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 |
| ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 997 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
| ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 1,329 | 40,000 | SH | DFND | 0 | 0 | 40,000 | ||
| ALLERGAN PLC | SHS | G0177J108 | 20,281 | 2,500 | SH | Call | SOLE | 2,500 | 0 | 0 | |
| AMERICAN STS WTR CO | COM | 029899101 | 8,099 | 9,100 | SH | Put | SOLE | 9,100 | 0 | 0 | |
| ANALOG DEVICES INC | COM | 032654105 | 1,588 | 2,500 | SH | Put | SOLE | 2,500 | 0 | 0 | |
| ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 | 1,950 | 3,000 | SH | Put | SOLE | 3,000 | 0 | 0 | |
| ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 | 1,300 | 2,000 | SH | Put | DFND | 0 | 0 | 2,000 | |
| APOLLO GLOBAL MGMT INC | COM CL A | 03768E105 | 17,800 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
| APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 1,077 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
| APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 655 | 115,600 | SH | DFND | 0 | 0 | 115,600 | ||
| AXOS FINL INC | COM | 05465C100 | 3,028 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
| AXOS FINL INC | COM | 05465C100 | 2,422 | 80,000 | SH | DFND | 0 | 0 | 80,000 | ||
| B RILEY PRINCIPAL MERGER COR | UNIT 99/99/9999 | 05586Y205 | 1,050 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
| BLACKSTONE GROUP INC | COM CL A | 09260D107 | 5,594 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
| BLACKSTONE GROUP INC | COM CL A | 09260D107 | 3,077 | 55,000 | SH | DFND | 0 | 0 | 55,000 | ||
| BLUE APRON HLDGS INC | CL A NEW | 09523Q200 | 1,550 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
| BOEING CO | COM | 097023105 | 1,905 | 600 | SH | Put | SOLE | 600 | 0 | 0 | |
| BRIGHTHOUSE FINL INC | COM | 10922N103 | 2,550 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
| BRIGHTHOUSE FINL INC | COM | 10922N103 | 2,333 | 59,462 | SH | DFND | 0 | 0 | 59,462 | ||
| BRIGHTHOUSE FINL INC | COM | 10922N103 | 3,750 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
| BUILD A BEAR WORKSHOP | COM | 120076104 | 32 | 10,000 | SH | DFND | 0 | 0 | 10,000 | ||
| CAESARS ENTMT CORP | COM | 127686103 | 10 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
| CATERPILLAR INC DEL | COM | 149123101 | 1,073 | 1,500 | SH | Put | SOLE | 1,500 | 0 | 0 | |
| CELSIUS HOLDINGS INC | COM NEW | 15118V207 | 259 | 53,620 | SH | DFND | 0 | 0 | 53,620 | ||
| CELSIUS HOLDINGS INC | COM NEW | 15118V207 | 725 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
| CENTENNIAL RESOURCE DEV INC | CL A | 15136A102 | 2,300 | 40,000 | SH | Call | SOLE | 40,000 | 0 | 0 | |
| CENTURY CMNTYS INC | COM | 156504300 | 684 | 25,000 | SH | DFND | 0 | 0 | 25,000 | ||
| CHEESECAKE FACTORY INC | COM | 163072101 | 777 | 20,000 | SH | DFND | 0 | 0 | 20,000 | ||
| CHEESECAKE FACTORY INC | COM | 163072101 | 4,575 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
| CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 4,650 | 600 | SH | Put | SOLE | 600 | 0 | 0 | |
| CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 3,100 | 400 | SH | Put | DFND | 0 | 0 | 400 | |
| CINEMARK HOLDINGS INC | COM | 17243V102 | 1,213 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
| CISCO SYS INC | COM | 17275R102 | 1,223 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
| CONSOL ENERGY INC NEW | COM | 20854L108 | 290 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
| CONSOL ENERGY INC NEW | COM | 20854L108 | 363 | 25,000 | SH | DFND | 0 | 0 | 25,000 | ||
| CONSOL ENERGY INC NEW | COM | 20854L108 | 2,621 | 18,700 | SH | Call | SOLE | 18,700 | 0 | 0 | |
| CONSOL ENERGY INC NEW | COM | 20854L108 | 1,229 | 3,900 | SH | Call | DFND | 0 | 0 | 3,900 | |
| CONTURA ENERGY INC | COM | 21241B100 | 453 | 50,000 | SH | DFND | 0 | 0 | 50,000 | ||
| COUPA SOFTWARE INC | COM | 22266L106 | 1,035 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
| CUE BIOPHARMA INC | COM | 22978P106 | 873 | 55,000 | SH | SOLE | 55,000 | 0 | 0 | ||
| CUE BIOPHARMA INC | COM | 22978P106 | 596 | 37,500 | SH | DFND | 0 | 0 | 37,500 | ||
| EHEALTH INC | COM | 28238P109 | 3,603 | 37,500 | SH | SOLE | 37,500 | 0 | 0 | ||
| EHEALTH INC | COM | 28238P109 | 2,114 | 22,000 | SH | DFND | 0 | 0 | 22,000 | ||
| EHEALTH INC | COM | 28238P109 | 78,368 | 19,700 | SH | Call | SOLE | 19,700 | 0 | 0 | |
| EHEALTH INC | COM | 28238P109 | 18,738 | 4,000 | SH | Call | DFND | 0 | 0 | 4,000 | |
| EQT CORP | COM | 26884L109 | 850 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
| EVOLUS INC | COM | 30052C107 | 880 | 72,300 | SH | SOLE | 72,300 | 0 | 0 | ||
| EVOLUS INC | COM | 30052C107 | 243 | 20,000 | SH | DFND | 0 | 0 | 20,000 | ||
| EXACT SCIENCES CORP | COM | 30063P105 | 16,443 | 11,000 | SH | Put | SOLE | 11,000 | 0 | 0 | |
| FIAT CHRYSLER AUTOMOBILES N | SHS | N31738102 | 2,875 | 25,000 | SH | Call | SOLE | 25,000 | 0 | 0 | |
| FIRST INTERNET BANCORP | COM | 320557101 | 2,079 | 87,683 | SH | SOLE | 87,683 | 0 | 0 | ||
| FIRST INTERNET BANCORP | COM | 320557101 | 1,660 | 70,000 | SH | DFND | 0 | 0 | 70,000 | ||
| FRONT YD RESIDENTIAL CORP | COM | 35904G107 | 503 | 40,771 | SH | SOLE | 40,771 | 0 | 0 | ||
| FRONT YD RESIDENTIAL CORP | COM | 35904G107 | 617 | 50,000 | SH | DFND | 0 | 0 | 50,000 | ||
| GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 494 | 85,515 | SH | DFND | 0 | 0 | 85,515 | ||
| GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 376 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
| GENERAL ELECTRIC CO | COM | 369604103 | 862 | 31,500 | SH | Put | SOLE | 31,500 | 0 | 0 | |
| GENERAL MLS INC | COM | 370334104 | 8,791 | 14,500 | SH | Put | SOLE | 14,500 | 0 | 0 | |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 | 10,038 | 2,500 | SH | Call | SOLE | 2,500 | 0 | 0 | |
| GRAFTECH INTL LTD | COM | 384313508 | 264 | 22,741 | SH | SOLE | 22,741 | 0 | 0 | ||
| GRAFTECH INTL LTD | COM | 384313508 | 755 | 65,000 | SH | DFND | 0 | 0 | 65,000 | ||
| GRAFTECH INTL LTD | COM | 384313508 | 4,050 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
| GW PHARMACEUTICALS PLC | ADS | 36197T103 | 11,636 | 800 | SH | Put | SOLE | 800 | 0 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 16,552 | 68,900 | SH | Call | SOLE | 68,900 | 0 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 9,154 | 474,568 | SH | DFND | 0 | 0 | 474,568 | ||
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 14,702 | 762,141 | SH | SOLE | 762,141 | 0 | 0 | ||
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 2,486 | 1,500 | SH | Call | SOLE | 1,500 | 0 | 0 | |
| ISHARES TR | S&P 100 ETF | 464287101 | 2,891 | 4,600 | SH | Put | SOLE | 4,600 | 0 | 0 | |
| ISHARES TR | S&P 100 ETF | 464287101 | 1,694 | 1,400 | SH | Put | DFND | 0 | 0 | 1,400 | |
| ISHARES TR | S&P 100 ETF | 464287101 | 1,816 | 11,000 | SH | Put | SOLE | 11,000 | 0 | 0 | |
| KKR & CO INC | CL A | 48251W104 | 3,938 | 135,000 | SH | DFND | 0 | 0 | 135,000 | ||
| KKR & CO INC | CL A | 48251W104 | 6,709 | 230,000 | SH | SOLE | 230,000 | 0 | 0 | ||
| LEGACY HOUSING CORP | COM | 52472M101 | 3,110 | 186,908 | SH | SOLE | 186,908 | 0 | 0 | ||
| LEGACY HOUSING CORP | COM | 52472M101 | 1,974 | 118,641 | SH | DFND | 0 | 0 | 118,641 | ||
| LIVEPERSON INC | COM | 538146101 | 7,000 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
| MACERICH CO | COM | 554382101 | 269 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
| MACERICH CO | COM | 554382101 | 1,550 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
| MACQUARIE INFRASTRUCTURE COR | COM | 55608B105 | 1,775 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
| MAGELLAN HEALTH INC | COM NEW | 559079207 | 1,565 | 20,000 | SH | DFND | 0 | 0 | 20,000 | ||
| MAGELLAN HEALTH INC | COM NEW | 559079207 | 1,956 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
| MANHATTAN ASSOCS INC | COM | 562750109 | 226 | 400 | SH | Put | DFND | 0 | 0 | 400 | |
| MANHATTAN ASSOCS INC | COM | 562750109 | 1,039 | 2,600 | SH | Put | SOLE | 2,600 | 0 | 0 | |
| MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 813 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
| MASTERCRAFT BOAT HLDGS INC | COM | 57637H103 | 788 | 50,000 | SH | DFND | 0 | 0 | 50,000 | ||
| MASTERCRAFT BOAT HLDGS INC | COM | 57637H103 | 315 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
| MCDONALDS CORP | COM | 580135101 | 343 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
| MORGAN STANLEY | COM NEW | 617446448 | 1,022 | 20,000 | SH | DFND | 0 | 0 | 20,000 | ||
| MORGAN STANLEY | COM NEW | 617446448 | 22,400 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
| MORGAN STANLEY | COM NEW | 617446448 | 767 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 1,082 | 18,200 | SH | Call | SOLE | 18,200 | 0 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 479 | 128,768 | SH | SOLE | 128,768 | 0 | 0 | ||
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 666 | 179,019 | SH | DFND | 0 | 0 | 179,019 | ||
| NEWMARK GROUP INC | CL A | 65158N102 | 673 | 50,000 | SH | DFND | 0 | 0 | 50,000 | ||
| NEWMARK GROUP INC | CL A | 65158N102 | 5,750 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
| NEWMARK GROUP INC | CL A | 65158N102 | 404 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
| OASIS MIDSTREAM PARTNERS LP | COM UNITS REPS | 67420T206 | 664 | 40,000 | SH | DFND | 0 | 0 | 40,000 | ||
| ORACLE CORP | COM | 68389X105 | 3,625 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
| PAR TECHNOLOGY CORP | COM | 698884103 | 11,747 | 382,141 | SH | SOLE | 382,141 | 0 | 0 | ||
| PAR TECHNOLOGY CORP | COM | 698884103 | 8,342 | 271,359 | SH | DFND | 0 | 0 | 271,359 | ||
| PEABODY ENERGY CORP NEW | COM | 704551100 | 275 | 30,000 | SH | Call | SOLE | 30,000 | 0 | 0 | |
| PIERIS PHARMACEUTICALS INC | COM | 720795103 | 290 | 80,000 | SH | DFND | 0 | 0 | 80,000 | ||
| PIERIS PHARMACEUTICALS INC | COM | 720795103 | 253 | 70,000 | SH | SOLE | 70,000 | 0 | 0 | ||
| POWER INTEGRATIONS INC | COM | 739276103 | 443 | 1,500 | SH | Put | SOLE | 1,500 | 0 | 0 | |
| PROCTER & GAMBLE CO | COM | 742718109 | 538 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
| QUAKER CHEM CORP | COM | 747316107 | 6,605 | 2,000 | SH | Put | SOLE | 2,000 | 0 | 0 | |
| REALOGY HLDGS CORP | COM | 75605Y106 | 14,350 | 40,000 | SH | Call | SOLE | 40,000 | 0 | 0 | |
| RETAIL PPTYS AMER INC | CL A | 76131V202 | 1,206 | 90,000 | SH | DFND | 0 | 0 | 90,000 | ||
| RETAIL PPTYS AMER INC | CL A | 76131V202 | 1,340 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
| RETAIL PPTYS AMER INC | CL A | 76131V202 | 1,125 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
| REVANCE THERAPEUTICS INC | COM | 761330109 | 243 | 15,000 | SH | DFND | 0 | 0 | 15,000 | ||
| REVANCE THERAPEUTICS INC | COM | 761330109 | 487 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
| RIMINI STR INC DEL | COM | 76674Q107 | 2,933 | 755,885 | SH | SOLE | 755,885 | 0 | 0 | ||
| RIMINI STR INC DEL | COM | 76674Q107 | 2,234 | 575,885 | SH | DFND | 0 | 0 | 575,885 | ||
| ROSETTA STONE INC | COM | 777780107 | 12,884 | 710,239 | SH | SOLE | 710,239 | 0 | 0 | ||
| ROSETTA STONE INC | COM | 777780107 | 9,098 | 501,564 | SH | DFND | 0 | 0 | 501,564 | ||
| ROSETTA STONE INC | COM | 777780107 | 3,164 | 70,300 | SH | Call | SOLE | 70,300 | 0 | 0 | |
| ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | 225 | 2,000 | SH | Put | SOLE | 2,000 | 0 | 0 | |
| SAFEGUARD SCIENTIFICS INC | COM NEW | 786449207 | 1,098 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
| SAFEGUARD SCIENTIFICS INC | COM NEW | 786449207 | 504 | 45,944 | SH | DFND | 0 | 0 | 45,944 | ||
| SILICON LABORATORIES INC | COM | 826919102 | 505 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
| SMITH A O CORP | COM | 831865209 | 3,875 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
| SPOTIFY TECHNOLOGY S A | SHS | L8681T102 | 1,035 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
| SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 2,456 | 40,000 | SH | DFND | 0 | 0 | 40,000 | ||
| SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 3,531 | 57,500 | SH | SOLE | 57,500 | 0 | 0 | ||
| SUNCOKE ENERGY INC | COM | 86722A103 | 312 | 50,000 | SH | DFND | 0 | 0 | 50,000 | ||
| TANGER FACTORY OUTLET CTRS I | COM | 875465106 | 368 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
| TARGET CORP | COM | 87612E106 | 641 | 5,000 | SH | DFND | 0 | 0 | 5,000 | ||
| TARGET CORP | COM | 87612E106 | 74,406 | 12,500 | SH | Call | SOLE | 12,500 | 0 | 0 | |
| TEEKAY OFFSHORE PARTNERS L P | PARTNERSHIP UN | Y8565J101 | 575 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
| TESLA INC | COM | 88160R101 | 3,039 | 800 | SH | Put | DFND | 0 | 0 | 800 | |
| TESLA INC | COM | 88160R101 | 19,745 | 39,500 | SH | Put | SOLE | 39,500 | 0 | 0 | |
| TEXAS INSTRS INC | COM | 882508104 | 5,688 | 2,500 | SH | Put | SOLE | 2,500 | 0 | 0 | |
| THOR INDS INC | COM | 885160101 | 438 | 400 | SH | Call | DFND | 0 | 0 | 400 | |
| THOR INDS INC | COM | 885160101 | 19,907 | 10,600 | SH | Call | SOLE | 10,600 | 0 | 0 | |
| TRANSOCEAN LTD | REG SHS | H8817H100 | 213 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
| TRUECAR INC | COM | 89785L107 | 5,720 | 12,000 | SH | Put | SOLE | 12,000 | 0 | 0 | |
| UBER TECHNOLOGIES INC | COM | 90353T100 | 25 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
| UNIQURE NV | SHS | N90064101 | 8,599 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
| UNIQURE NV | SHS | N90064101 | 4,335 | 60,497 | SH | DFND | 0 | 0 | 60,497 | ||
| UNIQURE NV | SHS | N90064101 | 2,403 | 3,500 | SH | Call | SOLE | 3,500 | 0 | 0 | |
| UNITED PARCEL SERVICE INC | CL B | 911312106 | 7,523 | 4,000 | SH | Put | SOLE | 4,000 | 0 | 0 | |
| VALARIS PLC | SHS CLASS A | G9402V109 | 4,863 | 12,500 | SH | Put | SOLE | 12,500 | 0 | 0 | |
| VERSO CORP | CL A | 92531L207 | 1,533 | 85,000 | SH | DFND | 0 | 0 | 85,000 | ||
| VERSO CORP | CL A | 92531L207 | 1,803 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
| VIPER ENERGY PARTNERS LP | COM UNT RP INT | 92763M105 | 247 | 10,000 | SH | DFND | 0 | 0 | 10,000 | ||
| WPX ENERGY INC | COM | 98212B103 | 6,575 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
| ZILLOW GROUP INC | CL A | 98954M101 | 7,200 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
