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 |
AGROFRESH SOLUTIONS | COM | 00856G109 | 907 | 145,600 | SH | Put | DFND | 145,600 | 0 | 0 | |
AGROFRESH SOLUTIONS | COM | 00856G109 | 907 | 145,600 | SH | DFND | 145,600 | 0 | 0 | ||
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 2,273 | 55,000 | SH | Put | DFND | 55,000 | 0 | 0 | |
AMERICAN AXLE & MFG HLDGS IN | COM | 024061103 | 436 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
ANADARKO PETE CORP | COM | 032511107 | 3,371 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 1,281 | 19,000 | SH | DFND | 19,000 | 0 | 0 | ||
APPLE INC | COM | 037833100 | 7,901 | 35,000 | SH | Put | DFND | 35,000 | 0 | 0 | |
APPLE INC | COM | 037833100 | 1,061 | 4,700 | SH | DFND | 4,700 | 0 | 0 | ||
ASA GOLD AND PRECIOUS MTLS L | SHS | G3156P103 | 722 | 81,451 | SH | DFND | 81,451 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 2,946 | 100,000 | SH | Call | DFND | 100,000 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 9,427 | 320,000 | SH | Put | DFND | 320,000 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 4,813 | 163,386 | SH | DFND | 163,386 | 0 | 0 | ||
BARCLAYS BK PLC | IPATH S&P MT ETN | 06740Q260 | 264 | 15,436 | SH | DFND | 15,436 | 0 | 0 | ||
BARRICK GOLD CORP | COM | 067901108 | 166 | 15,000 | SH | Call | DFND | 15,000 | 0 | 0 | |
BARRICK GOLD CORP | COM | 067901108 | 23 | 2,036 | SH | DFND | 2,036 | 0 | 0 | ||
BLINK CHARGING CO | *W EXP 01/31/202 | 09354A118 | 96 | 113,732 | SH | DFND | 113,732 | 0 | 0 | ||
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 5,587 | 90,000 | SH | Put | DFND | 90,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 608 | 9,800 | SH | DFND | 9,800 | 0 | 0 | ||
CARNIVAL PLC | ADR | 14365C103 | 945 | 14,982 | SH | DFND | 14,982 | 0 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 3,162 | 65,000 | SH | Call | DFND | 65,000 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 8,625 | 40,000 | SH | Call | DFND | 40,000 | 0 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 755 | 3,500 | SH | DFND | 3,500 | 0 | 0 | ||
CRAWFORD & CO | CL B | 224633107 | 385 | 41,772 | SH | DFND | 41,772 | 0 | 0 | ||
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 1,673 | 45,000 | SH | Call | DFND | 45,000 | 0 | 0 | |
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 1,673 | 45,000 | SH | Put | DFND | 45,000 | 0 | 0 | |
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 1,241 | 33,400 | SH | DFND | 33,400 | 0 | 0 | ||
DEL TACO RESTAURANTS INC | *W EXP 06/30/202 | 245496112 | 1,937 | 842,306 | SH | DFND | 842,306 | 0 | 0 | ||
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 2,432 | 25,044 | SH | DFND | 25,044 | 0 | 0 | ||
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 853 | 14,750 | SH | DFND | 14,750 | 0 | 0 | ||
DOMINION ENERGY INC | COM | 25746U109 | 3,879 | 55,200 | SH | Call | DFND | 55,200 | 0 | 0 | |
DOMINION ENERGY INC | UNIT 08/15/2019 | 25746U836 | 18,500 | 391,778 | SH | DFND | 391,778 | 0 | 0 | ||
ELECTRONIC ARTS INC | COM | 285512109 | 2,109 | 17,500 | SH | Call | DFND | 17,500 | 0 | 0 | |
ELECTRONIC ARTS INC | COM | 285512109 | 2,109 | 17,500 | SH | Put | DFND | 17,500 | 0 | 0 | |
ELECTRONIC ARTS INC | COM | 285512109 | 1,084 | 9,000 | SH | DFND | 9,000 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 7,184 | 84,500 | SH | Call | DFND | 84,500 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 3,826 | 45,000 | SH | Put | DFND | 45,000 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 4,112 | 25,000 | SH | Put | DFND | 25,000 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 4,605 | 28,000 | SH | DFND | 28,000 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 432 | 254,000 | SH | DFND | 254,000 | 0 | 0 | ||
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 350 | 37,843 | SH | DFND | 37,843 | 0 | 0 | ||
FORTIVE CORP | 5% PFD CNV SER A | 34959J207 | 9,359 | 8,740 | SH | DFND | 8,740 | 0 | 0 | ||
FREEPORT-MCMORAN INC | CL B | 35671D857 | 418 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
GDS HLDGS LTD | SPONSORED ADR | 36165L108 | 2,635 | 75,000 | SH | Put | DFND | 75,000 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 565 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
GENERAL MTRS CO | *W EXP 07/10/201 | 37045V126 | 811 | 49,159 | SH | DFND | 49,159 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 340 | 10,087 | SH | DFND | 10,087 | 0 | 0 | ||
HEICO CORP NEW | CL A | 422806208 | 426 | 5,645 | SH | DFND | 5,645 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 4,233 | 77,600 | SH | Put | DFND | 77,600 | 0 | 0 | |
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 12,024 | 779,778 | SH | DFND | 779,778 | 0 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 957 | 4,618 | SH | DFND | 4,618 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 709 | 669,479 | SH | DFND | 669,479 | 0 | 0 | ||
INTL PAPER CO | COM | 460146103 | 492 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
INVESCO CURRENCYSHARES EURO | EURO SHS | 46138K103 | 78,590 | 707,000 | SH | Call | DFND | 707,000 | 0 | 0 | |
INVESCO CURRENCYSHARES EURO | EURO SHS | 46138K103 | 45,665 | 410,800 | SH | Put | DFND | 410,800 | 0 | 0 | |
INVESCO CURRENCYSHARES EURO | EURO SHS | 46138K103 | 745 | 6,700 | SH | DFND | 6,700 | 0 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 734 | 63,963 | SH | DFND | 63,963 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 644 | 149,674 | SH | DFND | 149,674 | 0 | 0 | ||
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 3,710 | 110,000 | SH | Put | DFND | 110,000 | 0 | 0 | |
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 1,079 | 32,000 | SH | DFND | 32,000 | 0 | 0 | ||
ISHARES INC | MSCI STH AFR ETF | 464286780 | 373 | 6,946 | SH | DFND | 6,946 | 0 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 62,739 | 535,000 | SH | Call | DFND | 535,000 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 1,173 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 1,290 | 11,000 | SH | DFND | 11,000 | 0 | 0 | ||
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 685 | 16,000 | SH | Call | DFND | 16,000 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 31,858 | 744,000 | SH | Put | DFND | 744,000 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 7,676 | 179,272 | SH | DFND | 179,272 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 210,533 | 2,435,600 | SH | Put | DFND | 2,435,600 | 0 | 0 | |
ISHARES TR | JPMORGAN USD EMG | 464288281 | 10,781 | 100,000 | SH | Call | DFND | 100,000 | 0 | 0 | |
ISHARES TR | JPMORGAN USD EMG | 464288281 | 35,484 | 329,135 | SH | DFND | 329,135 | 0 | 0 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 3,400 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 50,993 | 750,000 | SH | Put | DFND | 750,000 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 1,904 | 28,000 | SH | DFND | 28,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 1,073 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 13,949 | 325,000 | SH | Put | DFND | 325,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 8,428 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
ISHARES TR | USA MOMENTUM FCT | 46432F396 | 1,075 | 9,030 | SH | DFND | 9,030 | 0 | 0 | ||
LIBERTY MEDIA CORP DELAWARE | COM C SIRIUSXM | 531229607 | 956 | 21,997 | SH | DFND | 21,997 | 0 | 0 | ||
LINDBLAD EXPEDITIONS HLDGS I | *W EXP 07/08/202 | 535219117 | 538 | 131,138 | SH | DFND | 131,138 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 6,290 | 55,000 | SH | Call | DFND | 55,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 9,150 | 80,000 | SH | Put | DFND | 80,000 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 10,865 | 95,000 | SH | DFND | 95,000 | 0 | 0 | ||
NEWELL BRANDS INC | COM | 651229106 | 974 | 48,000 | SH | Call | DFND | 48,000 | 0 | 0 | |
NEWMONT MINING CORP | COM | 651639106 | 227 | 7,500 | SH | Call | DFND | 7,500 | 0 | 0 | |
NEWMONT MINING CORP | COM | 651639106 | 91 | 3,012 | SH | DFND | 3,012 | 0 | 0 | ||
NEXEO SOLUTIONS INC | *W EXP 06/09/202 | 65342H110 | 629 | 620,084 | SH | DFND | 620,084 | 0 | 0 | ||
NIKE INC | CL B | 654106103 | 3,177 | 37,500 | SH | Call | DFND | 37,500 | 0 | 0 | |
NIKE INC | CL B | 654106103 | 1,694 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
NIKE INC | CL B | 654106103 | 1,059 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
NORFOLK SOUTHERN CORP | COM | 655844108 | 23,465 | 130,000 | SH | Call | DFND | 130,000 | 0 | 0 | |
NORFOLK SOUTHERN CORP | COM | 655844108 | 1,083 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 939 | 117,755 | SH | DFND | 117,755 | 0 | 0 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 4,505 | 20,000 | SH | Put | DFND | 20,000 | 0 | 0 | |
PGIM SHORT DURATION HIGH YIE | COM | 69346H100 | 972 | 68,749 | SH | DFND | 68,749 | 0 | 0 | ||
PROSHARES TR II | SHT VIX ST TRM | 74347W130 | 430 | 7,276 | SH | DFND | 7,276 | 0 | 0 | ||
RESTORATION HARDWARE HLDGS I | DBCV 7/1 | 761283AC4 | 1,082 | 875,000 | PRN | DFND | 875,000 | 0 | 0 | ||
ROSEHILL RES INC | *W EXP 09/16/202 | 777385113 | 125 | 109,000 | SH | DFND | 109,000 | 0 | 0 | ||
SCANA CORP NEW | COM | 80589M102 | 156 | 4,000 | SH | Put | DFND | 4,000 | 0 | 0 | |
SCANA CORP NEW | COM | 80589M102 | 156 | 4,000 | SH | DFND | 4,000 | 0 | 0 | ||
SCHLUMBERGER LTD | COM | 806857108 | 3,667 | 60,200 | SH | Call | DFND | 60,200 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 61 | 1,000 | SH | Put | DFND | 1,000 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 244 | 4,000 | SH | DFND | 4,000 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 1,079 | 20,000 | SH | Call | DFND | 20,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 3,775 | 70,000 | SH | Put | DFND | 70,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 2,171 | 40,250 | SH | DFND | 40,250 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 5,265 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 2,001 | 38,000 | SH | DFND | 38,000 | 0 | 0 | ||
SEMPRA ENERGY | 6% PFD CONV A | 816851406 | 7,138 | 70,789 | SH | DFND | 70,789 | 0 | 0 | ||
SEMPRA ENERGY | 6.75% CNV PFD B | 816851505 | 315 | 3,090 | SH | DFND | 3,090 | 0 | 0 | ||
SHIRE PLC | SPONSORED ADR | 82481R106 | 363 | 2,000 | SH | DFND | 2,000 | 0 | 0 | ||
SIMPLY GOOD FOODS CO | COM | 82900L102 | 1,120 | 57,570 | SH | DFND | 57,570 | 0 | 0 | ||
SIRIUS XM HLDGS INC | COM | 82968B103 | 1,813 | 286,800 | SH | Put | DFND | 286,800 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 7,217 | 64,000 | SH | Call | DFND | 64,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 216,586 | 745,000 | SH | Call | DFND | 745,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 36,921 | 127,000 | SH | Put | DFND | 127,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 2,951 | 10,149 | SH | DFND | 10,149 | 0 | 0 | ||
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 9,730 | 26,480 | SH | DFND | 26,480 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 2,397 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 5,752 | 60,000 | SH | Put | DFND | 60,000 | 0 | 0 | |
THIRD PT REINS LTD | COM | G8827U100 | 825 | 63,485 | SH | DFND | 63,485 | 0 | 0 | ||
TOLL BROTHERS INC | COM | 889478103 | 2,477 | 75,000 | SH | Put | DFND | 75,000 | 0 | 0 | |
TOLL BROTHERS INC | COM | 889478103 | 99 | 3,000 | SH | DFND | 3,000 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 826 | 21,504 | SH | DFND | 21,504 | 0 | 0 | ||
TURQUOISE HILL RES LTD | COM | 900435108 | 901 | 425,000 | SH | Put | DFND | 425,000 | 0 | 0 | |
TURQUOISE HILL RES LTD | COM | 900435108 | 636 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 3,754 | 202,700 | SH | Call | DFND | 202,700 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 5,556 | 300,000 | SH | Put | DFND | 300,000 | 0 | 0 | |
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 1,368 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 566 | 20,684 | SH | DFND | 20,684 | 0 | 0 | ||
VIRTUS INVT PARTNERS INC | PFD CV SER D | 92828Q208 | 3,457 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
VISTRA ENERGY CORP | COM | 92840M102 | 2,463 | 99,000 | SH | Call | DFND | 99,000 | 0 | 0 | |
VISTRA ENERGY CORP | COM | 92840M102 | 612 | 24,600 | SH | Put | DFND | 24,600 | 0 | 0 | |
VISTRA ENERGY CORP | UNIT 02/02/2024 | 92840M300 | 12,737 | 130,820 | SH | DFND | 130,820 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 1,067 | 214,177 | SH | DFND | 214,177 | 0 | 0 | ||
WEIBO CORP | SPONSORED ADR | 948596101 | 505 | 6,900 | SH | Call | DFND | 6,900 | 0 | 0 | |
ZIONS BANCORPORATION | *W EXP 05/22/202 | 989701115 | 9,897 | 552,914 | SH | DFND | 552,914 | 0 | 0 | ||
ZIONS BANCORPORATION | COM | 989701107 | 17,552 | 350,000 | SH | Call | DFND | 350,000 | 0 | 0 |