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 | 5,261 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| ADVANCED MICRO DEVICES INC | COM | 007903107 | 10,522 | 200,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 166 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| AMAZON COM INC | COM | 023135106 | 13,794 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
| AMAZON COM INC | COM | 023135106 | 6,897 | 2,500 | SH | Put | DFND | 1 | 0 | 2,500 | 0 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | 1,551 | 6,000 | SH | DFND | 1 | 0 | 6,000 | 0 | |
| APPLE INC | COM | 037833100 | 730 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| APPLE INC | COM | 037833100 | 18,240 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 3,762 | 596,196 | SH | DFND | 1 | 0 | 596,196 | 0 | |
| ARYA SCIENCES ACQUISITION CO | SHS CL A | G3165V109 | 787 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| B. RILEY FINANCIAL INC | COM | 05580M108 | 435 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| BJS WHSL CLUB HLDGS INC | COM | 05550J101 | 3,131 | 84,000 | SH | DFND | 1 | 0 | 84,000 | 0 | |
| BK OF AMERICA CORP | COM | 060505104 | 2 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
| BK OF AMERICA CORP | COM | 060505104 | 8,313 | 350,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| BOOKING HOLDINGS INC | COM | 09857L108 | 1,672 | 1,050 | SH | DFND | 1 | 0 | 1,050 | 0 | |
| CHARLES RIV LABS INTL INC | COM | 159864107 | 13,477 | 77,300 | SH | DFND | 1 | 0 | 77,300 | 0 | |
| CHARLES RIV LABS INTL INC | COM | 159864107 | 13,076 | 75,000 | SH | Put | DFND | 1 | 0 | 75,000 | 0 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 1,506 | 9,000 | SH | DFND | 1 | 0 | 9,000 | 0 | |
| CRYOPORT INC | COM PAR $0.001 | 229050307 | 923 | 30,500 | SH | DFND | 1 | 0 | 30,500 | 0 | |
| CUE BIOPHARMA INC | COM | 22978P106 | 4,718 | 192,505 | SH | DFND | 1 | 0 | 192,505 | 0 | |
| DROPBOX INC | CL A | 26210C104 | 1,524 | 70,000 | SH | DFND | 1 | 0 | 70,000 | 0 | |
| ELDORADO RESORTS INC | COM | 28470R102 | 805 | 20,100 | SH | DFND | 1 | 0 | 20,100 | 0 | |
| ELDORADO RESORTS INC | COM | 28470R102 | 801 | 20,000 | SH | Put | DFND | 1 | 0 | 20,000 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 13,402 | 737,600 | SH | DFND | 1 | 0 | 737,600 | 0 | |
| FACEBOOK INC | CL A | 30303M102 | 227 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| FACEBOOK INC | CL A | 30303M102 | 4,541 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| FIDELITY NATL INFORMATION SV | COM | 31620M106 | 2,682 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| FISERV INC | COM | 337738108 | 98 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| FISERV INC | COM | 337738108 | 4,881 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| FIVE9 INC | COM | 338307101 | 7,968 | 72,000 | SH | DFND | 1 | 0 | 72,000 | 0 | |
| FIVE9 INC | COM | 338307101 | 8,300 | 75,000 | SH | Put | DFND | 1 | 0 | 75,000 | 0 |
| GENERAL DYNAMICS CORP | COM | 369550108 | 1,046 | 7,000 | SH | DFND | 1 | 0 | 7,000 | 0 | |
| GENERAL DYNAMICS CORP | COM | 369550108 | 7,473 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| GENMARK DIAGNOSTICS INC | COM | 372309104 | 736 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| GLU MOBILE INC | COM | 379890106 | 5,099 | 550,000 | SH | DFND | 1 | 0 | 550,000 | 0 | |
| GLU MOBILE INC | COM | 379890106 | 8,807 | 950,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 109 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| GRAND CANYON ED INC | COM | 38526M106 | 3,621 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
| HEICO CORP NEW | COM | 422806109 | 7,075 | 71,000 | SH | DFND | 1 | 0 | 71,000 | 0 | |
| HEICO CORP NEW | COM | 422806109 | 9,965 | 100,000 | SH | Put | DFND | 1 | 0 | 100,000 | 0 |
| INTELLICHECK INC | COM NEW | 45817G201 | 415 | 55,000 | SH | DFND | 1 | 0 | 55,000 | 0 | |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 37,140 | 150,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 37,140 | 150,000 | SH | Put | DFND | 1 | 0 | 150,000 | 0 |
| IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 1,235 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 13,888 | 97,000 | SH | DFND | 1 | 0 | 97,000 | 0 | |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 21,477 | 150,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 21,477 | 150,000 | SH | Put | DFND | 1 | 0 | 150,000 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 18,812 | 200,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| LGI HOMES INC | COM | 50187T106 | 2,641 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| MASTERCARD INCORPORATED | CL A | 57636Q104 | 296 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| MASTERCARD INCORPORATED | CL A | 57636Q104 | 8,871 | 30,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 10,786 | 53,000 | SH | DFND | 1 | 0 | 53,000 | 0 | |
| NETFLIX INC | COM | 64110L106 | 3,640 | 8,000 | SH | DFND | 1 | 0 | 8,000 | 0 | |
| NEXPOINT REAL ESTATE FIN INC | COM | 65342V101 | 1,005 | 60,000 | SH | DFND | 1 | 0 | 60,000 | 0 | |
| NEXPOINT RESIDENTIAL TR INC | COM | 65341D102 | 2,969 | 84,000 | SH | DFND | 1 | 0 | 84,000 | 0 | |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 65341B106 | 2,615 | 51,000 | SH | DFND | 1 | 0 | 51,000 | 0 | |
| NORTHROP GRUMMAN CORP | COM | 666807102 | 1,076 | 3,500 | SH | DFND | 1 | 0 | 3,500 | 0 | |
| OKTA INC | CL A | 679295105 | 200 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| OKTA INC | CL A | 679295105 | 10,012 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| PAYCOM SOFTWARE INC | COM | 70432V102 | 3,097 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| PAYCOM SOFTWARE INC | COM | 70432V102 | 1,549 | 5,000 | SH | Put | DFND | 1 | 0 | 5,000 | 0 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 9,243 | 150,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| REATA PHARMACEUTICALS INC | CL A | 75615P103 | 4,837 | 31,000 | SH | DFND | 1 | 0 | 31,000 | 0 | |
| REGENXBIO INC | COM | 75901B107 | 516 | 14,000 | SH | DFND | 1 | 0 | 14,000 | 0 | |
| REPAY HLDGS CORP | COM CL A | 76029L100 | 1,034 | 42,000 | SH | DFND | 1 | 0 | 42,000 | 0 | |
| SALESFORCE COM INC | COM | 79466L302 | 187 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| SALESFORCE COM INC | COM | 79466L302 | 9,367 | 50,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| SCIPLAY CORP | CL A | 809087109 | 104 | 7,000 | SH | DFND | 1 | 0 | 7,000 | 0 | |
| SCIPLAY CORP | CL A | 809087109 | 4,152 | 280,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| SERVICENOW INC | COM | 81762P102 | 14,987 | 37,000 | SH | DFND | 1 | 0 | 37,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 12,152 | 30,000 | SH | Put | DFND | 1 | 0 | 30,000 | 0 |
| SMITH & WESSON BRANDS INC | COM | 831754106 | 3,013 | 140,000 | SH | DFND | 1 | 0 | 140,000 | 0 | |
| SPORTSMANS WHSE HLDGS INC | COM | 84920Y106 | 713 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| STAMPS COM INC | COM NEW | 852857200 | 184 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| STAMPS COM INC | COM NEW | 852857200 | 3,674 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| STERIS PLC | SHS USD | G8473T100 | 15 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
| STERIS PLC | SHS USD | G8473T100 | 15,344 | 100,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| TELEDYNE TECHNOLOGIES INC | COM | 879360105 | 311 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| TELEDYNE TECHNOLOGIES INC | COM | 879360105 | 7,774 | 25,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| TFF PHARMACEUTICALS INC | COM | 87241J104 | 843 | 146,310 | SH | DFND | 1 | 0 | 146,310 | 0 | |
| TYLER TECHNOLOGIES INC | COM | 902252105 | 6,764 | 19,500 | SH | DFND | 1 | 0 | 19,500 | 0 | |
| UNIQURE NV | SHS | N90064101 | 2,028 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| UPLAND SOFTWARE INC | COM | 91544A109 | 5,709 | 164,248 | SH | DFND | 1 | 0 | 164,248 | 0 | |
| USA COMPRESSION PARTNERS LP | COMUNIT LTDPAR | 90290N109 | 402 | 37,000 | SH | DFND | 1 | 0 | 37,000 | 0 | |
| VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 7,640 | 50,000 | SH | Put | DFND | 1 | 0 | 50,000 | 0 |
| VIAVI SOLUTIONS INC | COM | 925550105 | 726 | 57,000 | SH | DFND | 1 | 0 | 57,000 | 0 | |
| VISA INC | COM CL A | 92826C839 | 386 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| WALKER & DUNLOP INC | COM | 93148P102 | 51 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| WALKER & DUNLOP INC | COM | 93148P102 | 12,194 | 240,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |