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 |
|
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 |
ABERCROMBIE & FITCH CO | CL A | 002896207 | 863 | 69,400 | SH | Call | DFND | 01, 03 | 69,400 | 0 | 0 |
ABERCROMBIE & FITCH CO | CL A | 002896207 | 5,074 | 407,900 | SH | Call | DFND | 02, 03 | 407,900 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 7,027 | 49,118 | SH | DFND | 01, 03 | 49,118 | 0 | 0 | |
AIR PRODS & CHEMS INC | COM | 009158106 | 33,284 | 232,655 | SH | DFND | 02, 03 | 232,655 | 0 | 0 | |
AIR PRODS & CHEMS INC | COM | 009158106 | 24,722 | 172,806 | SH | DFND | 3 | 0 | 172,806 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 10,234 | 802,066 | SH | DFND | 01, 03 | 802,066 | 0 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 32,354 | 2,535,608 | SH | DFND | 02, 03 | 2,535,608 | 0 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 27,760 | 2,175,548 | SH | DFND | 3 | 0 | 2,175,548 | 0 | |
ALTABA INC | COM | 021346101 | 10,604 | 194,644 | SH | DFND | 01, 03 | 194,644 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 61,700 | 1,132,528 | SH | DFND | 02, 03 | 1,132,528 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 23,900 | 438,694 | SH | DFND | 3 | 0 | 438,694 | 0 | |
ANTHEM INC | COM | 036752103 | 2,297 | 12,209 | SH | DFND | 01, 03 | 12,209 | 0 | 0 | |
ANTHEM INC | COM | 036752103 | 9,764 | 51,901 | SH | DFND | 02, 03 | 51,901 | 0 | 0 | |
ANTHEM INC | COM | 036752103 | 10,745 | 57,114 | SH | DFND | 3 | 0 | 57,114 | 0 | |
ARRIS INTL INC | SHS | G0551A103 | 836 | 29,838 | SH | DFND | 3 | 0 | 29,838 | 0 | |
AXALTA COATING SYS LTD | COM | G0750C108 | 1,594 | 49,745 | SH | DFND | 01, 03 | 49,745 | 0 | 0 | |
AXALTA COATING SYS LTD | COM | G0750C108 | 9,460 | 295,241 | SH | DFND | 02, 03 | 295,241 | 0 | 0 | |
AXALTA COATING SYS LTD | COM | G0750C108 | 3,655 | 114,062 | SH | DFND | 3 | 0 | 114,062 | 0 | |
CAMBREX CORP | COM | 132011107 | 698 | 11,687 | SH | DFND | 01, 03 | 11,687 | 0 | 0 | |
CAMBREX CORP | COM | 132011107 | 4,157 | 69,576 | SH | DFND | 02, 03 | 69,576 | 0 | 0 | |
CAMBREX CORP | COM | 132011107 | 1,609 | 26,924 | SH | DFND | 3 | 0 | 26,924 | 0 | |
CHINA PHARMA HLDGS INC | COM | 16941T104 | 46 | 200,000 | SH | DFND | 01, 03 | 200,000 | 0 | 0 | |
CHINA TECHFAITH WIRLS COMM T | SPON ADR NEW | 169424207 | 220 | 74,486 | SH | DFND | 01, 03 | 74,486 | 0 | 0 | |
CHINA XD PLASTICS CO LTD | COM | 16948F107 | 3,733 | 794,328 | SH | DFND | 01, 03 | 794,328 | 0 | 0 | |
CHINA XD PLASTICS CO LTD | COM | 16948F107 | 6,006 | 1,277,820 | SH | DFND | 02, 03 | 1,277,820 | 0 | 0 | |
CHINA XD PLASTICS CO LTD | COM | 16948F107 | 1,767 | 375,966 | SH | DFND | 3 | 0 | 375,966 | 0 | |
COCA COLA EUROPEAN PARTNERS | SHS | G25839104 | 862 | 21,230 | SH | DFND | 3 | 0 | 21,230 | 0 | |
COMMSCOPE HLDG CO INC | COM | 20337X109 | 4,664 | 122,653 | SH | DFND | 01, 03 | 122,653 | 0 | 0 | |
COMMSCOPE HLDG CO INC | COM | 20337X109 | 27,400 | 720,496 | SH | DFND | 02, 03 | 720,496 | 0 | 0 | |
COMMSCOPE HLDG CO INC | COM | 20337X109 | 14,145 | 371,931 | SH | DFND | 3 | 0 | 371,931 | 0 | |
CONYERS PK ACQUISITION | CL A COM | 212894109 | 3,241 | 275,146 | SH | DFND | 01, 03 | 275,146 | 0 | 0 | |
CONYERS PK ACQUISITION | CL A COM | 212894109 | 17,487 | 1,484,506 | SH | DFND | 02, 03 | 1,484,506 | 0 | 0 | |
CONYERS PK ACQUISITION | CL A COM | 212894109 | 4,564 | 387,415 | SH | DFND | 3 | 0 | 387,415 | 0 | |
CONYERS PK ACQUISITION | *W EXP 07/20/202 | 212894117 | 274 | 104,480 | SH | DFND | 01, 03 | 104,480 | 0 | 0 | |
CONYERS PK ACQUISITION | *W EXP 07/20/202 | 212894117 | 1,477 | 563,710 | SH | DFND | 02, 03 | 563,710 | 0 | 0 | |
CONYERS PK ACQUISITION | *W EXP 07/20/202 | 212894117 | 385 | 147,112 | SH | DFND | 3 | 0 | 147,112 | 0 | |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 7,280 | 203,635 | SH | DFND | 01, 03 | 203,635 | 0 | 0 | |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 41,235 | 1,153,439 | SH | DFND | 02, 03 | 1,153,439 | 0 | 0 | |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 14,766 | 413,045 | SH | DFND | 3 | 0 | 413,045 | 0 | |
DESTINATION XL GROUP INC | COM | 25065K104 | 4,664 | 1,981,528 | SH | DFND | 01, 03 | 1,981,528 | 0 | 0 | |
DESTINATION XL GROUP INC | COM | 25065K104 | 5,929 | 2,522,924 | SH | DFND | 02, 03 | 2,522,924 | 0 | 0 | |
DESTINATION XL GROUP INC | COM | 25065K104 | 2,307 | 981,857 | SH | DFND | 3 | 0 | 981,857 | 0 | |
DXC TECHNOLOGY CO | COM | 23355L106 | 5,204 | 67,827 | SH | DFND | 01, 03 | 67,827 | 0 | 0 | |
DXC TECHNOLOGY CO | COM | 23355L106 | 30,368 | 395,831 | SH | DFND | 02, 03 | 395,831 | 0 | 0 | |
DXC TECHNOLOGY CO | COM | 23355L106 | 11,721 | 152,777 | SH | DFND | 3 | 0 | 152,777 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 842 | 87,286 | SH | DFND | 01, 03 | 87,286 | 0 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 2,272 | 235,460 | SH | DFND | 02, 03 | 235,460 | 0 | 0 | |
EATON CORP PLC | SHS | G29183103 | 3,786 | 48,642 | SH | DFND | 01, 03 | 48,642 | 0 | 0 | |
EATON CORP PLC | SHS | G29183103 | 21,940 | 281,891 | SH | DFND | 02, 03 | 281,891 | 0 | 0 | |
EATON CORP PLC | SHS | G29183103 | 13,017 | 167,250 | SH | DFND | 3 | 0 | 167,250 | 0 | |
ECHOSTAR CORP | CL A | 278768106 | 9,212 | 151,767 | SH | DFND | 01, 03 | 151,767 | 0 | 0 | |
ECHOSTAR CORP | CL A | 278768106 | 50,961 | 839,549 | SH | DFND | 02, 03 | 839,549 | 0 | 0 | |
ECHOSTAR CORP | CL A | 278768106 | 26,470 | 436,077 | SH | DFND | 3 | 0 | 436,077 | 0 | |
GULF RESOURCES INC | COM PAR $0.0005 | 40251W309 | 797 | 501,078 | SH | DFND | 01, 03 | 501,078 | 0 | 0 | |
HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 4,517 | 367,257 | SH | DFND | 01, 03 | 367,257 | 0 | 0 | |
HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 9,397 | 764,007 | SH | DFND | 3 | 0 | 764,007 | 0 | |
HYATT HOTELS CORP | COM CL A | 448579102 | 18,621 | 331,272 | SH | DFND | 02, 03 | 331,272 | 0 | 0 | |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 2,703 | 202,296 | SH | DFND | 01, 03 | 202,296 | 0 | 0 | |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 15,850 | 1,186,361 | SH | DFND | 02, 03 | 1,186,361 | 0 | 0 | |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 6,095 | 456,188 | SH | DFND | 3 | 0 | 456,188 | 0 | |
IROBOT CORP | COM | 462726100 | 8,414 | 100,000 | SH | Put | DFND | 02, 03 | 100,000 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 102,872 | 730,000 | SH | Put | DFND | 02, 03 | 730,000 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 105,690 | 750,000 | SH | Put | DFND | 02, 03 | 750,000 | 0 | 0 |
JOINT CORP | COM | 47973J102 | 2,232 | 587,490 | SH | DFND | 01, 03 | 587,490 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 5,064 | 1,332,716 | SH | DFND | 02, 03 | 1,332,716 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 1,121 | 295,091 | SH | DFND | 3 | 0 | 295,091 | 0 | |
KATE SPADE & CO | COM | 485865109 | 1,561 | 84,400 | SH | Call | DFND | 01, 03 | 84,400 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 10,025 | 542,200 | SH | Call | DFND | 02, 03 | 542,200 | 0 | 0 |
KROGER CO | COM | 501044101 | 3,140 | 134,659 | SH | DFND | 01, 03 | 134,659 | 0 | 0 | |
KROGER CO | COM | 501044101 | 18,459 | 791,548 | SH | DFND | 02, 03 | 791,548 | 0 | 0 | |
KROGER CO | COM | 501044101 | 7,111 | 304,921 | SH | DFND | 3 | 0 | 304,921 | 0 | |
L3 TECHNOLOGIES INC | COM | 502413107 | 6,338 | 37,931 | SH | DFND | 3 | 0 | 37,931 | 0 | |
LA QUINTA HLDGS INC | COM | 50420D108 | 3,402 | 230,328 | SH | DFND | 01, 03 | 230,328 | 0 | 0 | |
LA QUINTA HLDGS INC | COM | 50420D108 | 19,654 | 1,330,698 | SH | DFND | 02, 03 | 1,330,698 | 0 | 0 | |
LA QUINTA HLDGS INC | COM | 50420D108 | 10,200 | 690,606 | SH | DFND | 3 | 0 | 690,606 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 5,613 | 418,584 | SH | DFND | 01, 03 | 418,584 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 22,313 | 1,663,926 | SH | DFND | 02, 03 | 1,663,926 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 12,189 | 908,982 | SH | DFND | 3 | 0 | 908,982 | 0 | |
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 3,395 | 105,709 | SH | DFND | 01, 03 | 105,709 | 0 | 0 | |
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 19,881 | 618,960 | SH | DFND | 02, 03 | 618,960 | 0 | 0 | |
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 11,320 | 352,428 | SH | DFND | 3 | 0 | 352,428 | 0 | |
LOWES COS INC | COM | 548661107 | 887 | 11,435 | SH | DFND | 3 | 0 | 11,435 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 2,345 | 74,949 | SH | DFND | 01, 03 | 74,949 | 0 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 13,569 | 433,643 | SH | DFND | 02, 03 | 433,643 | 0 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 2,060 | 65,842 | SH | DFND | 3 | 0 | 65,842 | 0 | |
MICROSTRATEGY INC | CL A NEW | 594972408 | 7,269 | 37,922 | SH | DFND | 01, 03 | 37,922 | 0 | 0 | |
MICROSTRATEGY INC | CL A NEW | 594972408 | 38,553 | 201,142 | SH | DFND | 02, 03 | 201,142 | 0 | 0 | |
MICROSTRATEGY INC | CL A NEW | 594972408 | 17,458 | 91,086 | SH | DFND | 3 | 0 | 91,086 | 0 | |
OFFICE DEPOT INC | COM | 676220106 | 1,947 | 345,229 | SH | DFND | 01, 03 | 345,229 | 0 | 0 | |
OFFICE DEPOT INC | COM | 676220106 | 9,359 | 1,659,331 | SH | DFND | 02, 03 | 1,659,331 | 0 | 0 | |
OFFICE DEPOT INC | COM | 676220106 | 3,563 | 631,811 | SH | DFND | 3 | 0 | 631,811 | 0 | |
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 101,854 | 740,000 | SH | Put | DFND | 02, 03 | 740,000 | 0 | 0 |
PRA GROUP INC | COM | 69354N106 | 2,816 | 74,300 | SH | Call | DFND | 01, 03 | 74,300 | 0 | 0 |
PRA GROUP INC | COM | 69354N106 | 18,086 | 477,200 | SH | Call | DFND | 02, 03 | 477,200 | 0 | 0 |
SEALED AIR CORP NEW | COM | 81211K100 | 5,881 | 131,381 | SH | DFND | 3 | 0 | 131,381 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 2,078 | 63,166 | SH | DFND | 01, 03 | 63,166 | 0 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 21,268 | 646,451 | SH | DFND | 02, 03 | 646,451 | 0 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 13,531 | 411,278 | SH | DFND | 3 | 0 | 411,278 | 0 | |
SMART & FINAL STORES INC | COM | 83190B101 | 3,992 | 438,733 | SH | DFND | 01, 03 | 438,733 | 0 | 0 | |
SMART & FINAL STORES INC | COM | 83190B101 | 16,794 | 1,845,518 | SH | DFND | 02, 03 | 1,845,518 | 0 | 0 | |
SMART & FINAL STORES INC | COM | 83190B101 | 6,918 | 760,270 | SH | DFND | 3 | 0 | 760,270 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 59,966 | 248,000 | SH | Put | DFND | 02, 03 | 248,000 | 0 | 0 |
STARWOOD PPTY TR INC | COM | 85571B105 | 9,285 | 414,711 | SH | DFND | 01, 03 | 414,711 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 35,506 | 1,585,787 | SH | DFND | 02, 03 | 1,585,787 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 13,716 | 612,586 | SH | DFND | 3 | 0 | 612,586 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 1,194 | 61,744 | SH | DFND | 01, 03 | 61,744 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 6,813 | 352,254 | SH | DFND | 02, 03 | 352,254 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 7,081 | 366,119 | SH | DFND | 3 | 0 | 366,119 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 3,048 | 157,600 | SH | Call | DFND | 01, 03 | 157,600 | 0 | 0 |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 19,588 | 1,012,800 | SH | Call | DFND | 02, 03 | 1,012,800 | 0 | 0 |
TERRAVIA HLDGS INC | NOTE 5.000%10/0 | 83415TAC5 | 640 | 1,790,887 | PRN | DFND | 01, 03 | 1,790,887 | 0 | 0 | |
TERRAVIA HLDGS INC | NOTE 5.000%10/0 | 83415TAC5 | 2,122 | 5,936,443 | PRN | DFND | 02, 03 | 5,936,443 | 0 | 0 | |
TERRAVIA HLDGS INC | NOTE 5.000%10/0 | 83415TAC5 | 633 | 1,771,270 | PRN | DFND | 3 | 0 | 1,771,270 | 0 | |
TERRAVIA HLDGS INC | COM | 88105A106 | 196 | 840,041 | SH | DFND | 01, 03 | 840,041 | 0 | 0 | |
TERRAVIA HLDGS INC | COM | 88105A106 | 575 | 2,462,908 | SH | DFND | 02, 03 | 2,462,908 | 0 | 0 | |
TERRAVIA HLDGS INC | COM | 88105A106 | 222 | 948,832 | SH | DFND | 3 | 0 | 948,832 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 2,832 | 268,927 | SH | DFND | 01, 03 | 268,927 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 16,797 | 1,595,146 | SH | DFND | 02, 03 | 1,595,146 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 6,116 | 580,853 | SH | DFND | 3 | 0 | 580,853 | 0 | |
ZAYO GROUP HLDGS INC | COM | 98919V105 | 5,497 | 177,893 | SH | DFND | 01, 03 | 177,893 | 0 | 0 | |
ZAYO GROUP HLDGS INC | COM | 98919V105 | 32,353 | 1,047,021 | SH | DFND | 02, 03 | 1,047,021 | 0 | 0 | |
ZAYO GROUP HLDGS INC | COM | 98919V105 | 16,024 | 518,585 | SH | DFND | 3 | 0 | 518,585 | 0 |