H107 | 1,887 | 56,560 | SH | DFND | 1,2 | 0 | 56,560 | 0 | |
VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 | 19,990 | 624,093 | SH | DFND | 1,2 | 0 | 624,093 | 0 | |
URANIUM ENERGY CORP | COM | 916896103 | 2,381 | 710,817 | SH | DFND | 1,2 | 0 | 710,817 | 0 | |
UR-ENERGY INC | COM | 91688R108 | 10,744 | 8,817,697 | SH | DFND | 1,2 | 0 | 8,817,697 | 0 | |
UNDER ARMOUR INC | CL C | 904311206 | 30,348 | 1,682,249 | SH | DFND | 1,2 | 0 | 1,682,249 | 0 | |
TWITTER INC | NOTE 0.250% 6/1 | 90184LAF9 | 4,150 | 3,800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TERADYNE INC | NOTE 1.250%12/1 | 880770AG7 | 42,181 | 8,151,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TELADOC HEALTH INC | NOTE 1.250% 6/0 | 87918AAF2 | 15,206 | 16,600,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TELADOC HEALTH INC | COM | 87918A105 | 798 | 8,681 | SH | DFND | 1,2 | 0 | 8,681 | 0 | |
SUMMIT MIDSTREAM PARTNERS LP | COM UNIT LTD | 866142409 | 1,258 | 56,653 | SH | DFND | 1,2 | 0 | 56,653 | 0 | |
BLOCK INC | NOTE 0.250%11/0 | 852234AK9 | 5,311 | 5,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BLOCK INC | NOTE 5/0 | 852234AJ2 | 12,961 | 12,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BLOCK INC | NOTE 0.125% 3/0 | 852234AF0 | 42,816 | 28,800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BLOCK INC | NOTE 0.500% 5/1 | 852234AD5 | 10,048 | 4,800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SPLUNK INC | NOTE 1.125% 9/1 | 848637AD6 | 16,920 | 15,250,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SPLUNK INC | NOTE 0.500% 9/1 | 848637AC8 | 10,048 | 9,350,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 844741BG2 | 54,027 | 40,350,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SILICON LABORATORIES INC | NOTE 0.625% 6/1 | 826919AD4 | 30,860 | 17,550,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SHOPIFY INC | NOTE 0.125%11/0 | 82509LAA5 | 991 | 800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SEA LTD | NOTE 0.250% 9/1 | 81141RAG5 | 33,193 | 36,100,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SEA LTD | NOTE 2.375%12/0 | 81141RAF7 | 3,437 | 1,350,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ROYAL DUTCH SHELL PLC | SPON ADR B | 780259107 | 7,243 | 167,228 | SH | DFND | 1,2 | 0 | 167,228 | 0 | |
RINGCENTRAL INC | NOTE 3/0 | 76680RAF4 | 848 | 900,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
QUANTUMSCAPE CORP | COM CL A | 74767V109 | 5,037 | 227,000 | SH | DFND | 1,2 | 0 | 227,000 | 0 | |
PURE STORAGE INC | NOTE 0.125% 4/1 | 74624MAB8 | 2,077 | 1,550,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PRETIUM RES INC | COM | 74139C102 | 1,507 | 106,926 | SH | DFND | 1,2 | 0 | 106,926 | 0 | |
PLATINUM GROUP METALS LTD | COM | 72765Q882 | 1,392 | 883,365 | SH | DFND | 1,2 | 0 | 883,365 | 0 | |
PIONEER NAT RES CO | NOTE 0.250% 5/1 | 723787AP2 | 53,819 | 30,029,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PEGASYSTEMS INC | NOTE 0.750% 3/0 | 705573AB9 | 1,013 | 950,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PEBBLEBROOK HOTEL TR | NOTE 1.750%12/1 | 70509VAA8 | 883 | 800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PEABODY ENGR CORP | COM | 704551100 | 755 | 75,000 | SH | DFND | 1,2 | 0 | 75,000 | 0 | |
PARSONS CORP DEL | NOTE 0.250% 8/1 | 70202LAB8 | 12,512 | 12,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 697435AF2 | 55,090 | 29,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PALO ALTO NETWORKS INC | NOTE 0.750% 7/0 | 697435AD7 | 28,420 | 13,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PALO ALTO NETWORKS INC | COM | 697435105 | 15,988 | 28,717 | SH | DFND | 1,2 | 0 | 28,717 | 0 | |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 15,175 | 274,305 | SH | DFND | 1,2 | 0 | 274,305 | 0 | |
NEWS CORP NEW | CL A | 65249B109 | 9,398 | 421,305 | SH | DFND | 1,2 | 0 | 421,305 | 0 | |
NEOGENOMICS INC | NOTE 0.250% 1/1 | 64049MAB6 | 353 | 400,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
NATIONAL VISION HLDGS INC | NOTE 2.500% 5/1 | 63845RAB3 | 20,650 | 12,250,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MONGODB INC | NOTE 0.250% 1/1 | 60937PAD8 | 38,351 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MIDDLEBY CORP | NOTE 1.000% 9/0 | 596278AB7 | 1,609 | 1,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MAG SILVER CORP | COM | 55903Q104 | 3,197 | 204,000 | SH | DFND | 1,2 | 0 | 204,000 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 55024UAD1 | 26,101 | 20,950,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIVENT CORP | NOTE 4.125% 7/1 | 53814LAB4 | 6,491 | 2,200,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 16,399 | 1,065,517 | SH | DFND | 1,2 | 0 | 1,065,517 | 0 | |
LIBERTY MEDIA CORP DEL | NOTE 1.000% 1/3 | 531229AF9 | 518 | 300,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP DEL | NOTE 1.375%10/1 | 531229AB8 | 4,467 | 2,950,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP DEL | COM SER A FRMLA | 531229870 | 15,458 | 260,495 | SH | DFND | 1,2 | 0 | 260,495 | 0 | |
LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | 30,658 | 602,903 | SH | DFND | 1,2 | 0 | 602,903 | 0 | |
LIBERTY BROADBAND CORP | COM SER C | 530307305 | 19,568 | 121,465 | SH | DFND | 1,2 | 0 | 121,465 | 0 | |
LI-CYCLE HOLDINGS CORP | COMMON SHARES | 50202P105 | 2,391 | 240,000 | SH | DFND | 1,2 | 0 | 240,000 | 0 | |
LCI INDS | NOTE 1.125% 5/1 | 501812AB7 | 16,604 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 5,351 | 13,451 | SH | DFND | 1,2 | 0 | 13,451 | 0 | |
INTEGRA LIFESCIENCES HLDGS C | NOTE 0.500% 8/1 | 457985AM1 | 10,969 | 10,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ILLUMINA INC | NOTE 8/1 | 452327AK5 | 34,459 | 29,850,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
HUBSPOT INC | NOTE 0.375% 6/0 | 443573AD2 | 2,572 | 1,077,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
HERCULES CAPITAL INC | DBCV 4.375% 2/0 | 427096AF9 | 14,080 | 13,415,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
HEICO CORP NEW | COM | 422806109 | 9,305 | 64,522 | SH | DFND | 1,2 | 0 | 64,522 | 0 | |
GUIDEWIRE SOFTWARE INC | NOTE 1.250% 3/1 | 40171VAA8 | 1,292 | 1,100,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
GRIFOLS S A | SP ADR REP B NVT | 398438408 | 3,077 | 271,230 | SH | DFND | 1,2 | 0 | 271,230 | 0 | |
GOLDEN STAR RES LTD CDA | COM | 38119T807 | 2,142 | 559,300 | SH | DFND | 1,2 | 0 | 559,300 | 0 | |
GOLD RESOURCE CORP | COM | 38068T105 | 493 | 315,978 | SH | DFND | 1,2 | 0 | 315,978 | 0 | |
FOX CORP | CL B COM | 35137L204 | 80,628 | 2,352,717 | SH | DFND | 1,2 | 0 | 2,352,717 | 0 | |
FORTIVE CORP | NOTE 0.875% 2/1 | 34959JAK4 | 35,255 | 35,100,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
FISKER INC | CL A COM STK | 33813J106 | 388 | 24,688 | SH | DFND | 1,2 | 0 | 24,688 | 0 | |
FIRST MAJESTIC SILVER CORP | COM | 32076V103 | 346 | 31,140 | SH | DFND | 1,2 | 0 | 31,140 | 0 | |
EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 30063PAB1 | 510 | 500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 298736AL3 | 42,161 | 38,800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ENERGY FUELS INC | COM NEW | 292671708 | 3,372 | 441,997 | SH | DFND | 1,2 | 0 | 441,997 | 0 | |
EOG RES INC | COM | 26875P101 | 1,821 | 20,500 | SH | DFND | 1,2 | 0 | 20,500 | 0 | |
DOCUSIGN INC | COM | 256163106 | 426 | 2,797 | SH | DFND | 1,2 | 0 | 2,797 | 0 | |
DISCOVERY INC | COM SER C | 25470F302 | 15,681 | 684,750 | SH | DFND | 1,2 | 0 | 684,750 | 0 | |
DICKS SPORTING GOODS INC | NOTE 3.250% 4/1 | 253393AD4 | 5,674 | 1,600,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
DIAMONDBACK ENERGY INC | COM | 25278X109 | 485 | 4,500 | SH | DFND | 1,2 | 0 | 4,500 | 0 | |
DATADOG INC | NOTE 0.125% 6/1 | 23804LAB9 | 35,220 | 17,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CYBERARK SOFTWARE LTD | NOTE 11/1 | 23248VAB1 | 1,394 | 1,100,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
COUPA SOFTWARE INC | NOTE 0.375% 6/1 | 22266LAF3 | 1,471 | 1,550,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
COUPA SOFTWARE INC | NOTE 0.125% 6/1 | 22266LAC0 | 24,540 | 20,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
COMPASS PATHWAYS PLC | SPONSORED ADS | 20451W101 | 5,945 | 269,000 | SH | DFND | 1,2 | 0 | 269,000 | 0 | |
CLEARWAY ENERGY INC | CL A | 18539C105 | 10,910 | 325,855 | SH | DFND | 1,2 | 0 | 325,855 | 0 | |
CHEGG INC | NOTE 9/0 | 163092AF6 | 4,412 | 5,300,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CERNER CORP | COM | 156782104 | 10,576 | 113,889 | SH | DFND | 1,2 | 0 | 113,889 | 0 | |
CENTRAL GARDEN & PET CO | CL A NON-VTG | 153527205 | 13,662 | 285,506 | SH | DFND | 1,2 | 0 | 285,506 | 0 | |
CBL & ASSOC PPTYS INC | COMMON STOCK | 124830878 | 204 | 6,549 | SH | DFND | 1,2 | 0 | 6,549 | 0 | |
BURLINGTON STORES INC | NOTE 2.250% 4/1 | 122017AB2 | 6,519 | 4,350,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 09857LAN8 | 3,993 | 2,700,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BHP GROUP LTD | SPONSORED ADS | 088606108 | 53,307 | 885,640 | SH | DFND | 1,2 | 0 | 885,640 | 0 | |
ARENA PHARMACEUTICALS INC | COM NEW | 040047607 | 5,228 | 56,250 | SH | DFND | 1,2 | 0 | 56,250 | 0 | |
AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 02376RAF9 | 75,959 | 53,586,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
AMBAC FINL GROUP INC | COM NEW | 023139884 | 30,335 | 1,890,000 | SH | DFND | 1,2 | 0 | 1,890,000 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTI | NOTE 0.875% 1/0 | 01988PAF5 | 22,229 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
AKAMAI TECHNOLOGIES INC | NOTE 0.125% 5/0 | 00971TAJ0 | 52,395 | 39,876,000 | PRN | DFND | 1,2 | 0 | 0 | 0 |