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 |
ACCELERON PHARMA INC | COM | 00434H108 | 28,989 | 761,661 | SH | DFND | 761,661 | 0 | 0 | ||
AGENUS INC | COM NEW | 00847G705 | 18,791 | 3,662,932 | SH | DFND | 3,662,932 | 0 | 0 | ||
ALTISOURCE PORTFOLIO SOLNS S | REG SHS | L0175J104 | 7,928 | 616,031 | SH | DFND | 616,031 | 0 | 0 | ||
ALTISOURCE RESIDENTIAL CORP | CL B | 02153W100 | 4,172 | 200,000 | SH | Put | DFND | 200,000 | 0 | 0 | |
ALTISOURCE RESIDENTIAL CORP | CL B | 02153W100 | 6,038 | 289,455 | SH | DFND | 289,455 | 0 | 0 | ||
ANACOR PHARMACEUTICALS INC | COM | 032420101 | 16,452 | 284,383 | SH | DFND | 284,383 | 0 | 0 | ||
ARMSTRONG WORLD INDS INC NEW | COM | 04247X102 | 3,782 | 65,800 | SH | DFND | 65,800 | 0 | 0 | ||
ARRAY BIOPHARMA INC | NOTE 3.000% 6/0 | 04269XAA3 | 11,406 | 9,000,000 | PRN | DFND | 9,000,000 | 0 | 0 | ||
ARROWHEAD RESH CORP | COM NEW | 042797209 | 14,158 | 2,101,510 | SH | DFND | 2,101,510 | 0 | 0 | ||
ASSEMBLY BIOSCIENCES INC | COM | 045396108 | 7,083 | 535,000 | SH | DFND | 535,000 | 0 | 0 | ||
AVALANCHE BIOTECHNOLOGIES IN | COM | 05337G107 | 3,694 | 91,154 | SH | DFND | 91,154 | 0 | 0 | ||
BIOCRYST PHARMACEUTICALS | COM | 09058V103 | 11,824 | 1,309,382 | SH | DFND | 1,309,382 | 0 | 0 | ||
BLUEBIRD BIO INC | COM | 09609G100 | 14,232 | 117,844 | SH | DFND | 117,844 | 0 | 0 | ||
BRF SA | SPONSORED ADR | 10552T107 | 13,225 | 668,626 | SH | DFND | 668,626 | 0 | 0 | ||
CANADIAN SOLAR INC | COM | 136635109 | 16,695 | 500,000 | SH | Put | DFND | 500,000 | 0 | 0 | |
CAPITAL ONE FINL CORP | COM | 14040H105 | 21,425 | 271,824 | SH | DFND | 271,824 | 0 | 0 | ||
CHINA ZENIX AUTO INTL LTD | ADS | 16951E104 | 5,624 | 6,074,805 | SH | DFND | 6,074,805 | 0 | 0 | ||
CITIZENS FINL GROUP INC | COM | 174610105 | 14,961 | 620,000 | SH | DFND | 620,000 | 0 | 0 | ||
CONCERT PHARMACEUTICALS INC | COM | 206022105 | 3,938 | 259,999 | SH | DFND | 259,999 | 0 | 0 | ||
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 21,815 | 372,146 | SH | DFND | 372,146 | 0 | 0 | ||
CTRIP COM INTL LTD | NOTE 1.250%10/1 | 22943FAD2 | 15,780 | 15,000,000 | PRN | DFND | 15,000,000 | 0 | 0 | ||
CYTRX CORP | COM PAR $.001 | 232828509 | 17,777 | 5,275,188 | SH | DFND | 5,275,188 | 0 | 0 | ||
DHT HOLDINGS INC | DEBT 4.500%10/0 | 23335SAB2 | 18,233 | 17,000,000 | PRN | DFND | 17,000,000 | 0 | 0 | ||
DYAX CORP | COM | 26746E103 | 10,017 | 597,866 | SH | DFND | 597,866 | 0 | 0 | ||
EBAY INC | COM | 278642103 | 46,366 | 803,852 | SH | DFND | 803,852 | 0 | 0 | ||
EBAY INC | COM | 278642103 | 3,576 | 62,000 | SH | Call | DFND | 62,000 | 0 | 0 | |
ELECTRONIC ARTS INC | NOTE 0.750% 7/1 | 285512AA7 | 4,639 | 2,500,000 | PRN | DFND | 2,500,000 | 0 | 0 | ||
ELONG INC | SPONSORED ADR | 290138205 | 7,500 | 523,300 | SH | DFND | 523,300 | 0 | 0 | ||
ENDO HEALTH SOLUTIONS INC | NOTE 1.750% 4/1 | 29264FAB2 | 30,644 | 10,000,000 | PRN | DFND | 10,000,000 | 0 | 0 | ||
EPIZYME INC | COM | 29428V104 | 15,606 | 831,000 | SH | DFND | 831,000 | 0 | 0 | ||
EURONAV NV ANTWERPEN | SHS TEMP | B38564124 | 7,313 | 606,349 | SH | DFND | 606,349 | 0 | 0 | ||
FIRST SOLAR INC | COM | 336433107 | 5,979 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 9,288 | 406,457 | SH | DFND | 406,457 | 0 | 0 | ||
GREEN DOT CORP | CL A | 39304D102 | 14,885 | 934,997 | SH | DFND | 934,997 | 0 | 0 | ||
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 12,157 | 851,305 | SH | DFND | 851,305 | 0 | 0 | ||
HOME LN SERVICING SOLUTIONS | ORD SHS | G6648D109 | 5,278 | 319,100 | SH | Put | DFND | 319,100 | 0 | 0 | |
HOME LN SERVICING SOLUTIONS | ORD SHS | G6648D109 | 7,569 | 457,638 | SH | DFND | 457,638 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 3,671 | 117,400 | SH | DFND | 117,400 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 1,199 | 4,251 | SH | DFND | 4,251 | 0 | 0 | ||
ISHARES | US HOME CONS ETF | 464288752 | 12,907 | 457,214 | SH | DFND | 457,214 | 0 | 0 | ||
JD COM INC | SPON ADR CL A | 47215P106 | 30,823 | 1,049,100 | SH | DFND | 1,049,100 | 0 | 0 | ||
LION BIOTECHNOLOGIES INC | COM | 53619R102 | 16,046 | 1,325,000 | SH | DFND | 1,325,000 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 7,725 | 103,850 | SH | DFND | 103,850 | 0 | 0 | ||
LUMBER LIQUIDATORS HLDGS INC | COM | 55003T107 | 17,479 | 567,882 | SH | DFND | 567,882 | 0 | 0 | ||
LUMBER LIQUIDATORS HLDGS INC | COM | 55003T107 | 64,798 | 2,105,200 | SH | Put | DFND | 2,105,200 | 0 | 0 | |
MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 31,950 | 1,454,913 | SH | DFND | 1,454,913 | 0 | 0 | ||
MEDIVATION INC | COM | 58501N101 | 4,868 | 37,714 | SH | DFND | 37,714 | 0 | 0 | ||
MGIC INVT CORP WIS | COM | 552848103 | 11,804 | 1,225,716 | SH | DFND | 1,225,716 | 0 | 0 | ||
MGM RESORTS INTERNATIONAL | COM | 552953101 | 14,418 | 685,600 | SH | DFND | 685,600 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | SDCV 2.125%12/1 | 595017AB0 | 27,995 | 14,264,000 | PRN | DFND | 14,264,000 | 0 | 0 | ||
MIRATI THERAPEUTICS INC | COM | 60468T105 | 13,384 | 456,466 | SH | DFND | 456,466 | 0 | 0 | ||
MOL GLOBAL INC | SPONSORED ADR | 60845Q105 | 3,868 | 1,689,290 | SH | DFND | 1,689,290 | 0 | 0 | ||
NAVIGATOR HOLDINGS LTD | SHS | Y62132108 | 23,117 | 1,210,300 | SH | DFND | 1,210,300 | 0 | 0 | ||
NORTHSTAR ASSET MGMT GROUP I | COM | 66705Y104 | 5,778 | 247,572 | SH | DFND | 247,572 | 0 | 0 | ||
NORTHSTAR RLTY FIN CORP | COM NEW | 66704R704 | 18,337 | 1,012,000 | SH | DFND | 1,012,000 | 0 | 0 | ||
NOVELLUS SYS INC | NOTE 2.625% 5/1 | 670008AD3 | 69,518 | 33,742,000 | PRN | DFND | 33,742,000 | 0 | 0 | ||
OCERA THERAPEUTICS INC | COM | 67552A108 | 2,779 | 590,127 | SH | DFND | 590,127 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 15,088 | 1,828,800 | SH | Put | DFND | 1,828,800 | 0 | 0 | |
OCWEN FINL CORP | COM NEW | 675746309 | 25,707 | 3,115,983 | SH | DFND | 3,115,983 | 0 | 0 | ||
ONCOTHYREON INC | COM | 682324108 | 7,044 | 4,321,764 | SH | DFND | 4,321,764 | 0 | 0 | ||
PACIFIC DATAVISION INC | COM | 694171307 | 32,559 | 754,916 | SH | DFND | 754,916 | 0 | 0 | ||
PALATIN TECHNOLOGIES INC | COM PAR $ .01 | 696077403 | 3,157 | 3,495,336 | SH | DFND | 3,495,336 | 0 | 0 | ||
REALOGY HLDGS CORP | COM | 75605Y106 | 19,749 | 434,240 | SH | DFND | 434,240 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 7,403 | 308,989 | SH | DFND | 308,989 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 11,650 | 150,174 | SH | DFND | 150,174 | 0 | 0 | ||
SOLARCITY CORP | COM | 83416T100 | 17,354 | 338,416 | SH | DFND | 338,416 | 0 | 0 | ||
SOLARCITY CORP | COM | 83416T100 | 31,076 | 606,000 | SH | Put | DFND | 606,000 | 0 | 0 | |
SPARK THERAPEUTICS INC | COM | 84652J103 | 581 | 7,500 | SH | DFND | 7,500 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 293,150 | 1,300,000 | SH | Put | DFND | 1,300,000 | 0 | 0 | |
TEKMIRA PHARMACEUTICALS CORP | COM NEW | 87911B209 | 279,596 | 16,013,540 | SH | DFND | 0 | 16,013,540 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 27,086 | 547,085 | SH | DFND | 547,085 | 0 | 0 | ||
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 5,001 | 368,330 | SH | DFND | 368,330 | 0 | 0 | ||
TRINA SOLAR LIMITED | SPON ADR | 89628E104 | 1,264 | 104,519 | SH | DFND | 104,519 | 0 | 0 | ||
UNITED THERAPEUTICS CORP DEL | NOTE 1.000% 9/1 | 91307CAF9 | 81,122 | 22,500,000 | PRN | DFND | 22,500,000 | 0 | 0 | ||
VIPSHOP HLDGS LTD | NOTE 1.500% 3/1 | 92763WAA1 | 10,928 | 7,000,000 | PRN | DFND | 7,000,000 | 0 | 0 | ||
WALTER ENERGY INC | COM | 93317Q105 | 31 | 49,300 | SH | DFND | 49,300 | 0 | 0 | ||
WESCO INTL INC | DBCV 6.000% 9/1 | 95082PAH8 | 46,979 | 19,000,000 | PRN | DFND | 19,000,000 | 0 | 0 | ||
WL ROSS HLDG CORP | COM SHS | 92939D104 | 10,000 | 1,000,000 | SH | DFND | 1,000,000 | 0 | 0 | ||
XENCOR INC | COM | 98401F105 | 8,272 | 539,960 | SH | DFND | 539,960 | 0 | 0 |