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 |
ADAM NAT RES FD INC | COM | 00548F105 | 833 | 49,700 | SH | Call | DFND | 49,700 | 0 | 0 | |
ADAM NAT RES FD INC | COM | 00548F105 | 848 | 50,573 | SH | DFND | 50,573 | 0 | 0 | ||
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 476 | 15,000 | SH | Put | DFND | 15,000 | 0 | 0 | |
ANGLOGOLD ASHANTI LTD | SPONSORED ADR | 035128206 | 1,077 | 82,200 | SH | Call | DFND | 82,200 | 0 | 0 | |
ASA GOLD AND PRECIOUS MTLS L | SHS | G3156P103 | 1,626 | 158,672 | SH | DFND | 158,672 | 0 | 0 | ||
AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 399 | 2,500 | SH | Put | DFND | 2,500 | 0 | 0 | |
BARRICK GOLD CORPORATION | COM | 067901108 | 1,396 | 101,800 | SH | Call | DFND | 101,800 | 0 | 0 | |
BLINK CHARGING CO | *W EXP 01/31/202 | 09354A118 | 84 | 68,849 | SH | DFND | 68,849 | 0 | 0 | ||
BLINK CHARGING CO | COM | 09354A100 | 166 | 53,100 | SH | Put | DFND | 53,100 | 0 | 0 | |
BLINK CHARGING CO | COM | 09354A100 | 44 | 14,000 | SH | DFND | 14,000 | 0 | 0 | ||
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 468 | 9,800 | SH | DFND | 9,800 | 0 | 0 | ||
CAESARS ENTMT CORP | COM | 127686103 | 279 | 32,100 | SH | Call | DFND | 32,100 | 0 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 0 | 82 | PRN | DFND | 82 | 0 | 0 | ||
CARNIVAL PLC | ADR | 14365C103 | 533 | 10,710 | SH | DFND | 10,710 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | COM | 165167107 | 69 | 22,330 | SH | DFND | 22,330 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 2,075 | 2,233,000 | PRN | DFND | 2,233,000 | 0 | 0 | ||
CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 852 | 1,200 | SH | Put | DFND | 1,200 | 0 | 0 | |
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 667 | 489,000 | PRN | DFND | 489,000 | 0 | 0 | ||
COCA COLA CO | COM | 191216100 | 245 | 5,218 | SH | DFND | 5,218 | 0 | 0 | ||
CONSTELLIUM NV | CL A | N22035104 | 410 | 51,335 | SH | DFND | 51,335 | 0 | 0 | ||
CRESCENT ACQUISITION CORP | UNIT 99/99/9999 | 22564L204 | 1,000 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
CROWN HOLDINGS INC | COM | 228368106 | 1,636 | 29,980 | SH | DFND | 29,980 | 0 | 0 | ||
DEL TACO RESTAURANTS INC | *W EXP 06/30/202 | 245496112 | 154 | 117,341 | SH | DFND | 117,341 | 0 | 0 | ||
DELTA AIR LINES INC DEL | COM NEW | 247361702 | 762 | 14,750 | SH | DFND | 14,750 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 984 | 8,864 | SH | DFND | 8,864 | 0 | 0 | ||
DOMINION ENERGY INC | COM | 25746U109 | 3,365 | 43,900 | SH | Call | DFND | 43,900 | 0 | 0 | |
ELECTRAMECCANICA VEHS CORP | *W EXP 08/03/202 | 284849114 | 39 | 36,174 | SH | DFND | 36,174 | 0 | 0 | ||
EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 30063PAB1 | 2,050 | 2,000,000 | PRN | DFND | 2,000,000 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 136 | 164,332 | SH | DFND | 164,332 | 0 | 0 | ||
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 354 | 26,700 | SH | Call | DFND | 26,700 | 0 | 0 | |
FOX CORP | CL B COM | 35137L204 | 616 | 17,166 | SH | DFND | 17,166 | 0 | 0 | ||
FREEPORT-MCMORAN INC | CL B | 35671D857 | 387 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
GTY TECHNOLOGY HOLDINGS INC | *W EXP 02/19/202 | 362409112 | 94 | 156,126 | SH | DFND | 156,126 | 0 | 0 | ||
HERBALIFE LTD | NOTE 2.625% 3/1 | 42703MAD5 | 2,284 | 2,157,000 | PRN | DFND | 2,157,000 | 0 | 0 | ||
HIGHLAND FLOATNG RATE OPPRT | SHS BEN INT | 43010E404 | 7,436 | 535,374 | SH | DFND | 535,374 | 0 | 0 | ||
HILTON GRAND VACATIONS INC | COM | 43283X105 | 603 | 19,530 | SH | DFND | 19,530 | 0 | 0 | ||
HILTON WORLDWIDE HLDGS INC | COM | 43300A203 | 557 | 6,700 | SH | Put | DFND | 6,700 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 247 | 1,288 | SH | DFND | 1,288 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 567 | 435,940 | SH | DFND | 435,940 | 0 | 0 | ||
INTERNATIONAL GAME TECHNOLOG | SHS USD | G4863A108 | 1,787 | 137,580 | SH | DFND | 137,580 | 0 | 0 | ||
INTL PAPER CO | COM | 460146103 | 463 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
INVESCO CURRENCYSHARES EURO | EURO SHS | 46138K103 | 8,786 | 82,100 | SH | Call | DFND | 82,100 | 0 | 0 | |
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 386 | 35,530 | SH | DFND | 35,530 | 0 | 0 | ||
INVESCO EXCHNG TRADED FD TR | SR LN ETF | 46138G508 | 2,264 | 100,000 | SH | Put | DFND | 100,000 | 0 | 0 | |
INVESCO EXCHNG TRADED FD TR | SR LN ETF | 46138G508 | 77 | 3,401 | SH | DFND | 3,401 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 528 | 125,615 | SH | DFND | 125,615 | 0 | 0 | ||
IQIYI INC | SPONSORED ADS | 46267X108 | 1,332 | 55,700 | SH | Put | DFND | 55,700 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 708 | 16,000 | SH | Call | DFND | 16,000 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 6,375 | 144,000 | SH | Put | DFND | 144,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 1,556 | 18,000 | SH | Call | DFND | 18,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 218,518 | 2,527,100 | SH | Put | DFND | 2,527,100 | 0 | 0 | |
ISHARES TR | JPMORGAN USD EMG | 464288281 | 44,024 | 400,000 | SH | Put | DFND | 400,000 | 0 | 0 | |
ISHARES TR | JPMORGAN USD EMG | 464288281 | 93,390 | 848,533 | SH | DFND | 848,533 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 6,421 | 41,945 | SH | DFND | 41,945 | 0 | 0 | ||
J2 GLOBAL INC | NOTE 3.250% 6/1 | 48123VAC6 | 2,384 | 1,779,000 | PRN | DFND | 1,779,000 | 0 | 0 | ||
JAZZ INVESTMENTS I LTD | NOTE 1.500% 8/1 | 472145AD3 | 685 | 700,000 | PRN | DFND | 700,000 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 635 | 5,800 | SH | Put | DFND | 5,800 | 0 | 0 | |
MAGNOLIA OIL & GAS CORP | *W EXP 07/31/202 | 559663117 | 2,010 | 592,926 | SH | DFND | 592,926 | 0 | 0 | ||
MARRIOTT VACTINS WORLDWID CO | COM | 57164Y107 | 1,689 | 18,060 | SH | DFND | 18,060 | 0 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 380 | 100,117 | SH | DFND | 100,117 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 418 | 3,540 | SH | DFND | 3,540 | 0 | 0 | ||
NIO INC | SPON ADS | 62914V106 | 907 | 177,800 | SH | Put | DFND | 177,800 | 0 | 0 | |
NIO INC | SPON ADS | 62914V106 | 496 | 97,345 | SH | DFND | 97,345 | 0 | 0 | ||
NRC GROUP HLDGS CORP | *W EXP 10/17/202 | 629375114 | 95 | 105,017 | SH | DFND | 105,017 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 394 | 50,930 | SH | DFND | 50,930 | 0 | 0 | ||
ONESPAWORLD HOLDINGS LIMITED | COM | P73684113 | 1,106 | 81,000 | SH | DFND | 81,000 | 0 | 0 | ||
OUTLOOK THERAPEUTICS INC | *W EXP 02/18/202 | 69012T115 | 6 | 17,826 | SH | DFND | 17,826 | 0 | 0 | ||
PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 71654V408 | 243 | 15,252 | SH | DFND | 15,252 | 0 | 0 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 1,773 | 125,021 | SH | DFND | 125,021 | 0 | 0 | ||
REALPAGE INC | COM | 75606N109 | 937 | 15,445 | SH | DFND | 15,445 | 0 | 0 | ||
REALPAGE INC | NOTE 1.500%11/1 | 75606NAB5 | 3,533 | 2,291,000 | PRN | DFND | 2,291,000 | 0 | 0 | ||
RESTAURANT BRANDS INTL INC | COM | 76131D103 | 788 | 12,100 | SH | Put | DFND | 12,100 | 0 | 0 | |
ROYAL GOLD INC | COM | 780287108 | 1,318 | 14,500 | SH | Call | DFND | 14,500 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 1,111 | 25,500 | SH | Call | DFND | 25,500 | 0 | 0 | |
SERVICENOW INC | NOTE 6/0 | 81762PAC6 | 3,316 | 1,790,000 | PRN | DFND | 1,790,000 | 0 | 0 | ||
SHAKE SHACK INC | CL A | 819047101 | 1,420 | 24,000 | SH | Put | DFND | 24,000 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 6,184 | 50,685 | SH | DFND | 50,685 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 152,539 | 540,000 | SH | Call | DFND | 540,000 | 0 | 0 | |
STARBUCKS CORP | COM | 855244109 | 543 | 7,300 | SH | Put | DFND | 7,300 | 0 | 0 | |
TOTAL S A | SPONSORED ADS | 89151E109 | 3,133 | 56,300 | SH | Call | DFND | 56,300 | 0 | 0 | |
UBS AG LONDON BRH | ETRACS MTH 2XLV | 90270L842 | 1,776 | 125,512 | SH | DFND | 125,512 | 0 | 0 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 451 | 3,500 | SH | Put | DFND | 3,500 | 0 | 0 | |
US FOODS HLDG CORP | COM | 912008109 | 1,172 | 33,585 | SH | DFND | 33,585 | 0 | 0 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 4,955 | 221,000 | SH | Call | DFND | 221,000 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 4,484 | 200,000 | SH | Put | DFND | 200,000 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 1,924 | 85,837 | SH | DFND | 85,837 | 0 | 0 | ||
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 1,076 | 33,897 | SH | DFND | 33,897 | 0 | 0 | ||
VIAVI SOLUTIONS INC | NOTE 1.000% 3/0 | 925550AB1 | 2,003 | 1,778,000 | PRN | DFND | 1,778,000 | 0 | 0 | ||
VIRTUS INVT PARTNERS INC | PFD CV SER D | 92828Q208 | 490 | 5,500 | SH | DFND | 5,500 | 0 | 0 | ||
VOYA INFRASTRUCTURE INDLS & | COM | 92912X101 | 252 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 775 | 162,034 | SH | DFND | 162,034 | 0 | 0 | ||
WILLSCOT CORP | COM | 971375126 | 1,478 | 133,280 | SH | DFND | 133,280 | 0 | 0 | ||
WORKDAY INC | NOTE 0.250%10/0 | 98138HAF8 | 2,516 | 1,777,000 | PRN | DFND | 1,777,000 | 0 | 0 | ||
XPO LOGISTICS INC | COM | 983793100 | 498 | 9,270 | SH | DFND | 9,270 | 0 | 0 | ||
ZAYO GROUP HLDGS INC | COM | 98919V105 | 1,597 | 56,200 | SH | DFND | 56,200 | 0 | 0 | ||
ZIONS BANCORPORATION N A | *W EXP 05/21/202 | 989701115 | 2,019 | 155,449 | SH | DFND | 155,449 | 0 | 0 | ||
ZIONS BANCORPORATION N A | COM | 989701107 | 2,952 | 65,000 | SH | Call | DFND | 65,000 | 0 | 0 | |
ZIONS BANCORPORATION N A | COM | 989701107 | 268 | 5,896 | SH | DFND | 5,896 | 0 | 0 |