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 |
ADIENT PLC | ORD SHS | G0084W101 | 19,763 | 1,203,588 | SH | DFND | 1,203,588 | 0 | 0 | ||
ADMA BIOLOGICS INC | COM | 000899104 | 5,860 | 2,000,000 | SH | DFND | 2,000,000 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 16,844 | 3,650,000 | SH | DFND | 3,650,000 | 0 | 0 | ||
ALDEYRA THERAPEUTICS INC | COM | 01438T106 | 688 | 165,000 | SH | DFND | 165,000 | 0 | 0 | ||
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 15,552 | 105,000 | SH | DFND | 105,000 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 17,815 | 453,860 | SH | DFND | 453,860 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 33,105 | 12,000 | SH | DFND | 12,000 | 0 | 0 | ||
AMCI ACQUISITION CORP | *W EXP 05/20/202 | 00165R119 | 109 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
ANGI HOMESERVICES INC | COM CL A | 00183L102 | 12,754 | 1,049,673 | SH | DFND | 1,049,673 | 0 | 0 | ||
APPLIED GENETIC TECHNOLOGIES | COM | 03820J100 | 2,687 | 485,000 | SH | DFND | 485,000 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 2,000 | 316,887 | SH | DFND | 316,887 | 0 | 0 | ||
ARCTURUS THERAPEUTICS HLDG I | COM | 03969T109 | 788 | 16,855 | SH | DFND | 16,855 | 0 | 0 | ||
ARDELYX INC | COM | 039697107 | 14,907 | 2,154,184 | SH | DFND | 2,154,184 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | *W EXP 10/10/202 | G3165V125 | 2,700 | 500,000 | SH | DFND | 500,000 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | SHS CL A | G3165V109 | 16,527 | 1,050,000 | SH | DFND | 1,050,000 | 0 | 0 | ||
ARYA SCIENCES ACQUISTION CO | UNIT 06/09/2027 | G31655114 | 8,117 | 700,000 | SH | DFND | 700,000 | 0 | 0 | ||
AT HOME GROUP INC | COM | 04650Y100 | 6,235 | 960,793 | SH | DFND | 960,793 | 0 | 0 | ||
ATARA BIOTHERAPEUTICS INC | COM | 046513107 | 3,218 | 220,848 | SH | DFND | 220,848 | 0 | 0 | ||
AVEO PHARMACEUTICALS INC | COM NEW | 053588307 | 1,730 | 335,880 | SH | DFND | 335,880 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 11,674 | 510,000 | SH | Put | DFND | 510,000 | 0 | 0 | |
BARRICK GOLD CORPORATION | COM | 067901108 | 15,126 | 561,477 | SH | DFND | 561,477 | 0 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 8,926 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
BIG ROCK PARTNERS ACQUISI CO | *W EXP 12/01/202 | 089482111 | 37 | 82,500 | SH | DFND | 82,500 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 46 | 165,000 | SH | DFND | 165,000 | 0 | 0 | ||
BIOCERES CROP SOLUTIONS CORP | *W EXP 03/14/202 | G1117K106 | 42 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
BIOMX INC | *W EXP 10/16/202 | 09090D111 | 40 | 83,084 | SH | DFND | 83,084 | 0 | 0 | ||
BONANZA CREEK ENERGY INC | COM NEW | 097793400 | 185 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
BROOGE ENERGY LTD | *W EXP 12/20/202 | G1611B115 | 158 | 321,684 | SH | DFND | 321,684 | 0 | 0 | ||
CAPITAL ONE FINL CORP | COM | 14040H105 | 30,770 | 491,617 | SH | DFND | 491,617 | 0 | 0 | ||
CARDLYTICS INC | COM | 14161W105 | 59,946 | 856,606 | SH | DFND | 856,606 | 0 | 0 | ||
CARGURUS INC | COM CL A | 141788109 | 5,172 | 204,000 | SH | DFND | 204,000 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 165,085 | 1,373,423 | SH | DFND | 1,373,423 | 0 | 0 | ||
CELLECTIS S A | SPONS ADS | 15117K103 | 3,560 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
CHIMERIX INC | COM | 16934W106 | 1,023 | 330,061 | SH | DFND | 330,061 | 0 | 0 | ||
CIMPRESS PLC | SHS EURO | G2143T103 | 6,675 | 87,436 | SH | DFND | 87,436 | 0 | 0 | ||
COCA COLA CO | COM | 191216100 | 8,936 | 200,000 | SH | Put | DFND | 200,000 | 0 | 0 | |
CONTRAFECT CORP | COM NEW | 212326300 | 3,834 | 600,000 | SH | DFND | 600,000 | 0 | 0 | ||
CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 2,849 | 962,302 | SH | DFND | 962,302 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 7,843 | 320,000 | SH | DFND | 320,000 | 0 | 0 | ||
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 6,341 | 1,236,000 | SH | DFND | 1,236,000 | 0 | 0 | ||
DIAGEO P L C | SPON ADR NEW | 25243Q205 | 25,534 | 190,000 | SH | DFND | 190,000 | 0 | 0 | ||
DIAMOND S SHIPPING INC | COM | Y20676105 | 3,156 | 395,000 | SH | DFND | 395,000 | 0 | 0 | ||
DIANA SHIPPING INC | COM | Y2066G104 | 140 | 93,229 | SH | DFND | 93,229 | 0 | 0 | ||
DIRTT ENVIRONMENTAL SOLUTION | COM | 25490H106 | 7,875 | 6,518,000 | SH | DFND | 6,518,000 | 0 | 0 | ||
DUPONT DE NEMOURS INC | COM | 26614N102 | 2,657 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 20,706 | 2,156,839 | SH | DFND | 2,156,839 | 0 | 0 | ||
ENERGY RECOVERY INC | COM | 29270J100 | 3,950 | 520,000 | SH | DFND | 520,000 | 0 | 0 | ||
ENOVA INTL INC | COM | 29357K103 | 17,072 | 1,148,058 | SH | DFND | 1,148,058 | 0 | 0 | ||
EURONAV NV ANTWERPEN | SHS | B38564108 | 1,321 | 162,000 | SH | DFND | 162,000 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 15 | 143,626 | SH | DFND | 143,626 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 7,720 | 225,000 | SH | DFND | 225,000 | 0 | 0 | ||
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 9,269 | 1,110,000 | SH | DFND | 1,110,000 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 536 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
FORUM MERGER II CORP | *W EXP 09/30/202 | 34986F111 | 1,410 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
FRONTLINE LTD | SHS NEW | G3682E192 | 495 | 70,979 | SH | DFND | 70,979 | 0 | 0 | ||
GENCO SHIPPING & TRADING LTD | SHS | Y2685T131 | 1,134 | 180,496 | SH | DFND | 180,496 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 18,975 | 750,000 | SH | Call | DFND | 750,000 | 0 | 0 | |
GLOBALSTAR INC | COM | 378973408 | 4,536 | 13,888,836 | SH | DFND | 13,888,836 | 0 | 0 | ||
GLOBALSTAR INC | NOTE 5.750% 4/0 | 378973AD3 | 356 | 519,498 | PRN | DFND | 519,498 | 0 | 0 | ||
GLRY STR NW MDIA GRUP HLDG L | *W EXP 02/13/202 | G39973113 | 9 | 225,000 | SH | DFND | 225,000 | 0 | 0 | ||
GOLAR LNG PARTNERS LP | COM UNIT LPI | Y2745C102 | 2,487 | 963,969 | SH | DFND | 963,969 | 0 | 0 | ||
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 490 | 225,000 | SH | DFND | 225,000 | 0 | 0 | ||
GRAF INDL CORP | *W EXP 12/31/202 | 384278115 | 513 | 225,000 | SH | DFND | 225,000 | 0 | 0 | ||
GREIF INC | CL B | 397624206 | 498 | 11,910 | SH | DFND | 11,910 | 0 | 0 | ||
GRUBHUB INC | COM | 400110102 | 8,142 | 115,821 | SH | DFND | 115,821 | 0 | 0 | ||
GSX TECHEDU INC | SPONSORED ADS | 36257Y109 | 17,998 | 300,000 | SH | Put | DFND | 300,000 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 2,293 | 1,625,600 | SH | Call | DFND | 1,625,600 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 1,455 | 1,032,000 | SH | Put | DFND | 1,032,000 | 0 | 0 | |
HL ACQUISITIONS CORP | *W EXP 06/21/202 | G4603R122 | 407 | 180,000 | SH | DFND | 180,000 | 0 | 0 | ||
HL ACQUISITIONS CORP | RIGHT 07/17/2023 | G4603R130 | 170 | 180,000 | SH | DFND | 180,000 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 2,167 | 2,520,000 | SH | DFND | 2,520,000 | 0 | 0 | ||
HYCROFT MINING HOLDING CORP | COM CL A | 44862P109 | 1,404 | 148,602 | SH | DFND | 148,602 | 0 | 0 | ||
HYCROFT MINING HOLDING CORP | *W EXP 02/12/202 | 44862P117 | 3,082 | 2,465,700 | SH | DFND | 2,465,700 | 0 | 0 | ||
IAC INTERACTIVECORP | COM | 44919P508 | 165,920 | 513,050 | SH | DFND | 513,050 | 0 | 0 | ||
IAMGOLD CORP | COM | 450913108 | 1,185 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
IMMUNOMEDICS INC | COM | 452907108 | 1,771 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
INSPIRED ENTMT INC | COM | 45782N108 | 2,367 | 816,325 | SH | DFND | 816,325 | 0 | 0 | ||
INTL GNRL INSURANCE HLDNGS L | *W EXP 03/17/202 | G4809J114 | 153 | 450,000 | SH | DFND | 450,000 | 0 | 0 | ||
IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 2,745 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 2,746 | 906,224 | SH | DFND | 906,224 | 0 | 0 | ||
IRSA PROPIEDADES COMERCIALES | SPONSORED ADR | 463588103 | 1,235 | 194,165 | SH | DFND | 194,165 | 0 | 0 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 43,688 | 400,000 | SH | Put | DFND | 400,000 | 0 | 0 | |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 126 | 1,600 | SH | DFND | 1,600 | 0 | 0 | ||
ISHARES TR | U.S. REAL ES ETF | 464287739 | 394 | 5,000 | SH | Call | DFND | 5,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 3,292 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
KADMON HLDGS INC | COM | 48283N106 | 870 | 170,000 | SH | DFND | 170,000 | 0 | 0 | ||
KALEYRA INC | *W EXP 12/12/202 | 483379111 | 70 | 108,050 | SH | DFND | 108,050 | 0 | 0 | ||
KROGER CO | COM | 501044101 | 3,385 | 100,000 | SH | Call | DFND | 100,000 | 0 | 0 | |
LARIMAR THERAPEUTICS INC | COM | 517125100 | 2,829 | 220,136 | SH | DFND | 220,136 | 0 | 0 | ||
LEAP THERAPEUTICS INC | COM | 52187K101 | 1,100 | 526,466 | SH | DFND | 526,466 | 0 | 0 | ||
LEGACY ACQUISITION CORP | *W EXP 11/30/202 | 524643111 | 245 | 500,000 | SH | DFND | 500,000 | 0 | 0 | ||
LEISURE ACQUISITION CORP | *W EXP 12/05/201 | 52539T115 | 116 | 125,000 | SH | DFND | 125,000 | 0 | 0 | ||
LF CAP ACQUISITION CORP | *W EXP 06/22/202 | 50200K116 | 405 | 450,000 | SH | DFND | 450,000 | 0 | 0 | ||
MAIDEN HOLDINGS LTD | SHS | G5753U112 | 9,767 | 7,876,964 | SH | DFND | 7,876,964 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 2,350 | 925,382 | SH | DFND | 925,382 | 0 | 0 | ||
MATCH GROUP INC | COM | 57665R106 | 980 | 951,000 | SH | Put | DFND | 951,000 | 0 | 0 | |
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 336 | 400,000 | SH | DFND | 400,000 | 0 | 0 | ||
MEIRAGTX HLDGS PLC | COM | G59665102 | 5,207 | 415,874 | SH | DFND | 415,874 | 0 | 0 | ||
MENLO THERAPEUTICS INC | COM | 586858102 | 9,602 | 5,550,208 | SH | DFND | 5,550,208 | 0 | 0 | ||
METEN EDTECHX ED GROUP LTD | *W EXP 03/31/202 | G6055H106 | 70 | 125,000 | SH | DFND | 125,000 | 0 | 0 | ||
MUSTANG BIO INC | COM | 62818Q104 | 1,463 | 460,000 | SH | DFND | 460,000 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 398 | 723,700 | SH | DFND | 723,700 | 0 | 0 | ||
NAVIOS MARITIME CONTAINERS L | COM UNIT RP LP | Y62151108 | 1,810 | 2,235,000 | SH | DFND | 2,235,000 | 0 | 0 | ||
NIKOLA CORP | *W EXP 06/03/202 | 654110113 | 5,254 | 158,264 | SH | DFND | 158,264 | 0 | 0 | ||
NIKOLA CORP | COM | 654110105 | 25,333 | 375,100 | SH | Call | DFND | 375,100 | 0 | 0 | |
NIKOLA CORP | COM | 654110105 | 58,703 | 869,300 | SH | Put | DFND | 869,300 | 0 | 0 | |
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 185 | 14,400 | SH | DFND | 14,400 | 0 | 0 | ||
ON DECK CAP INC | COM | 682163100 | 1,949 | 2,713,304 | SH | DFND | 2,713,304 | 0 | 0 | ||
ONCOSEC MED INC | COM | 68234L306 | 164 | 79,935 | SH | DFND | 79,935 | 0 | 0 | ||
ORISUN ACQUISITION CORP | COM | 68632T109 | 507 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
ORISUN ACQUISITION CORP | RIGHT 05/31/2024 | 68632T125 | 15 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
ORISUN ACQUISITION CORP | *W EXP 05/31/202 | 68632T117 | 19 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
OTONOMY INC | COM | 68906L105 | 3,258 | 900,000 | SH | DFND | 900,000 | 0 | 0 | ||
PBF LOGISTICS LP | UNIT LTD PTNR | 69318Q104 | 153 | 15,663 | SH | DFND | 15,663 | 0 | 0 | ||
PENN VA CORP | COM | 70788V102 | 8,430 | 884,603 | SH | DFND | 884,603 | 0 | 0 | ||
PG&E CORP | COM | 69331C108 | 28,235 | 3,183,216 | SH | DFND | 3,183,216 | 0 | 0 | ||
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 279 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
PROVENTION BIO INC | COM | 74374N102 | 8,467 | 600,000 | SH | DFND | 600,000 | 0 | 0 | ||
ROTH CH ACQUISITION I CO | UNIT 01/28/2025 | 778675207 | 1,859 | 185,000 | SH | DFND | 185,000 | 0 | 0 | ||
SCHULTZE SPL PURP ACQUSTN CO | *W EXP 12/31/202 | 80821R117 | 387 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 1,740 | 2,000,000 | PRN | DFND | 2,000,000 | 0 | 0 | ||
SELECTA BIOSCIENCES INC | COM | 816212104 | 2,029 | 714,619 | SH | DFND | 714,619 | 0 | 0 | ||
SIERRA ONCOLOGY INC | COM NEW | 82640U404 | 1,696 | 140,156 | SH | DFND | 140,156 | 0 | 0 | ||
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 1,735 | 458,971 | SH | DFND | 458,971 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 15,062 | 1,016,371 | SH | DFND | 1,016,371 | 0 | 0 | ||
TEEKAY TANKERS LTD | CL A | Y8565N300 | 1,130 | 88,124 | SH | DFND | 88,124 | 0 | 0 | ||
TENZING ACQUISITION CORP | *W EXP 02/23/202 | G8708A108 | 94 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
TESLA INC | COM | 88160R101 | 26,995 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
TG THERAPEUTICS INC | COM | 88322Q108 | 7,758 | 398,271 | SH | DFND | 398,271 | 0 | 0 | ||
TOTTENHAM ACQUISITION I LTD | *W EXP 05/06/202 | G8959N114 | 108 | 542,000 | SH | DFND | 542,000 | 0 | 0 | ||
TOTTENHAM ACQUISITION I LTD | RIGHT 11/06/2020 | G8959N122 | 40 | 134,000 | SH | DFND | 134,000 | 0 | 0 | ||
TRACON PHARMACEUTICALS INC | COM NEW | 89237H209 | 147 | 75,000 | SH | DFND | 75,000 | 0 | 0 | ||
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 917 | 1,993,750 | SH | DFND | 1,993,750 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 21,629 | 480,000 | SH | DFND | 480,000 | 0 | 0 | ||
US ECOLOGY INC | *W EXP 10/17/202 | 91734M111 | 500 | 105,350 | SH | DFND | 105,350 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 9,155 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 5,493 | 150,000 | SH | Call | DFND | 150,000 | 0 | 0 | |
VENTAS INC | COM | 92276F100 | 21,972 | 600,000 | SH | Put | DFND | 600,000 | 0 | 0 | |
WARRIOR MET COAL INC | COM | 93627C101 | 3,771 | 245,000 | SH | DFND | 245,000 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 5,928 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 4,608 | 180,000 | SH | DFND | 180,000 | 0 | 0 | ||
WORLD ACCEP CORP DEL | COM | 981419104 | 1,206 | 18,400 | SH | DFND | 18,400 | 0 | 0 | ||
XERIS PHARMACEUTICALS INC | NOTE 5.000% 7/1 | 98422LAA5 | 10,050 | 10,000,000 | PRN | DFND | 10,000,000 | 0 | 0 | ||
ZILLOW GROUP INC | CL A | 98954M101 | 5,173 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
ZOGENIX INC | COM NEW | 98978L204 | 3,106 | 115,000 | SH | DFND | 115,000 | 0 | 0 |