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 |
ADIENT PLC | ORD SHS | G0084W101 | 11,370 | 1,253,588 | SH | | DFND | | 1,253,588 | 0 | 0 |
ADMA BIOLOGICS INC | COM | 000899104 | 5,760 | 2,000,000 | SH | | DFND | | 2,000,000 | 0 | 0 |
AFFIMED N V | COM | N01045108 | 2,370 | 1,500,000 | SH | | DFND | | 1,500,000 | 0 | 0 |
AKAZOO SA | SHS | L0164E108 | 279 | 99,812 | SH | | DFND | | 99,812 | 0 | 0 |
AKAZOO SA | *W EXP 09/11/202 | L0164E116 | 160 | 489,700 | SH | | DFND | | 489,700 | 0 | 0 |
ALDEYRA THERAPEUTICS INC | COM | 01438T106 | 2,284 | 925,000 | SH | | DFND | | 925,000 | 0 | 0 |
ALLEGRO MERGER CORP | *W EXP 01/06/202 | 01749N111 | 22 | 443,772 | SH | | DFND | | 443,772 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 18,504 | 170,000 | SH | | DFND | | 170,000 | 0 | 0 |
ALTRIA GROUP INC | COM | 02209S103 | 20,258 | 523,860 | SH | | DFND | | 523,860 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 23,396 | 12,000 | SH | | DFND | | 12,000 | 0 | 0 |
AMCI ACQUISITION CORP | *W EXP 05/20/202 | 00165R119 | 35 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
ANGI HOMESERVICES INC | COM CL A | 00183L102 | 12,926 | 2,462,173 | SH | | DFND | | 2,462,173 | 0 | 0 |
APPLIED GENETIC TECHNOL CORP | COM | 03820J100 | 1,755 | 535,000 | SH | | DFND | | 535,000 | 0 | 0 |
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 1,882 | 316,887 | SH | | DFND | | 316,887 | 0 | 0 |
ARCTURUS THERAPEUTICS HLDG I | COM | 03969T109 | 229 | 16,855 | SH | | DFND | | 16,855 | 0 | 0 |
ARDELYX INC | COM | 039697107 | 12,247 | 2,154,184 | SH | | DFND | | 2,154,184 | 0 | 0 |
ARYA SCIENCES ACQUISITION CO | SHS CL A | G3165V109 | 10,180 | 1,000,000 | SH | | DFND | | 1,000,000 | 0 | 0 |
ARYA SCIENCES ACQUISITION CO | *W EXP 10/10/202 | G3165V125 | 920 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
AT HOME GROUP INC | COM | 04650Y100 | 2,244 | 1,110,793 | SH | | DFND | | 1,110,793 | 0 | 0 |
BARRICK GOLD CORPORATION | COM | 067901108 | 9,370 | 511,477 | SH | | DFND | | 511,477 | 0 | 0 |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 9,142 | 50,000 | SH | Put | DFND | | 50,000 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | *W EXP 12/01/202 | 089482111 | 5 | 82,500 | SH | | DFND | | 82,500 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 21 | 165,000 | SH | | DFND | | 165,000 | 0 | 0 |
BIOCERES CROP SOLUTIONS CORP | *W EXP 03/14/202 | G1117K106 | 28 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
BIOMX INC | *W EXP 10/16/202 | 09090D111 | 53 | 88,800 | SH | | DFND | | 88,800 | 0 | 0 |
BONANZA CREEK ENERGY INC | COM NEW | 097793400 | 140 | 12,500 | SH | | DFND | | 12,500 | 0 | 0 |
BROOGE HLDGS LTD | *W EXP 12/20/202 | G1611B115 | 280 | 349,402 | SH | | DFND | | 349,402 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 28,024 | 555,817 | SH | | DFND | | 555,817 | 0 | 0 |
CARDLYTICS INC | COM | 14161W105 | 30,297 | 866,606 | SH | | DFND | | 866,606 | 0 | 0 |
CARGURUS INC | COM CL A | 141788109 | 4,811 | 254,000 | SH | | DFND | | 254,000 | 0 | 0 |
CARS COM INC | COM | 14575E105 | 710 | 165,000 | SH | | DFND | | 165,000 | 0 | 0 |
CARVANA CO | CL A | 146869102 | 80,619 | 1,463,423 | SH | | DFND | | 1,463,423 | 0 | 0 |
CHIMERIX INC | COM | 16934W106 | 475 | 330,061 | SH | | DFND | | 330,061 | 0 | 0 |
CIMPRESS PLC | SHS EURO | G2143T103 | 4,522 | 84,997 | SH | | DFND | | 84,997 | 0 | 0 |
CIT GROUP INC | COM NEW | 125581801 | 863 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
COCA COLA CO | COM | 191216100 | 8,850 | 200,000 | SH | Put | DFND | | 200,000 | 0 | 0 |
CONTRAFECT CORP | COM NEW | 212326300 | 676 | 117,500 | SH | | DFND | | 117,500 | 0 | 0 |
COOPER STD HLDGS INC | COM | 21676P103 | 1,336 | 130,038 | SH | | DFND | | 130,038 | 0 | 0 |
CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 3,349 | 962,302 | SH | | DFND | | 962,302 | 0 | 0 |
CUE BIOPHARMA INC | COM | 22978P106 | 4,541 | 320,000 | SH | | DFND | | 320,000 | 0 | 0 |
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 7,670 | 1,000,010 | SH | | DFND | | 1,000,010 | 0 | 0 |
DIAGEO P L C | SPON ADR NEW | 25243Q205 | 22,246 | 175,000 | SH | | DFND | | 175,000 | 0 | 0 |
DIAMOND S SHIPPING INC | COM | Y20676105 | 8,475 | 717,653 | SH | | DFND | | 717,653 | 0 | 0 |
DIANA SHIPPING INC | COM | Y2066G104 | 138 | 93,229 | SH | | DFND | | 93,229 | 0 | 0 |
DUPONT DE NEMOURS INC | COM | 26614N102 | 13,640 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 13,872 | 2,040,000 | SH | | DFND | | 2,040,000 | 0 | 0 |
ENERGY RECOVERY INC | COM | 29270J100 | 3,869 | 520,000 | SH | | DFND | | 520,000 | 0 | 0 |
ENOVA INTL INC | COM | 29357K103 | 15,909 | 1,097,939 | SH | | DFND | | 1,097,939 | 0 | 0 |
EURONAV NV ANTWERPEN | SHS | B38564108 | 1,692 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 22 | 149,100 | SH | | DFND | | 149,100 | 0 | 0 |
FATE THERAPEUTICS INC | COM | 31189P102 | 4,997 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 5,644 | 950,000 | SH | | DFND | | 950,000 | 0 | 0 |
FORTRESS BIOTECH INC | COM | 34960Q109 | 379 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
FORUM MERGER II CORP | *W EXP 09/30/202 | 34986F111 | 81 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 2,706 | 781,820 | SH | | DFND | | 781,820 | 0 | 0 |
GENCO SHIPPING & TRADING LTD | SHS | Y2685T131 | 1,159 | 180,496 | SH | | DFND | | 180,496 | 0 | 0 |
GENERAL MTRS CO | COM | 37045V100 | 15,585 | 750,000 | SH | Call | DFND | | 750,000 | 0 | 0 |
GLOBALSTAR INC | COM | 378973408 | 4,542 | 15,415,778 | SH | | DFND | | 15,415,778 | 0 | 0 |
GLOBALSTAR INC | NOTE 5.750% 4/0 | 378973AD3 | 324 | 513,719 | PRN | | DFND | | 513,719 | 0 | 0 |
GLRY STR NW MDIA GRUP HLDG L | SHS | G39973105 | 41 | 10,000 | SH | | DFND | | 10,000 | 0 | 0 |
GOLAR LNG PARTNERS LP | COM UNIT LPI | Y2745C102 | 2,891 | 860,375 | SH | | DFND | | 860,375 | 0 | 0 |
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 41 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
GRAF INDL CORP | *W EXP 12/31/202 | 384278115 | 23 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
GREIF INC | CL B | 397624206 | 477 | 11,910 | SH | | DFND | | 11,910 | 0 | 0 |
GRUBHUB INC | COM | 400110102 | 25,083 | 615,821 | SH | | DFND | | 615,821 | 0 | 0 |
HL ACQUISITIONS CORP | *W EXP 06/21/202 | G4603R122 | 9 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
HL ACQUISITIONS CORP | RIGHT 07/17/2023 | G4603R130 | 14 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 1,437 | 2,520,000 | SH | | DFND | | 2,520,000 | 0 | 0 |
IAC INTERACTIVECORP | COM | 44919P508 | 37,736 | 210,550 | SH | | DFND | | 210,550 | 0 | 0 |
IAMGOLD CORP | COM | 450913108 | 684 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
IMMUNOVANT INC | *W EXP 12/18/202 | 45258J110 | 609 | 253,600 | SH | | DFND | | 253,600 | 0 | 0 |
INSPIRED ENTMT INC | COM | 45782N108 | 2,759 | 816,325 | SH | | DFND | | 816,325 | 0 | 0 |
INTL GNRL INSURANCE HLDNGS L | *W EXP 03/17/202 | G4809J114 | 189 | 450,000 | SH | | DFND | | 450,000 | 0 | 0 |
IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 2,993 | 100,000 | SH | | DFND | | 100,000 | 0 | 0 |
IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 3,153 | 906,224 | SH | | DFND | | 906,224 | 0 | 0 |
IRSA PROPIEDADES COMERCIALES | SPONSORED ADR | 463588103 | 1,408 | 194,165 | SH | | DFND | | 194,165 | 0 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 348 | 5,000 | SH | Call | DFND | | 5,000 | 0 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 2,783 | 40,000 | SH | Put | DFND | | 40,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 6,557 | 50,000 | SH | Put | DFND | | 50,000 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 3,151 | 35,000 | SH | | DFND | | 35,000 | 0 | 0 |
JUMIA TECHNOLOGIES AG | SPONSORED ADS | 48138M105 | 905 | 309,779 | SH | | DFND | | 309,779 | 0 | 0 |
KADMON HLDGS INC | COM | 48283N106 | 712 | 170,000 | SH | | DFND | | 170,000 | 0 | 0 |
KALEYRA INC | *W EXP 12/12/202 | 483379111 | 115 | 135,000 | SH | | DFND | | 135,000 | 0 | 0 |
KROGER CO | COM | 501044101 | 3,012 | 100,000 | SH | Call | DFND | | 100,000 | 0 | 0 |
LEAP THERAPEUTICS INC | COM | 52187K101 | 437 | 276,466 | SH | | DFND | | 276,466 | 0 | 0 |
LEGACY ACQUISITION CORP | *W EXP 11/30/202 | 524643111 | 125 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
LEISURE ACQUISITION CORP | *W EXP 12/05/201 | 52539T115 | 21 | 125,000 | SH | | DFND | | 125,000 | 0 | 0 |
LF CAP ACQUISITION CORP | *W EXP 06/22/202 | 50200K116 | 117 | 450,000 | SH | | DFND | | 450,000 | 0 | 0 |
MAIDEN HOLDINGS LTD | SHS | G5753U112 | 7,168 | 7,876,964 | SH | | DFND | | 7,876,964 | 0 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 1,879 | 925,382 | SH | | DFND | | 925,382 | 0 | 0 |
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 88 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
MEIRAGTX HOLDINGS PLC | COM | G59665102 | 5,589 | 415,874 | SH | | DFND | | 415,874 | 0 | 0 |
MENLO THERAPEUTICS INC | COM | 586858102 | 5,354 | 1,997,611 | SH | | DFND | | 1,997,611 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 19,662 | 1,900,000 | SH | | DFND | | 1,900,000 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | *W EXP 02/12/202 | 624745113 | 875 | 2,500,000 | SH | | DFND | | 2,500,000 | 0 | 0 |
MUSTANG BIO INC | COM | 62818Q104 | 1,233 | 460,000 | SH | | DFND | | 460,000 | 0 | 0 |
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 239 | 725,000 | SH | | DFND | | 725,000 | 0 | 0 |
NAVIOS MARITIME CONTAINERS L | COM UNIT RP LP | Y62151108 | 1,587 | 2,235,000 | SH | | DFND | | 2,235,000 | 0 | 0 |
NOVUS THERAPEUTICS INC | COM | 67011N105 | 369 | 946,204 | SH | | DFND | | 946,204 | 0 | 0 |
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 180 | 14,400 | SH | | DFND | | 14,400 | 0 | 0 |
ON DECK CAP INC | COM | 682163100 | 5,327 | 3,459,669 | SH | | DFND | | 3,459,669 | 0 | 0 |
ONCOSEC MED INC | COM | 68234L306 | 102 | 79,935 | SH | | DFND | | 79,935 | 0 | 0 |
ONEMAIN HLDGS INC | COM | 68268W103 | 1,122 | 58,715 | SH | | DFND | | 58,715 | 0 | 0 |
OPES ACQUISITION CORP | *W EXP 03/13/202 | 68373P118 | 8 | 150,000 | SH | | DFND | | 150,000 | 0 | 0 |
ORISUN ACQUISITION CORP | COM | 68632T109 | 510 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
ORISUN ACQUISITION CORP | RIGHT 05/31/2024 | 68632T125 | 9 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
ORISUN ACQUISITION CORP | *W EXP 05/31/202 | 68632T117 | 3 | 50,000 | SH | | DFND | | 50,000 | 0 | 0 |
OTONOMY INC | COM | 68906L105 | 1,773 | 900,000 | SH | | DFND | | 900,000 | 0 | 0 |
PBF LOGISTICS LP | UNIT LTD PTNR | 69318Q104 | 106 | 15,663 | SH | | DFND | | 15,663 | 0 | 0 |
PENN VA CORP | COM | 70788V102 | 3,406 | 1,102,306 | SH | | DFND | | 1,102,306 | 0 | 0 |
PG&E CORP | COM | 69331C108 | 1 | 100 | SH | | DFND | | 100 | 0 | 0 |
PG&E CORP | COM | 69331C108 | 4,495 | 500,000 | SH | Put | DFND | | 500,000 | 0 | 0 |
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 205 | 90,000 | SH | | DFND | | 90,000 | 0 | 0 |
PROCTER & GAMBLE CO | COM | 742718109 | 16,500 | 150,000 | SH | Put | DFND | | 150,000 | 0 | 0 |
SCHULTZE SPL PURP ACQUSTN CO | *W EXP 12/31/202 | 80821R117 | 66 | 300,000 | SH | | DFND | | 300,000 | 0 | 0 |
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 1,700 | 2,000,000 | PRN | | DFND | | 2,000,000 | 0 | 0 |
SCORPIO TANKERS INC | SHS | Y7542C130 | 1,912 | 100,000 | SH | | DFND | | 100,000 | 0 | 0 |
SELECTA BIOSCIENCES INC | COM | 816212104 | 1,722 | 714,619 | SH | | DFND | | 714,619 | 0 | 0 |
SIERRA ONCOLOGY INC | COM NEW | 82640U404 | 1,376 | 140,156 | SH | | DFND | | 140,156 | 0 | 0 |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 952 | 400,000 | SH | | DFND | | 400,000 | 0 | 0 |
STARBUCKS CORP | COM | 855244109 | 6,575 | 100,000 | SH | | DFND | | 100,000 | 0 | 0 |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 868 | 458,971 | SH | | DFND | | 458,971 | 0 | 0 |
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 10,235 | 933,038 | SH | | DFND | | 933,038 | 0 | 0 |
TEEKAY TANKERS LTD | CL A | Y8565N300 | 3,184 | 143,124 | SH | | DFND | | 143,124 | 0 | 0 |
TENZING ACQUISITION CORP | *W EXP 02/23/202 | G8708A108 | 18 | 200,000 | SH | | DFND | | 200,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 13,100 | 25,000 | SH | Call | DFND | | 25,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 103,490 | 197,500 | SH | Put | DFND | | 197,500 | 0 | 0 |
TG THERAPEUTICS INC | COM | 88322Q108 | 3,919 | 398,271 | SH | | DFND | | 398,271 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | *W EXP 05/06/202 | G8959N114 | 23 | 542,000 | SH | | DFND | | 542,000 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | RIGHT 06/05/2020 | G8959N122 | 15 | 134,000 | SH | | DFND | | 134,000 | 0 | 0 |
TRACON PHARMACEUTICALS INC | COM NEW | 89237H209 | 128 | 75,000 | SH | | DFND | | 75,000 | 0 | 0 |
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 189 | 1,993,750 | SH | | DFND | | 1,993,750 | 0 | 0 |
UNIQURE NV | SHS | N90064101 | 23,251 | 490,000 | SH | | DFND | | 490,000 | 0 | 0 |
US ECOLOGY INC | *W EXP 10/17/202 | 91734M111 | 464 | 105,350 | SH | | DFND | | 105,350 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 2,992 | 54,000 | SH | Put | DFND | | 54,000 | 0 | 0 |
VECTOIQ ACQUISITION CORP | *W EXP 05/11/202 | 92243N111 | 975 | 500,000 | SH | | DFND | | 500,000 | 0 | 0 |
VECTOIQ ACQUISITION CORP | COM | 92243N103 | 2,394 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
VENTAS INC | COM | 92276F100 | 6,030 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
VENTAS INC | COM | 92276F100 | 4,020 | 150,000 | SH | Call | DFND | | 150,000 | 0 | 0 |
VENTAS INC | COM | 92276F100 | 16,080 | 600,000 | SH | Put | DFND | | 600,000 | 0 | 0 |
WARRIOR MET COAL INC | COM | 93627C101 | 3,134 | 295,000 | SH | | DFND | | 295,000 | 0 | 0 |
WAYFAIR INC | CL A | 94419L101 | 12,024 | 225,000 | SH | | DFND | | 225,000 | 0 | 0 |
WELLS FARGO CO NEW | COM | 949746101 | 5,166 | 180,000 | SH | | DFND | | 180,000 | 0 | 0 |
WILLIAMS SONOMA INC | COM | 969904101 | 1,446 | 34,000 | SH | | DFND | | 34,000 | 0 | 0 |
WORLD ACCEP CORP DEL | COM | 981419104 | 1,005 | 18,400 | SH | | DFND | | 18,400 | 0 | 0 |
ZAFGEN INC | COM | 98885E103 | 2,025 | 2,630,368 | SH | | DFND | | 2,630,368 | 0 | 0 |
ZOGENIX INC | COM NEW | 98978L204 | 2,597 | 105,000 | SH | | DFND | | 105,000 | 0 | 0 |