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 |
3M CO | COM | 88579Y101 | 12,480 | 65,500 | SH | Put | DFND | | 65,500 | 0 | 0 |
ACER THERAPEUTICS INC | COM | 00444P108 | 390 | 19,367 | SH | | DFND | | 19,367 | 0 | 0 |
ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | 1,590 | 1,000,000 | SH | | DFND | | 1,000,000 | 0 | 0 |
ADAMIS PHARMACEUTICALS CORP | COM NEW | 00547W208 | 1,913 | 850,000 | SH | | DFND | | 850,000 | 0 | 0 |
ADECOAGRO S A | COM | L00849106 | 2,436 | 350,000 | SH | | DFND | | 350,000 | 0 | 0 |
ADIENT PLC | ORD SHS | G0084W101 | 17,952 | 1,192,000 | SH | | DFND | | 1,192,000 | 0 | 0 |
ADMA BIOLOGICS INC | COM | 000899104 | 1,924 | 805,000 | SH | | DFND | | 805,000 | 0 | 0 |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 1,142 | 362,386 | SH | | DFND | | 362,386 | 0 | 0 |
ALDEYRA THERAPEUTICS INC | COM | 01438T106 | 11,568 | 1,393,700 | SH | | DFND | | 1,393,700 | 0 | 0 |
ALLEGRO MERGER CORP | *W EXP 01/06/202 | 01749N111 | 133 | 443,772 | SH | | DFND | | 443,772 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 23,769 | 326,000 | SH | | DFND | | 326,000 | 0 | 0 |
ALTRIA GROUP INC | COM | 02209S103 | 4,939 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
AMCI ACQUISITION CORP | UNIT 01/07/2019 | 00165R200 | 1,990 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
APPLIED GENETIC TECHNOL CORP | COM | 03820J100 | 498 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
ARDELYX INC | COM | 039697107 | 1,624 | 907,114 | SH | | DFND | | 907,114 | 0 | 0 |
ARYA SCIENCES ACQUISITION CO | SHS CL A | G3165V109 | 9,800 | 1,000,000 | SH | | DFND | | 1,000,000 | 0 | 0 |
ARYA SCIENCES ACQUISITION CO | *W EXP 10/10/202 | G3165V125 | 800 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
AT&T INC | COM | 00206R102 | 4,281 | 150,000 | SH | Put | DFND | | 150,000 | 0 | 0 |
AVEO PHARMACEUTICALS INC | COM | 053588109 | 3,000 | 1,875,000 | SH | | DFND | | 1,875,000 | 0 | 0 |
AZURRX BIOPHARMA INC | COM | 05502L105 | 842 | 695,504 | SH | | DFND | | 695,504 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 59 | 165,000 | SH | | DFND | | 165,000 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | *W EXP 12/01/202 | 089482111 | 32 | 82,500 | SH | | DFND | | 82,500 | 0 | 0 |
BISON CAP ACQUISITION CORP | RIGHT 03/20/2019 | G1142P138 | 28 | 100,000 | SH | | DFND | | 100,000 | 0 | 0 |
BISON CAP ACQUISITION CORP | *W EXP 06/20/202 | G1142P112 | 12 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
BLACK RIDGE ACQUISITION CORP | RIGHT 07/10/2019 | 09216T123 | 60 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
BLACK RIDGE ACQUISITION CORP | *W EXP 07/10/202 | 09216T115 | 224 | 700,000 | SH | | DFND | | 700,000 | 0 | 0 |
BLACKSTONE GROUP L P | COM UNIT LTD | 09253U108 | 5,068 | 170,000 | SH | | DFND | | 170,000 | 0 | 0 |
BRIGHTHOUSE FINL INC | COM | 10922N103 | 1,588 | 52,100 | SH | | DFND | | 52,100 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 18,595 | 246,000 | SH | | DFND | | 246,000 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 7,559 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 60,841 | 1,860,000 | SH | | DFND | | 1,860,000 | 0 | 0 |
CATERPILLAR INC DEL | COM | 149123101 | 9,530 | 75,000 | SH | Put | DFND | | 75,000 | 0 | 0 |
CHARDAN HEALTHCARE ACQUISITI | UNIT 12/13/2023 | 15957A207 | 1,511 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
CHASERG TECHNLGY ACQUISITN C | *W EXP 04/10/202 | 16166A111 | 55 | 75,000 | SH | | DFND | | 75,000 | 0 | 0 |
CHIMERIX INC | COM | 16934W106 | 771 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
CM SEVEN STAR ACQUISITION CO | RIGHT 08/21/2022 | G2345N136 | 70 | 175,000 | SH | | DFND | | 175,000 | 0 | 0 |
CM SEVEN STAR ACQUISITION CO | *W EXP 08/21/202 | G2345N110 | 22 | 75,000 | SH | | DFND | | 75,000 | 0 | 0 |
COCA COLA CO | COM | 191216100 | 28,410 | 600,000 | SH | Put | DFND | | 600,000 | 0 | 0 |
CONCRETE PUMPING HLDGS INC | *W EXP 08/01/202 | 206704116 | 963 | 1,234,606 | SH | | DFND | | 1,234,606 | 0 | 0 |
CONSTELLATION ALPHA CAP CORP | RIGHT 99/99/9999 | G2379F132 | 34 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
CONSTELLATION ALPHA CAP CORP | *W EXP 03/23/202 | G2379F116 | 50 | 380,000 | SH | | DFND | | 380,000 | 0 | 0 |
CONTRAFECT CORP | COM | 212326102 | 3,488 | 2,280,000 | SH | | DFND | | 2,280,000 | 0 | 0 |
CONTURA ENERGY INC | COM | 21241B100 | 4,380 | 66,625 | SH | | DFND | | 66,625 | 0 | 0 |
CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 10,570 | 870,000 | SH | | DFND | | 870,000 | 0 | 0 |
DESPEGAR COM CORP | ORD SHS | G27358103 | 4,344 | 350,000 | SH | | DFND | | 350,000 | 0 | 0 |
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 1,823 | 465,000 | SH | | DFND | | 465,000 | 0 | 0 |
DIANA SHIPPING INC | COM | Y2066G104 | 867 | 272,622 | SH | | DFND | | 272,622 | 0 | 0 |
DRAPER OAKWOOD TECHNOLOGY | *W EXP 09/19/202 | 26146L111 | 17 | 85,200 | SH | | DFND | | 85,200 | 0 | 0 |
EDTECHX HLDGS ACQUISITION CO | *W EXP 12/31/202 | 28138X111 | 44 | 125,000 | SH | | DFND | | 125,000 | 0 | 0 |
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 16,363 | 1,610,529 | SH | | DFND | | 1,610,529 | 0 | 0 |
ELEVATE CREDIT INC | COM | 28621V101 | 4,683 | 1,045,305 | SH | | DFND | | 1,045,305 | 0 | 0 |
ENERGY RECOVERY INC | COM | 29270J100 | 7,403 | 1,100,000 | SH | | DFND | | 1,100,000 | 0 | 0 |
ENOVA INTL INC | COM | 29357K103 | 11,481 | 590,000 | SH | | DFND | | 590,000 | 0 | 0 |
ESTRE AMBIENTAL INC | *W EXP 12/21/202 | G3206V118 | 60 | 750,000 | SH | | DFND | | 750,000 | 0 | 0 |
EVOKE PHARMA INC | COM | 30049G104 | 283 | 114,300 | SH | | DFND | | 114,300 | 0 | 0 |
EXACT SCIENCES CORP | COM | 30063P105 | 6,310 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
EXPEDIA GROUP INC | COM NEW | 30212P303 | 4,506 | 40,000 | SH | Put | DFND | | 40,000 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 6,555 | 50,000 | SH | Put | DFND | | 50,000 | 0 | 0 |
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 90 | 149,600 | SH | | DFND | | 149,600 | 0 | 0 |
FATE THERAPEUTICS INC | COM | 31189P102 | 5,196 | 405,000 | SH | | DFND | | 405,000 | 0 | 0 |
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 6,197 | 971,351 | SH | | DFND | | 971,351 | 0 | 0 |
FERRARI N V | COM | N3167Y103 | 159 | 1,600 | SH | | DFND | | 1,600 | 0 | 0 |
FERRARI N V | COM | N3167Y103 | 12,430 | 125,000 | SH | Call | DFND | | 125,000 | 0 | 0 |
FERRARI N V | COM | N3167Y103 | 33,810 | 340,000 | SH | Put | DFND | | 340,000 | 0 | 0 |
FORUM MERGER II CORP | *W EXP 09/30/202 | 34986F111 | 135 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 9,221 | 1,350,000 | SH | | DFND | | 1,350,000 | 0 | 0 |
GENCO SHIPPING & TRADING LTD | SHS | Y2685T131 | 933 | 1,189,200 | SH | | DFND | | 1,189,200 | 0 | 0 |
GIGCAPITAL INC | RIGHT 03/06/2020 | 37518N114 | 55 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
GIGCAPITAL INC | *W EXP 06/08/202 | 37518N122 | 38 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
GLOBALSTAR INC | COM | 378973408 | 10,306 | 16,110,778 | SH | | DFND | | 16,110,778 | 0 | 0 |
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 88 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
GRAF INDL CORP | *W EXP 12/31/202 | 384278115 | 90 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
GREENLAND ACQUISITIN CORPORA | RIGHT 04/27/2025 | G40981113 | 68 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
GREENLAND ACQUISITIN CORPORA | *W EXP 03/03/202 | G40981105 | 30 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
GREIF INC | CL B | 397624206 | 529 | 11,910 | SH | | DFND | | 11,910 | 0 | 0 |
GRUBHUB INC | COM | 400110102 | 7,681 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
GRUPO FINANCIERO GALICIA-ADR | SP ADR 10 SH B | 399909100 | 2,895 | 105,000 | SH | | DFND | | 105,000 | 0 | 0 |
HAYMAKER ACQUISITION CORP | *W EXP 10/27/202 | 420870115 | 312 | 380,000 | SH | | DFND | | 380,000 | 0 | 0 |
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 17,685 | 300,000 | SH | Put | DFND | | 300,000 | 0 | 0 |
HL ACQUISITIONS CORP | RIGHT 07/17/2023 | G4603R130 | 136 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
HL ACQUISITIONS CORP | *W EXP 06/21/202 | G4603R122 | 54 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 2,341 | 2,520,000 | SH | | DFND | | 2,520,000 | 0 | 0 |
IFRESH INC | COM | 449538107 | 26 | 30,000 | SH | | DFND | | 30,000 | 0 | 0 |
INSPIRED ENTMT INC | COM | 45782N108 | 3,849 | 801,824 | SH | | DFND | | 801,824 | 0 | 0 |
INTEC PHARMA LTD JERUSALEM | SHS | M53644106 | 1,131 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
INVESCO SR INCOME TR | COM | 46131H107 | 21,780 | 1,000,000 | SH | Put | DFND | | 1,000,000 | 0 | 0 |
IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 11,685 | 894,724 | SH | | DFND | | 894,724 | 0 | 0 |
IRSA PROPIEDADES COMERCIALES | SPONSORED ADR | 463588103 | 1,299 | 72,050 | SH | | DFND | | 72,050 | 0 | 0 |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 16,220 | 200,000 | SH | Put | DFND | | 200,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 83,883 | 650,000 | SH | Put | DFND | | 650,000 | 0 | 0 |
KADMON HLDGS INC | COM | 48283N106 | 697 | 334,900 | SH | | DFND | | 334,900 | 0 | 0 |
KELLOGG CO | COM | 487836108 | 21,379 | 375,000 | SH | Put | DFND | | 375,000 | 0 | 0 |
KROGER CO | COM | 501044101 | 8,388 | 305,000 | SH | | DFND | | 305,000 | 0 | 0 |
KROGER CO | COM | 501044101 | 11,000 | 400,000 | SH | Call | DFND | | 400,000 | 0 | 0 |
LEAP THERAPEUTICS INC | COM | 52187K101 | 300 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
LEGACY ACQUISITION CORP | *W EXP 11/30/202 | 524643111 | 166 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
LEISURE ACQUISITION CORP | *W EXP 12/05/201 | 52539T115 | 99 | 125,000 | SH | | DFND | | 125,000 | 0 | 0 |
LF CAP ACQUISITION CORP | *W EXP 06/22/202 | 50200K116 | 194 | 450,000 | SH | | DFND | | 450,000 | 0 | 0 |
M D C HLDGS INC | COM | 552676108 | 2,811 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
MACROGENICS INC | COM | 556099109 | 4,889 | 384,970 | SH | | DFND | | 384,970 | 0 | 0 |
MAGNOLIA OIL & GAS CORP | *W EXP 07/31/202 | 559663117 | 1,034 | 341,333 | SH | | DFND | | 341,333 | 0 | 0 |
MAIDEN HOLDINGS LTD | SHS | G5753U112 | 701 | 425,000 | SH | | DFND | | 425,000 | 0 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 3,875 | 1,350,000 | SH | | DFND | | 1,350,000 | 0 | 0 |
MARKER THERAPEUTICS INC | COM | 57055L107 | 8,103 | 1,460,000 | SH | | DFND | | 1,460,000 | 0 | 0 |
MEDICINES CO | COM | 584688105 | 3,201 | 167,252 | SH | | DFND | | 167,252 | 0 | 0 |
MEGALITH FINL ACQUISITION CO | CL A COM | 58518F109 | 1,940 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 160 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
MEIRAGTX HOLDINGS PLC | COM | G59665102 | 675 | 70,000 | SH | | DFND | | 70,000 | 0 | 0 |
MICRON TECHNOLOGY INC | COM | 595112103 | 11,423 | 360,000 | SH | | DFND | | 360,000 | 0 | 0 |
MIRAGEN THERAPEUTICS INC | COM | 60463E103 | 5,142 | 1,697,038 | SH | | DFND | | 1,697,038 | 0 | 0 |
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 250 | 1,000,000 | SH | | DFND | | 1,000,000 | 0 | 0 |
MODERN MEDIA ACQUISITION | *W EXP 05/17/202 | 60765P111 | 135 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 4,003 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
MTECH ACQUISITION CORP | *W EXP 08/01/202 | 55378W115 | 45 | 75,000 | SH | | DFND | | 75,000 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 18,772 | 1,900,000 | SH | | DFND | | 1,900,000 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | *W EXP 02/12/202 | 624745113 | 1,125 | 2,500,000 | SH | | DFND | | 2,500,000 | 0 | 0 |
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 870 | 725,000 | SH | | DFND | | 725,000 | 0 | 0 |
NATIONAL OILWELL VARCO INC | COM | 637071101 | 3,341 | 130,000 | SH | | DFND | | 130,000 | 0 | 0 |
NAVIOS MARITIME CONTAINERS L | COM UNIT RP LP | Y62151108 | 5,553 | 1,962,199 | SH | | DFND | | 1,962,199 | 0 | 0 |
NAVIOS MARITIME HOLDINGS INC | COM | Y62196103 | 82 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
NETFLIX INC | COM | 64110L106 | 53,532 | 200,000 | SH | Put | DFND | | 200,000 | 0 | 0 |
NEW FRONTIER CORP | *W EXP 99/99/999 | G6485P124 | 45 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
NEXEO SOLUTIONS INC | *W EXP 06/09/202 | 65342H110 | 420 | 1,050,000 | SH | | DFND | | 1,050,000 | 0 | 0 |
NII HLDGS INC | COM PAR | 62913F508 | 58,051 | 13,163,432 | SH | | DFND | | 13,163,432 | 0 | 0 |
NRC GROUP HLDGS CORP | *W EXP 10/17/202 | 629375114 | 435 | 537,500 | SH | | DFND | | 537,500 | 0 | 0 |
ON DECK CAP INC | COM | 682163100 | 17,995 | 3,050,000 | SH | | DFND | | 3,050,000 | 0 | 0 |
ONCONOVA THERAPEUTICS INC | COM PAR | 68232V405 | 2,040 | 966,877 | SH | | DFND | | 966,877 | 0 | 0 |
ONCOSEC MED INC | COM NEW | 68234L207 | 192 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
ONE MADISON CORP | *W EXP 99/99/999 | G6772P126 | 97 | 125,000 | SH | | DFND | | 125,000 | 0 | 0 |
OPES ACQUISITION CORP | *W EXP 03/13/202 | 68373P118 | 44 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
ORACLE CORP | COM | 68389X105 | 4,515 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
OTONOMY INC | COM | 68906L105 | 2,035 | 1,100,000 | SH | | DFND | | 1,100,000 | 0 | 0 |
PENSARE ACQUISITION CORP | RIGHT 99/99/9999 | 70957E121 | 175 | 605,000 | SH | | DFND | | 605,000 | 0 | 0 |
PENSARE ACQUISITION CORP | *W EXP 07/27/202 | 70957E113 | 23 | 115,000 | SH | | DFND | | 115,000 | 0 | 0 |
PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 68 | 9,000,000 | PRN | | DFND | | 9,000,000 | 0 | 0 |
PFIZER INC | COM | 717081103 | 13,095 | 300,000 | SH | Put | DFND | | 300,000 | 0 | 0 |
PG&E CORP | COM | 69331C108 | 15,796 | 665,101 | SH | | DFND | | 665,101 | 0 | 0 |
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 400 | 150,257 | SH | | DFND | | 150,257 | 0 | 0 |
POLARITYTE INC | COM | 731094108 | 9,185 | 680,900 | SH | | DFND | | 680,900 | 0 | 0 |
PROCTER AND GAMBLE CO | COM | 742718109 | 27,576 | 300,000 | SH | Put | DFND | | 300,000 | 0 | 0 |
REDHILL BIOPHARMA LTD | SPONSORED ADS | 757468103 | 20,501 | 3,693,840 | SH | | DFND | | 3,693,840 | 0 | 0 |
RUMBLEON INC | CL B | 781386206 | 1,413 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
SCHULTZE SPL PURP ACQUISITIO | UNIT 12/31/2023 | 80821R208 | 2,985 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 1,563 | 2,000,000 | PRN | | DFND | | 2,000,000 | 0 | 0 |
SCORPIO TANKERS INC | SHS | Y7542C106 | 21,878 | 12,430,435 | SH | | DFND | | 12,430,435 | 0 | 0 |
SEADRILL LTD | COM | G7998G106 | 697 | 69,649 | SH | | DFND | | 69,649 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 19,043 | 375,000 | SH | Put | DFND | | 375,000 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 41,278 | 780,000 | SH | Put | DFND | | 780,000 | 0 | 0 |
SELLAS LIFE SCIENCES GROUP I | COM | 81642T100 | 1,568 | 1,275,000 | SH | | DFND | | 1,275,000 | 0 | 0 |
SEQUENTIAL BRNDS GROUP INC N | COM | 81734P107 | 2,685 | 3,356,200 | SH | | DFND | | 3,356,200 | 0 | 0 |
SIERRA ONCOLOGY INC | COM | 82640U107 | 2,869 | 2,173,620 | SH | | DFND | | 2,173,620 | 0 | 0 |
SMAAASH ENTERTAINMENT INC | COM | 831550108 | 41 | 20,000 | SH | | DFND | | 20,000 | 0 | 0 |
SMAAASH ENTERTAINMENT INC | *W EXP 05/22/202 | 831550116 | 122 | 700,000 | SH | | DFND | | 700,000 | 0 | 0 |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 1,443 | 844,112 | SH | | DFND | | 844,112 | 0 | 0 |
SOLENO THERAPEUTICS INC | *W EXP 11/12/201 | 834203135 | 186 | 602,443 | SH | | DFND | | 602,443 | 0 | 0 |
SPDR SERIES TRUST | S&P REGL BKG | 78464A698 | 4,679 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 4,099 | 100,000 | SH | Call | DFND | | 100,000 | 0 | 0 |
SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 12,297 | 300,000 | SH | Put | DFND | | 300,000 | 0 | 0 |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 3,802 | 848,700 | SH | | DFND | | 848,700 | 0 | 0 |
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 5,976 | 1,342,839 | SH | | DFND | | 1,342,839 | 0 | 0 |
SYNTHETIC BIOLOGICS INC | COM NEW | 87164U201 | 24 | 42,858 | SH | | DFND | | 42,858 | 0 | 0 |
TEEKAY TANKERS LTD | CL A | Y8565N102 | 464 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
TENZING ACQUISITION CORP | *W EXP 02/23/202 | G8708A108 | 66 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 464,456 | 1,395,600 | SH | Put | DFND | | 1,395,600 | 0 | 0 |
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 893 | 790,571 | SH | | DFND | | 790,571 | 0 | 0 |
TG THERAPEUTICS INC | COM | 88322Q108 | 2,050 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
TIBERIUS ACQUISITION CORP | *W EXP 02/28/202 | 88633A115 | 176 | 450,000 | SH | | DFND | | 450,000 | 0 | 0 |
TIFFANY & CO NEW | COM | 886547108 | 16,102 | 200,000 | SH | Put | DFND | | 200,000 | 0 | 0 |
TKK SYMPHONY ACQUISITION COR | ORD SHS | G88950103 | 2,171 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
TKK SYMPHONY ACQUISITION COR | RIGHT 02/20/2020 | G88950137 | 79 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
TKK SYMPHONY ACQUISITION COR | *W EXP 02/20/202 | G88950129 | 34 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
TOCAGEN INC | COM | 888846102 | 3,079 | 375,000 | SH | | DFND | | 375,000 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | RIGHT 06/05/2020 | G8959N122 | 54 | 134,000 | SH | | DFND | | 134,000 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | *W EXP 05/06/202 | G8959N114 | 108 | 542,000 | SH | | DFND | | 542,000 | 0 | 0 |
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 1,726 | 2,738,938 | SH | | DFND | | 2,738,938 | 0 | 0 |
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 598 | 1,993,750 | SH | | DFND | | 1,993,750 | 0 | 0 |
TRINITY MERGER CORP | *W EXP 05/11/202 | 89653L114 | 277 | 700,000 | SH | | DFND | | 700,000 | 0 | 0 |
TRIVAGO N V | SPON ADS A SHS | 89686D105 | 31,528 | 5,600,000 | SH | | DFND | | 5,600,000 | 0 | 0 |
TRUECAR INC | COM | 89785L107 | 31,333 | 3,458,358 | SH | | DFND | | 3,458,358 | 0 | 0 |
TWELVE SEAS INVESTMENT COMPA | RIGHT 12/22/2019 | G9145A131 | 61 | 175,000 | SH | | DFND | | 175,000 | 0 | 0 |
TWELVE SEAS INVESTMENT COMPA | *W EXP 12/22/202 | G9145A115 | 151 | 581,850 | SH | | DFND | | 581,850 | 0 | 0 |
U S WELL SVCS INC | *W EXP 03/15/202 | 91274U119 | 480 | 800,000 | SH | | DFND | | 800,000 | 0 | 0 |
UNION ACQUISITION CORP | RIGHT 12/02/2019 | G9366W135 | 76 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
UNION ACQUISITION CORP | *W EXP 07/01/202 | G9366W127 | 50 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
UNIQURE NV | SHS | N90064101 | 31,270 | 1,085,000 | SH | | DFND | | 1,085,000 | 0 | 0 |
VECTOIQ ACQUISITION CORP | *W EXP 05/11/202 | 92243N111 | 250 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
WARRIOR MET COAL INC | COM | 93627C101 | 5,907 | 245,000 | SH | | DFND | | 245,000 | 0 | 0 |
WRIGHT MED GROUP N V | RIGHT 03/01/2019 | N96617126 | 2 | 169,532 | SH | | DFND | | 169,532 | 0 | 0 |
ZAFGEN INC | COM | 98885E103 | 6,930 | 1,400,000 | SH | | DFND | | 1,400,000 | 0 | 0 |
ZOGENIX INC | COM NEW | 98978L204 | 1,823 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |