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 |
| ADVANCED MICRO DEVICES INC | COM | 007903107 | 6,822 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
| ADVANCED MICRO DEVICES INC | COM | 007903107 | 13,644 | 300,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 107 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| AMAZON COM INC | COM | 023135106 | 9,749 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
| AMERICAN OUTDOOR BRANDS CORP | COM | 02874P103 | 988 | 119,000 | SH | DFND | 1 | 0 | 119,000 | 0 | |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | 1,307 | 6,000 | SH | DFND | 1 | 0 | 6,000 | 0 | |
| ANTERIX INC | COM | 03676C100 | 913 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| APACHE CORP | COM | 037411105 | 1,254 | 300,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| APACHE CORP | COM | 037411105 | 418 | 100,000 | SH | Put | DFND | 1 | 0 | 100,000 | 0 |
| APPLE INC | COM | 037833100 | 1,297 | 5,100 | SH | DFND | 1 | 0 | 5,100 | 0 | |
| APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 4,611 | 776,196 | SH | DFND | 1 | 0 | 776,196 | 0 | |
| B. RILEY FINANCIAL INC | COM | 05580M108 | 737 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
| BJS WHSL CLUB HLDGS INC | COM | 05550J101 | 1,426 | 56,000 | SH | DFND | 1 | 0 | 56,000 | 0 | |
| BOOKING HLDGS INC | COM | 09857L108 | 1,413 | 1,050 | SH | DFND | 1 | 0 | 1,050 | 0 | |
| CABOT OIL & GAS CORP | COM | 127097103 | 361 | 21,000 | SH | DFND | 1 | 0 | 21,000 | 0 | |
| CALIFORNIA RES CORP | COM NEW | 13057Q206 | 350 | 350,000 | SH | Put | DFND | 1 | 0 | 350,000 | 0 |
| CALLON PETE CO DEL | COM | 13123X102 | 712 | 1,300,000 | SH | DFND | 1 | 0 | 1,300,000 | 0 | |
| CARDTRONICS PLC | SHS CL A | G1991C105 | 628 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| CARLISLE COS INC | COM | 142339100 | 5,011 | 40,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| CARLISLE COS INC | COM | 142339100 | 5,011 | 40,000 | SH | Put | DFND | 1 | 0 | 40,000 | 0 |
| CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 1,029 | 78,100 | SH | DFND | 1 | 0 | 78,100 | 0 | |
| CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 2,107 | 160,000 | SH | Put | DFND | 1 | 0 | 160,000 | 0 |
| CHARLES RIV LABS INTL INC | COM | 159864107 | 290 | 2,300 | SH | DFND | 1 | 0 | 2,300 | 0 | |
| CHARLES RIV LABS INTL INC | COM | 159864107 | 6,311 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| CLEARWATER PAPER CORP | COM | 18538R103 | 2,094 | 96,000 | SH | DFND | 1 | 0 | 96,000 | 0 | |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 1,300 | 9,000 | SH | DFND | 1 | 0 | 9,000 | 0 | |
| CRYOPORT INC | COM PAR $0.001 | 229050307 | 521 | 30,500 | SH | DFND | 1 | 0 | 30,500 | 0 | |
| CUE BIOPHARMA INC | COM | 22978P106 | 2,980 | 210,000 | SH | DFND | 1 | 0 | 210,000 | 0 | |
| EHEALTH INC | COM | 28238P109 | 1,971 | 14,000 | SH | DFND | 1 | 0 | 14,000 | 0 | |
| ELDORADO RESORTS INC | COM | 28470R102 | 1 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
| ELDORADO RESORTS INC | COM | 28470R102 | 720 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| ELDORADO RESORTS INC | COM | 28470R102 | 720 | 50,000 | SH | Put | DFND | 1 | 0 | 50,000 | 0 |
| ENERGY TRANSFER LP | COM UT LTD PTN | 29273V100 | 1,104 | 240,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 10,548 | 737,600 | SH | DFND | 1 | 0 | 737,600 | 0 | |
| EQUITRANS MIDSTREAM CORP | COM | 294600101 | 629 | 125,000 | SH | Put | DFND | 1 | 0 | 125,000 | 0 |
| EURONAV NV ANTWERPEN | SHS | B38564108 | 2,143 | 190,000 | SH | DFND | 1 | 0 | 190,000 | 0 | |
| EURONET WORLDWIDE INC | COM | 298736109 | 86 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| EURONET WORLDWIDE INC | COM | 298736109 | 1,714 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| EURONET WORLDWIDE INC | COM | 298736109 | 1,714 | 20,000 | SH | Put | DFND | 1 | 0 | 20,000 | 0 |
| FACEBOOK INC | CL A | 30303M102 | 167 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| FACEBOOK INC | CL A | 30303M102 | 6,672 | 40,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| FIDELITY NATL INFORMATION SV | COM | 31620M106 | 2,433 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| FISERV INC | COM | 337738108 | 95 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| FISERV INC | COM | 337738108 | 7,599 | 80,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| FIVE9 INC | COM | 338307101 | 918 | 12,000 | SH | DFND | 1 | 0 | 12,000 | 0 | |
| FIVE9 INC | COM | 338307101 | 3,823 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| FRONTLINE LTD | SHS NEW | G3682E192 | 2,306 | 240,000 | SH | DFND | 1 | 0 | 240,000 | 0 | |
| GENERAL DYNAMICS CORP | COM | 369550108 | 265 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| GENERAL DYNAMICS CORP | COM | 369550108 | 2,646 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| GENMARK DIAGNOSTICS INC | COM | 372309104 | 387 | 94,000 | SH | DFND | 1 | 0 | 94,000 | 0 | |
| GLU MOBILE INC | COM | 379890106 | 2,261 | 359,400 | SH | DFND | 1 | 0 | 359,400 | 0 | |
| GRAND CANYON ED INC | COM | 38526M106 | 4,272 | 56,000 | SH | DFND | 1 | 0 | 56,000 | 0 | |
| HANOVER INS GROUP INC | COM | 410867105 | 969 | 10,700 | SH | DFND | 1 | 0 | 10,700 | 0 | |
| HEICO CORP NEW | COM | 422806109 | 75 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| HEICO CORP NEW | COM | 422806109 | 1,119 | 15,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| INFINERA CORP | COM | 45667G103 | 615 | 116,000 | SH | DFND | 1 | 0 | 116,000 | 0 | |
| INTELLICHECK INC | COM NEW | 45817G201 | 678 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 47,600 | 250,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 123,760 | 650,000 | SH | Put | DFND | 1 | 0 | 650,000 | 0 |
| IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 1,347 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 30,828 | 400,000 | SH | Put | DFND | 1 | 0 | 400,000 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 34,338 | 300,000 | SH | Put | DFND | 1 | 0 | 300,000 | 0 |
| JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 993 | 110,000 | SH | DFND | 1 | 0 | 110,000 | 0 | |
| KINDER MORGAN INC DEL | COM | 49456B101 | 3,480 | 250,000 | SH | Put | DFND | 1 | 0 | 250,000 | 0 |
| LHC GROUP INC | COM | 50187A107 | 140 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| LHC GROUP INC | COM | 50187A107 | 7,010 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| LIMELIGHT NETWORKS INC | COM | 53261M104 | 3,705 | 650,000 | SH | DFND | 1 | 0 | 650,000 | 0 | |
| MARATHON OIL CORP | COM | 565849106 | 276 | 84,000 | SH | Put | DFND | 1 | 0 | 84,000 | 0 |
| MASTERCARD INC | CL A | 57636Q104 | 242 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| MASTERCARD INC | CL A | 57636Q104 | 12,078 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 8,359 | 53,000 | SH | DFND | 1 | 0 | 53,000 | 0 | |
| NETFLIX INC | COM | 64110L106 | 3,004 | 8,000 | SH | DFND | 1 | 0 | 8,000 | 0 | |
| NETFLIX INC | COM | 64110L106 | 3,755 | 10,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| NEXPOINT REAL ESTATE FIN INC | COM | 65342V101 | 531 | 55,000 | SH | DFND | 1 | 0 | 55,000 | 0 | |
| NEXPOINT RESIDENTIAL TR INC | COM | 65341D102 | 2,118 | 84,000 | SH | DFND | 1 | 0 | 84,000 | 0 | |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 65341B106 | 43 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 65341B106 | 2,150 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 815 | 180,000 | SH | DFND | 1 | 0 | 180,000 | 0 | |
| NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 453 | 100,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| NORTHROP GRUMMAN CORP | COM | 666807102 | 1,059 | 3,500 | SH | DFND | 1 | 0 | 3,500 | 0 | |
| OCCIDENTAL PETE CORP | COM | 674599105 | 371 | 32,000 | SH | Put | DFND | 1 | 0 | 32,000 | 0 |
| OKTA INC | CL A | 679295105 | 3,668 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| OKTA INC | CL A | 679295105 | 4,646 | 38,000 | SH | Put | DFND | 1 | 0 | 38,000 | 0 |
| ON SEMICONDUCTOR CORP | COM | 682189105 | 12 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| ON SEMICONDUCTOR CORP | COM | 682189105 | 1,866 | 150,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| PAYCOM SOFTWARE INC | COM | 70432V102 | 1,010 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
| PC CONNECTION INC | COM | 69318J100 | 1,751 | 42,500 | SH | DFND | 1 | 0 | 42,500 | 0 | |
| PC CONNECTION INC | COM | 69318J100 | 2,061 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| PC CONNECTION INC | COM | 69318J100 | 2,061 | 50,000 | SH | Put | DFND | 1 | 0 | 50,000 | 0 |
| REATA PHARMACEUTICALS INC | CL A | 75615P103 | 1,443 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| REATA PHARMACEUTICALS INC | CL A | 75615P103 | 18,764 | 130,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| REGENXBIO INC | COM | 75901B107 | 453 | 14,000 | SH | DFND | 1 | 0 | 14,000 | 0 | |
| RENEWABLE ENERGY GROUP INC | COM NEW | 75972A301 | 1,027 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| REPAY HLDGS CORP | COM CL A | 76029L100 | 603 | 42,000 | SH | DFND | 1 | 0 | 42,000 | 0 | |
| SALESFORCE COM INC | COM | 79466L302 | 288 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| SALESFORCE COM INC | COM | 79466L302 | 6,479 | 45,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| SERVICENOW INC | COM | 81762P102 | 7,738 | 27,000 | SH | DFND | 1 | 0 | 27,000 | 0 | |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 103,100 | 400,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 103,100 | 400,000 | SH | Put | DFND | 1 | 0 | 400,000 | 0 |
| SPDR SER TR | S&P OILGAS EXP | 78468R556 | 354 | 10,750 | SH | DFND | 1 | 0 | 10,750 | 0 | |
| SPORTSMANS WHSE HLDGS INC | COM | 84920Y106 | 308 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| STERIS PLC | SHS USD | G8473T100 | 14 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
| STERIS PLC | SHS USD | G8473T100 | 6,999 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| STRYKER CORP | COM | 863667101 | 166 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| STRYKER CORP | COM | 863667101 | 6,660 | 40,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| TEEKAY TANKERS LTD | CL A | Y8565N300 | 734 | 33,000 | SH | DFND | 1 | 0 | 33,000 | 0 | |
| TELEDYNE TECHNOLOGIES INC | COM | 879360105 | 297 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| TELEDYNE TECHNOLOGIES INC | COM | 879360105 | 5,945 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| TFF PHARMACEUTICALS INC | COM | 87241J104 | 562 | 146,310 | SH | DFND | 1 | 0 | 146,310 | 0 | |
| TYLER TECHNOLOGIES INC | COM | 902252105 | 5,783 | 19,500 | SH | DFND | 1 | 0 | 19,500 | 0 | |
| UGI CORP NEW | COM | 902681105 | 1,067 | 40,000 | SH | Put | DFND | 1 | 0 | 40,000 | 0 |
| ULTA BEAUTY INC | COM | 90384S303 | 1,230 | 7,000 | SH | DFND | 1 | 0 | 7,000 | 0 | |
| UNIQURE NV | SHS | N90064101 | 2,610 | 55,000 | SH | DFND | 1 | 0 | 55,000 | 0 | |
| UNITED STATES OIL FUND LP | UNITS | 91232N108 | 3 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
| UNITED STATES OIL FUND LP | UNITS | 91232N108 | 33,680 | 1,000,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| UNITED STATES OIL FUND LP | UNITS | 91232N108 | 33,680 | 1,000,000 | SH | Put | DFND | 1 | 0 | 1,000,000 | 0 |
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 1,113 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| UPLAND SOFTWARE INC | COM | 91544A109 | 4,567 | 170,294 | SH | DFND | 1 | 0 | 170,294 | 0 | |
| UPLAND SOFTWARE INC | COM | 91544A109 | 1,341 | 50,000 | SH | Put | DFND | 1 | 0 | 50,000 | 0 |
| VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 11,714 | 100,000 | SH | Put | DFND | 1 | 0 | 100,000 | 0 |
| VERICEL CORP | COM | 92346J108 | 918 | 100,100 | SH | DFND | 1 | 0 | 100,100 | 0 | |
| VISA INC | COM CL A | 92826C839 | 322 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| VONAGE HLDGS CORP | COM | 92886T201 | 362 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| WALKER & DUNLOP INC | COM | 93148P102 | 1,611 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
| WILLIAMS COS INC | COM | 969457100 | 4,245 | 300,000 | SH | Put | DFND | 1 | 0 | 300,000 | 0 |