The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| ADOBE SYS INC | COM | 00724F101 | 10,798 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
| ADOBE SYS INC | COM | 00724F101 | 16,197 | 60,000 | SH | Put | DFND | 1 | 0 | 60,000 | 0 |
| ADTRAN INC | COM | 00738A106 | 2,700 | 153,000 | SH | DFND | 1 | 0 | 153,000 | 0 | |
| AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 2,361 | 300,000 | SH | DFND | 1 | 0 | 300,000 | 0 | |
| ALIGN TECHNOLOGY INC | COM | 016255101 | 11,893 | 30,400 | SH | DFND | 1 | 0 | 30,400 | 0 | |
| ALIGN TECHNOLOGY INC | COM | 016255101 | 3,912 | 10,000 | SH | Put | DFND | 1 | 0 | 10,000 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 5,967 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
| AMAZON COM INC | COM | 023135106 | 17,026 | 8,500 | SH | DFND | 1 | 0 | 8,500 | 0 | |
| AMAZON COM INC | COM | 023135106 | 18,227 | 9,100 | SH | Put | DFND | 1 | 0 | 9,100 | 0 |
| APPLE INC | COM | 037833100 | 5,418 | 24,000 | SH | DFND | 1 | 0 | 24,000 | 0 | |
| ARISTA NETWORKS INC | COM | 040413106 | 1,808 | 6,800 | SH | DFND | 1 | 0 | 6,800 | 0 | |
| BARCLAYS BK PLC | IPATH S&P500 VIX | 06746L422 | 9,335 | 350,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| BOX INC | CL A | 10316T104 | 1,387 | 58,000 | SH | DFND | 1 | 0 | 58,000 | 0 | |
| CARDTRONICS PLC | SHS CL A | G1991C105 | 1,392 | 44,000 | SH | DFND | 1 | 0 | 44,000 | 0 | |
| CAREDX INC | COM | 14167L103 | 1,443 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| CENTURY CMNTYS INC | COM | 156504300 | 814 | 31,000 | SH | DFND | 1 | 0 | 31,000 | 0 | |
| CONSTELLATION BRANDS INC | CL A | 21036P108 | 2,156 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 1,703 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| ENDO INTL PLC | SHS | G30401106 | 1,683 | 100,000 | SH | Put | DFND | 1 | 0 | 100,000 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 21,191 | 737,600 | SH | DFND | 1 | 0 | 737,600 | 0 | |
| EZCORP INC | CL A NON VTG | 302301106 | 1,145 | 107,000 | SH | DFND | 1 | 0 | 107,000 | 0 | |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 424 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
| FORESTAR GROUP INC | COM | 346232101 | 1,125 | 53,055 | SH | DFND | 1 | 0 | 53,055 | 0 | |
| GLOBAL WTR RES INC | COM | 379463102 | 590 | 55,700 | SH | DFND | 1 | 0 | 55,700 | 0 | |
| GLU MOBILE INC | COM | 379890106 | 14,162 | 1,900,900 | SH | DFND | 1 | 0 | 1,900,900 | 0 | |
| GODADDY INC | CL A | 380237107 | 1,634 | 19,600 | SH | DFND | 1 | 0 | 19,600 | 0 | |
| GRAND CANYON ED INC | COM | 38526M106 | 2,369 | 21,000 | SH | DFND | 1 | 0 | 21,000 | 0 | |
| GREEN DOT CORP | CL A | 39304D102 | 1,386 | 15,600 | SH | DFND | 1 | 0 | 15,600 | 0 | |
| GRUBHUB INC | COM | 400110102 | 3,549 | 25,600 | SH | DFND | 1 | 0 | 25,600 | 0 | |
| HANGER INC | COM NEW | 41043F208 | 2,458 | 118,000 | SH | DFND | 1 | 0 | 118,000 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 15,413 | 250,000 | SH | DFND | 1 | 0 | 250,000 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 10,481 | 170,000 | SH | Put | DFND | 1 | 0 | 170,000 | 0 |
| HIGHPOINT RES CORP | COM | 43114K108 | 3,606 | 738,900 | SH | DFND | 1 | 0 | 738,900 | 0 | |
| HIGHPOINT RES CORP | COM | 43114K108 | 1,464 | 300,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| HIGHPOINT RES CORP | COM | 43114K108 | 2,440 | 500,000 | SH | Put | DFND | 1 | 0 | 500,000 | 0 |
| HORTONWORKS INC | COM | 440894103 | 1,437 | 63,000 | SH | DFND | 1 | 0 | 63,000 | 0 | |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 18,579 | 100,000 | SH | Put | DFND | 1 | 0 | 100,000 | 0 |
| ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 1,012 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 20,234 | 200,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 30,254 | 350,000 | SH | Put | DFND | 1 | 0 | 350,000 | 0 |
| LUMENTUM HLDGS INC | COM | 55024U109 | 1,876 | 31,300 | SH | DFND | 1 | 0 | 31,300 | 0 | |
| MICROCHIP TECHNOLOGY INC | COM | 595017104 | 2,738 | 34,700 | SH | DFND | 1 | 0 | 34,700 | 0 | |
| MICRON TECHNOLOGY INC | COM | 595112103 | 1,131 | 25,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 7,434 | 65,000 | SH | DFND | 1 | 0 | 65,000 | 0 | |
| MICROSOFT CORP | COM | 594918104 | 3,431 | 30,000 | SH | Put | DFND | 1 | 0 | 30,000 | 0 |
| MODEL N INC | COM | 607525102 | 1,585 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| MONOLITHIC PWR SYS INC | COM | 609839105 | 3,766 | 30,000 | SH | Put | DFND | 1 | 0 | 30,000 | 0 |
| NEOPHOTONICS CORP | COM | 64051T100 | 1,690 | 203,650 | SH | DFND | 1 | 0 | 203,650 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 1,999 | 249,900 | SH | DFND | 1 | 0 | 249,900 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 7,760 | 970,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| NETFLIX INC | COM | 64110L106 | 6,734 | 18,000 | SH | DFND | 1 | 0 | 18,000 | 0 | |
| NETFLIX INC | COM | 64110L106 | 1,871 | 5,000 | SH | Put | DFND | 1 | 0 | 5,000 | 0 |
| NOKIA CORP | SPONSORED ADR | 654902204 | 1,423 | 255,000 | SH | DFND | 1 | 0 | 255,000 | 0 | |
| NVIDIA CORP | COM | 67066G104 | 1,461 | 5,200 | SH | DFND | 1 | 0 | 5,200 | 0 | |
| PENNEY J C INC | COM | 708160106 | 116 | 70,000 | SH | Put | DFND | 1 | 0 | 70,000 | 0 |
| PERSPECTA INC | COM | 715347100 | 643 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
| PERSPECTA INC | COM | 715347100 | 643 | 25,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| PROFIRE ENERGY INC | COM | 74316X101 | 319 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| PURE ACQUISITION CORP | *W EXP 04/17/202 | 74621Q114 | 95 | 70,000 | SH | DFND | 1 | 0 | 70,000 | 0 | |
| PURE ACQUISITION CORP | CL A | 74621Q106 | 1,359 | 140,000 | SH | DFND | 1 | 0 | 140,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 7,043 | 36,000 | SH | DFND | 1 | 0 | 36,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 2,934 | 15,000 | SH | Put | DFND | 1 | 0 | 15,000 | 0 |
| TOWER SEMICONDUCTOR LTD | SHS NEW | M87915274 | 4,689 | 215,500 | SH | DFND | 1 | 0 | 215,500 | 0 | |
| TYLER TECHNOLOGIES INC | COM | 902252105 | 7,352 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| ULTA BEAUTY INC | COM | 90384S303 | 1,552 | 5,500 | SH | DFND | 1 | 0 | 5,500 | 0 | |
| UNIVERSAL STAINLESS & ALLOY | COM | 913837100 | 214 | 8,400 | SH | DFND | 1 | 0 | 8,400 | 0 | |
| UPLAND SOFTWARE INC | COM | 91544A109 | 6,139 | 190,000 | SH | DFND | 1 | 0 | 190,000 | 0 | |
| UPLAND SOFTWARE INC | COM | 91544A109 | 1,616 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| USA COMPRESSION PARTNERS LP | COMUNIT LTDPAR | 90290N109 | 1,453 | 88,000 | SH | DFND | 1 | 0 | 88,000 | 0 | |