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 | 16,440 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
ADAMIS PHARMACEUTICALS CORP | COM NEW | 00547W208 | 1,366 | 1,938,825 | SH | | DFND | | 1,938,825 | 0 | 0 |
ADECOAGRO S A | COM | L00849106 | 1,749 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
ADIENT PLC | ORD SHS | G0084W101 | 18,643 | 812,000 | SH | | DFND | | 812,000 | 0 | 0 |
ADMA BIOLOGICS INC | COM | 000899104 | 6,338 | 1,424,378 | SH | | DFND | | 1,424,378 | 0 | 0 |
AFFIMED N V | COM | N01045108 | 1,249 | 425,000 | SH | | DFND | | 425,000 | 0 | 0 |
AGILE THERAPEUTICS INC | COM | 00847L100 | 444 | 375,000 | SH | | DFND | | 375,000 | 0 | 0 |
AKAZOO SA | SHS | L0164E108 | 633 | 100,000 | SH | | DFND | | 100,000 | 0 | 0 |
AKAZOO SA | *W EXP 09/11/202 | L0164E116 | 385 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
AKERNA CORP | *W EXP 06/17/202 | 00973W110 | 55 | 75,000 | SH | | DFND | | 75,000 | 0 | 0 |
ALDEYRA THERAPEUTICS INC | COM | 01438T106 | 12,384 | 2,350,000 | SH | | DFND | | 2,350,000 | 0 | 0 |
ALLEGRO MERGER CORP | *W EXP 01/06/202 | 01749N111 | 102 | 443,772 | SH | | DFND | | 443,772 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 28,469 | 354,000 | SH | | DFND | | 354,000 | 0 | 0 |
AMCI ACQUISITION CORP | *W EXP 05/20/202 | 00165R119 | 70 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
APPLIED GENETIC TECHNOL CORP | COM | 03820J100 | 2,321 | 557,834 | SH | | DFND | | 557,834 | 0 | 0 |
ARDELYX INC | COM | 039697107 | 9,635 | 2,050,010 | SH | | DFND | | 2,050,010 | 0 | 0 |
ARYA SCIENCES ACQUISITION CO | SHS CL A | G3165V109 | 10,310 | 1,000,000 | SH | | DFND | | 1,000,000 | 0 | 0 |
ARYA SCIENCES ACQUISITION CO | *W EXP 10/10/202 | G3165V125 | 760 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
AT HOME GROUP INC | COM | 04650Y100 | 23,569 | 2,450,000 | SH | | DFND | | 2,450,000 | 0 | 0 |
AVEO PHARMACEUTICALS INC | COM | 053588109 | 1,671 | 1,978,723 | SH | | DFND | | 1,978,723 | 0 | 0 |
AZURRX BIOPHARMA INC | COM | 05502L105 | 640 | 1,067,571 | SH | | DFND | | 1,067,571 | 0 | 0 |
BEYOND MEAT INC | COM | 08862E109 | 22,665 | 152,500 | SH | Call | DFND | | 152,500 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | *W EXP 12/01/202 | 089482111 | 14 | 82,500 | SH | | DFND | | 82,500 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 36 | 165,000 | SH | | DFND | | 165,000 | 0 | 0 |
BIOCERES CROP SOLUTIONS CORP | *W EXP 03/14/202 | G1117K106 | 68 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
BONANZA CREEK ENERGY INC | COM NEW | 097793400 | 336 | 15,000 | SH | | DFND | | 15,000 | 0 | 0 |
CARDLYTICS INC | COM | 14161W105 | 12,569 | 375,000 | SH | | DFND | | 375,000 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 118,800 | 1,800,000 | SH | | DFND | | 1,800,000 | 0 | 0 |
CHARDAN HEALTHCARE ACQUISITI | COM | 15957A108 | 1,391 | 136,995 | SH | | DFND | | 136,995 | 0 | 0 |
CHARDAN HEALTHCARE ACQUISITI | *W EXP 12/13/202 | 15957A116 | 116 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
CHASERG TECHNLGY ACQUISITN C | *W EXP 04/10/202 | 16166A111 | 75 | 75,000 | SH | | DFND | | 75,000 | 0 | 0 |
CHIMERIX INC | COM | 16934W106 | 776 | 330,061 | SH | | DFND | | 330,061 | 0 | 0 |
COCA COLA CO | COM | 191216100 | 16,332 | 300,000 | SH | Put | DFND | | 300,000 | 0 | 0 |
CONCRETE PUMPING HLDGS INC | COM | 206704108 | 783 | 197,245 | SH | | DFND | | 197,245 | 0 | 0 |
CONTRAFECT CORP | COM | 212326102 | 895 | 2,500,000 | SH | | DFND | | 2,500,000 | 0 | 0 |
CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 5,540 | 937,360 | SH | | DFND | | 937,360 | 0 | 0 |
CUE BIOPHARMA INC | COM | 22978P106 | 2,529 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
DERMTECH INC | *W EXP 08/29/202 | 24984K113 | 46 | 380,000 | SH | | DFND | | 380,000 | 0 | 0 |
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 3,168 | 515,000 | SH | | DFND | | 515,000 | 0 | 0 |
DIAMOND S SHIPPING INC | COM | Y20676105 | 5,345 | 485,000 | SH | | DFND | | 485,000 | 0 | 0 |
DIANA SHIPPING INC | COM | Y2066G104 | 921 | 272,622 | SH | | DFND | | 272,622 | 0 | 0 |
EDTECHX HLDGS ACQUISITION CO | *W EXP 12/31/202 | 28138X111 | 30 | 125,000 | SH | | DFND | | 125,000 | 0 | 0 |
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 19,071 | 1,860,529 | SH | | DFND | | 1,860,529 | 0 | 0 |
ENERGY RECOVERY INC | COM | 29270J100 | 8,987 | 970,000 | SH | | DFND | | 970,000 | 0 | 0 |
ENOVA INTL INC | COM | 29357K103 | 18,571 | 895,000 | SH | | DFND | | 895,000 | 0 | 0 |
ESTRE AMBIENTAL INC | *W EXP 12/21/202 | G3206V118 | 17 | 730,000 | SH | | DFND | | 730,000 | 0 | 0 |
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 52 | 149,600 | SH | | DFND | | 149,600 | 0 | 0 |
FATE THERAPEUTICS INC | COM | 31189P102 | 3,494 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 4,672 | 971,351 | SH | | DFND | | 971,351 | 0 | 0 |
FORTRESS BIOTECH INC | COM | 34960Q109 | 283 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
FORUM MERGER II CORP | *W EXP 09/30/202 | 34986F111 | 177 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 6,483 | 1,356,356 | SH | | DFND | | 1,356,356 | 0 | 0 |
GENCO SHIPPING & TRADING LTD | SHS | Y2685T131 | 1,660 | 180,496 | SH | | DFND | | 180,496 | 0 | 0 |
GENERAL MLS INC | COM | 370334104 | 5,512 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
GENERAL MTRS CO | COM | 37045V100 | 28,110 | 750,000 | SH | Call | DFND | | 750,000 | 0 | 0 |
GIGCAPITAL INC | RIGHT 03/06/2020 | 37518N114 | 88 | 98,600 | SH | | DFND | | 98,600 | 0 | 0 |
GIGCAPITAL INC | *W EXP 06/08/202 | 37518N122 | 102 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
GLOBALSTAR INC | COM | 378973408 | 6,377 | 15,415,778 | SH | | DFND | | 15,415,778 | 0 | 0 |
GLOBALSTAR INC | NOTE 5.750% 4/0 | 378973AD3 | 361 | 508,004 | SH | | DFND | | 508,004 | 0 | 0 |
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 90 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
GRAF INDL CORP | *W EXP 12/31/202 | 384278115 | 88 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
GREENLAND ACQUISITIN CORPORA | *W EXP 03/03/202 | G40981105 | 29 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
GREENLAND ACQUISITIN CORPORA | RIGHT 04/27/2025 | G40981113 | 90 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
GREIF INC | CL B | 397624206 | 543 | 11,910 | SH | | DFND | | 11,910 | 0 | 0 |
HEALTH SCIENCES ACQUSTN CORP | COM | 42227C102 | 8,016 | 800,000 | SH | | DFND | | 800,000 | 0 | 0 |
HEALTH SCIENCES ACQUSTN CORP | *W EXP 04/01/202 | 42227C110 | 672 | 800,000 | PRN | | DFND | | 800,000 | 0 | 0 |
HERSHEY CO | COM | 427866108 | 54,247 | 350,000 | SH | Put | DFND | | 350,000 | 0 | 0 |
HL ACQUISITIONS CORP | *W EXP 06/21/202 | G4603R122 | 47 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
HL ACQUISITIONS CORP | RIGHT 07/17/2023 | G4603R130 | 49 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 4,309 | 2,520,000 | SH | | DFND | | 2,520,000 | 0 | 0 |
IFRESH INC | COM | 449538107 | 56 | 30,000 | SH | | DFND | | 30,000 | 0 | 0 |
INSPIRED ENTMT INC | COM | 45782N108 | 5,764 | 801,824 | SH | | DFND | | 801,824 | 0 | 0 |
INTEL CORP | COM | 458140100 | 5,153 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 4,767 | 906,224 | SH | | DFND | | 906,224 | 0 | 0 |
IRSA PROPIEDADES COMERCIALES | SPONSORED ADR | 463588103 | 2,405 | 185,000 | SH | | DFND | | 185,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 3,235 | 25,000 | SH | | DFND | | 25,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 6,469 | 50,000 | SH | Put | DFND | | 50,000 | 0 | 0 |
KADMON HLDGS INC | COM | 48283N106 | 844 | 334,900 | SH | | DFND | | 334,900 | 0 | 0 |
KROGER CO | COM | 501044101 | 12,890 | 500,000 | SH | Call | DFND | | 500,000 | 0 | 0 |
LEAP THERAPEUTICS INC | COM | 52187K101 | 176 | 150,142 | SH | | DFND | | 150,142 | 0 | 0 |
LEGACY ACQUISITION CORP | *W EXP 11/30/202 | 524643111 | 175 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
LEISURE ACQUISITION CORP | *W EXP 12/05/201 | 52539T115 | 95 | 125,000 | SH | | DFND | | 125,000 | 0 | 0 |
LF CAP ACQUISITION CORP | *W EXP 06/22/202 | 50200K116 | 185 | 450,000 | SH | | DFND | | 450,000 | 0 | 0 |
MACROGENICS INC | COM | 556099109 | 5,104 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
MAIDEN HOLDINGS LTD | SHS | G5753U112 | 5,908 | 7,876,964 | SH | | DFND | | 7,876,964 | 0 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 1,695 | 1,100,000 | SH | | DFND | | 1,100,000 | 0 | 0 |
M D C HLDGS INC | COM | 552676108 | 4,310 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 152 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
MEIRAGTX HOLDINGS PLC | COM | G59665102 | 6,380 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
MIRAGEN THERAPEUTICS INC | COM | 60463E103 | 1,291 | 1,766,038 | SH | | DFND | | 1,766,038 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 19,534 | 1,900,000 | SH | | DFND | | 1,900,000 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | *W EXP 02/12/202 | 624745113 | 1,563 | 2,500,000 | SH | | DFND | | 2,500,000 | 0 | 0 |
MUSTANG BIO INC | COM | 62818Q104 | 2,038 | 625,000 | SH | | DFND | | 625,000 | 0 | 0 |
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 290 | 725,000 | SH | | DFND | | 725,000 | 0 | 0 |
NAVIOS MARITIME CONTAINERS L | COM UNIT RP LP | Y62151108 | 4,447 | 2,235,000 | SH | | DFND | | 2,235,000 | 0 | 0 |
NEW FRONTIER CORP | *W EXP 99/99/999 | G6485P124 | 50 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
NII HLDGS INC | COM PAR | 62913F508 | 25,800 | 13,163,432 | SH | | DFND | | 13,163,432 | 0 | 0 |
NOVUS THERAPEUTICS INC | COM | 67011N105 | 386 | 623,102 | SH | | DFND | | 623,102 | 0 | 0 |
NRC GROUP HLDGS CORP | *W EXP 10/17/202 | 629375114 | 1,269 | 537,500 | SH | | DFND | | 537,500 | 0 | 0 |
ON DECK CAP INC | COM | 682163100 | 12,517 | 3,725,000 | SH | | DFND | | 3,725,000 | 0 | 0 |
ONCONOVA THERAPEUTICS INC | COM PAR | 68232V405 | 476 | 560,000 | SH | | DFND | | 560,000 | 0 | 0 |
ONCOSEC MED INC | COM | 68234L306 | 370 | 188,000 | SH | | DFND | | 188,000 | 0 | 0 |
OPES ACQUISITION CORP | *W EXP 03/13/202 | 68373P118 | 27 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
ORACLE CORP | COM | 68389X105 | 22,012 | 400,000 | SH | Put | DFND | | 400,000 | 0 | 0 |
ORISUN ACQUISITION CORP | UNIT 99/99/9999 | 68632T208 | 500 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
OTONOMY INC | COM | 68906L105 | 2,629 | 1,100,000 | SH | | DFND | | 1,100,000 | 0 | 0 |
PENN VA CORP NEW | COM | 70788V102 | 16,790 | 577,599 | SH | | DFND | | 577,599 | 0 | 0 |
PENSARE ACQUISITION CORP | *W EXP 07/27/202 | 70957E113 | 27 | 115,000 | SH | | DFND | | 115,000 | 0 | 0 |
PENSARE ACQUISITION CORP | RIGHT 99/99/9999 | 70957E121 | 181 | 605,000 | SH | | DFND | | 605,000 | 0 | 0 |
PEPSICO INC | COM | 713448108 | 13,710 | 100,000 | SH | Put | DFND | | 100,000 | 0 | 0 |
PG&E CORP | COM | 69331C108 | 9,000 | 900,000 | SH | | DFND | | 900,000 | 0 | 0 |
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 512 | 150,257 | SH | | DFND | | 150,257 | 0 | 0 |
POLARITYTE INC | COM | 731094108 | 474 | 146,733 | SH | | DFND | | 146,733 | 0 | 0 |
PROCTER & GAMBLE CO | COM | 742718109 | 24,876 | 200,000 | SH | Put | DFND | | 200,000 | 0 | 0 |
REDHILL BIOPHARMA LTD | SPONSORED ADS | 757468103 | 24,472 | 3,476,039 | SH | | DFND | | 3,476,039 | 0 | 0 |
SCHULTZE SPL PURP ACQUSTN CO | *W EXP 12/31/202 | 80821R117 | 105 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 2,127 | 2,000,000 | SH | | DFND | | 2,000,000 | 0 | 0 |
SCORPIO TANKERS INC | SHS | Y7542C130 | 5,568 | 187,100 | SH | | DFND | | 187,100 | 0 | 0 |
SEADRILL LTD | COM | G7998G106 | 1,317 | 627,302 | SH | | DFND | | 627,302 | 0 | 0 |
SELLAS LIFE SCIENCES GROUP I | COM | 81642T100 | 400 | 3,300,000 | SH | | DFND | | 3,300,000 | 0 | 0 |
SIERRA ONCOLOGY INC | COM | 82640U107 | 1,279 | 3,274,953 | SH | | DFND | | 3,274,953 | 0 | 0 |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 854 | 569,087 | SH | | DFND | | 569,087 | 0 | 0 |
SEQUENTIAL BRNDS GROUP INC N | COM | 81734P107 | 504 | 2,190,000 | SH | | DFND | | 2,190,000 | 0 | 0 |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 2,208 | 923,700 | SH | | DFND | | 923,700 | 0 | 0 |
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 8,751 | 1,171,648 | SH | | DFND | | 1,171,648 | 0 | 0 |
SYNTHETIC BIOLOGICS INC | COM NEW | 87164U201 | 19 | 42,858 | SH | | DFND | | 42,858 | 0 | 0 |
SYROS PHARMACEUTICALS INC | COM | 87184Q107 | 4,461 | 429,775 | SH | | DFND | | 429,775 | 0 | 0 |
TEEKAY TANKERS LTD | CL A | Y8565N102 | 1,853 | 1,425,000 | SH | | DFND | | 1,425,000 | 0 | 0 |
TENZING ACQUISITION CORP | *W EXP 02/23/202 | G8708A108 | 40 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 6,022 | 25,000 | SH | Call | DFND | | 25,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 59,615 | 247,500 | SH | Put | DFND | | 247,500 | 0 | 0 |
TG THERAPEUTICS INC | COM | 88322Q108 | 2,246 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
TIBERIUS ACQUISITION CORP | *W EXP 02/28/202 | 88633A115 | 266 | 450,000 | PRN | | DFND | | 450,000 | 0 | 0 |
TKK SYMPHONY ACQUISITION COR | *W EXP 02/20/202 | G88950129 | 20 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
TKK SYMPHONY ACQUISITION COR | RIGHT 02/20/2020 | G88950137 | 54 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | *W EXP 05/06/202 | G8959N114 | 92 | 542,000 | SH | | DFND | | 542,000 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | RIGHT 06/05/2020 | G8959N122 | 39 | 134,000 | SH | | DFND | | 134,000 | 0 | 0 |
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 1,161 | 2,597,680 | SH | | DFND | | 2,597,680 | 0 | 0 |
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 299 | 1,993,750 | SH | | DFND | | 1,993,750 | 0 | 0 |
TRINITY MERGER CORP | *W EXP 05/11/202 | 89653L114 | 889 | 700,000 | SH | | DFND | | 700,000 | 0 | 0 |
TRIVAGO N V | SPON ADS A SHS | 89686D105 | 12,829 | 3,121,334 | SH | | DFND | | 3,121,334 | 0 | 0 |
TWELVE SEAS INVESTMENT COMPA | *W EXP 12/22/202 | G9145A115 | 186 | 581,850 | SH | | DFND | | 581,850 | 0 | 0 |
TWELVE SEAS INVESTMENT COMPA | RIGHT 12/22/2019 | G9145A131 | 65 | 175,000 | SH | | DFND | | 175,000 | 0 | 0 |
UNIQURE NV | SHS | N90064101 | 22,435 | 570,000 | SH | | DFND | | 570,000 | 0 | 0 |
VBI VACCINES INC | COM NEW | 91822J103 | 942 | 2,000,000 | SH | | DFND | | 2,000,000 | 0 | 0 |
VECTOIQ ACQUISITION CORP | *W EXP 05/11/202 | 92243N111 | 258 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
WARRIOR MET COAL INC | COM | 93627C101 | 4,782 | 245,000 | SH | | DFND | | 245,000 | 0 | 0 |
XBIOTECH INC | COM | 98400H102 | 628 | 60,000 | SH | | DFND | | 60,000 | 0 | 0 |
ZAFGEN INC | COM | 98885E103 | 1,723 | 2,331,413 | SH | | DFND | | 2,331,413 | 0 | 0 |
ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 428 | 100,000 | SH | | DFND | | 100,000 | 0 | 0 |
ZOGENIX INC | COM NEW | 98978L204 | 2,002 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |