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 |
AIR METHODS CORP | PUT | 009128957 | 1,450 | 2,900 | SH | Put | DFND | 02, 03 | 2,900 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 416 | 3,200 | SH | DFND | 01, 03 | 3,200 | 0 | 0 | |
AIR PRODS & CHEMS INC | COM | 009158106 | 10,478 | 80,531 | SH | DFND | 3 | 0 | 80,531 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 20,352 | 1,323,308 | SH | DFND | 01, 03 | 1,323,308 | 0 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 88,730 | 5,769,184 | SH | DFND | 02, 03 | 5,769,184 | 0 | 0 | |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 33,552 | 2,181,534 | SH | DFND | 3 | 0 | 2,181,534 | 0 | |
APOLLO GLOBAL MGMT LLC | CL A SHS | 037612306 | 1,501 | 98,878 | SH | DFND | 3 | 0 | 98,878 | 0 | |
BALL CORP | COM | 058498106 | 6,120 | 84,141 | SH | DFND | 3 | 0 | 84,141 | 0 | |
BALL CORP | CALL | 058498906 | 849 | 2,021 | SH | Call | DFND | 01, 03 | 2,021 | 0 | 0 |
BALL CORP | CALL | 058498906 | 3,450 | 8,214 | SH | Call | DFND | 02, 03 | 8,214 | 0 | 0 |
BALL CORP | CALL | 058498906 | 782 | 1,862 | SH | Call | DFND | 3 | 0 | 1,862 | 0 |
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 1,551 | 74,525 | SH | DFND | 01, 03 | 74,525 | 0 | 0 | |
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 9,050 | 434,880 | SH | DFND | 02, 03 | 434,880 | 0 | 0 | |
CEDAR FAIR L P | DEPOSITRY UNIT | 150185106 | 2,267 | 40,591 | SH | DFND | 3 | 0 | 40,591 | 0 | |
CHINA PHARMA HLDGS INC | COM | 16941T104 | 31 | 200,000 | SH | DFND | 01, 03 | 200,000 | 0 | 0 | |
CHINA TECHFAITH WIRLS COMM T | SPONSORED ADR | 169424108 | 708 | 963,014 | SH | DFND | 01, 03 | 963,014 | 0 | 0 | |
CHINA XD PLASTICS CO LTD | COM | 16948F107 | 3,073 | 695,274 | SH | DFND | 01, 03 | 695,274 | 0 | 0 | |
CHINA XD PLASTICS CO LTD | COM | 16948F107 | 6,155 | 1,392,494 | SH | DFND | 02, 03 | 1,392,494 | 0 | 0 | |
CHINA XD PLASTICS CO LTD | COM | 16948F107 | 2,197 | 497,060 | SH | DFND | 3 | 0 | 497,060 | 0 | |
CHIPMOS TECH BERMUDA LTD | SHS | G2110R114 | 1,368 | 69,110 | SH | DFND | 01, 03 | 69,110 | 0 | 0 | |
CHIPMOS TECH BERMUDA LTD | SHS | G2110R114 | 2,343 | 118,315 | SH | DFND | 3 | 0 | 118,315 | 0 | |
CONSTELLATION BRANDS INC | CL A | 21036P108 | 3,628 | 25,473 | SH | DFND | 3 | 0 | 25,473 | 0 | |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 5,627 | 162,969 | SH | DFND | 01, 03 | 162,969 | 0 | 0 | |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 23,056 | 667,723 | SH | DFND | 02, 03 | 667,723 | 0 | 0 | |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 8,693 | 251,752 | SH | DFND | 3 | 0 | 251,752 | 0 | |
COVANTA HLDG CORP | COM | 22282E102 | 1,239 | 80,008 | SH | DFND | 01, 03 | 80,008 | 0 | 0 | |
DESTINATION XL GROUP INC | COM | 25065K104 | 9,906 | 1,794,615 | SH | DFND | 01, 03 | 1,794,615 | 0 | 0 | |
DESTINATION XL GROUP INC | COM | 25065K104 | 17,844 | 3,232,536 | SH | DFND | 02, 03 | 3,232,536 | 0 | 0 | |
DESTINATION XL GROUP INC | COM | 25065K104 | 6,586 | 1,193,134 | SH | DFND | 3 | 0 | 1,193,134 | 0 | |
DICKS SPORTING GOODS INC | COM | 253393102 | 19,029 | 538,296 | SH | DFND | 01, 03 | 538,296 | 0 | 0 | |
DICKS SPORTING GOODS INC | COM | 253393102 | 78,266 | 2,214,041 | SH | DFND | 02, 03 | 2,214,041 | 0 | 0 | |
DICKS SPORTING GOODS INC | COM | 253393102 | 30,034 | 849,630 | SH | DFND | 3 | 0 | 849,630 | 0 | |
DOLLAR TREE INC | COM | 256746108 | 1,104 | 14,291 | SH | DFND | 3 | 0 | 14,291 | 0 | |
DOMINION DIAMOND CORP | COM | 257287102 | 4,339 | 424,126 | SH | DFND | 01, 03 | 424,126 | 0 | 0 | |
DOMINION DIAMOND CORP | COM | 257287102 | 5,884 | 575,217 | SH | DFND | 3 | 0 | 575,217 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 2,057 | 85,161 | SH | DFND | 01, 03 | 85,161 | 0 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 7,079 | 293,016 | SH | DFND | 02, 03 | 293,016 | 0 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 2,679 | 110,873 | SH | DFND | 3 | 0 | 110,873 | 0 | |
GRACE W R & CO DEL NEW | COM | 38388F108 | 3,415 | 34,286 | SH | DFND | 01, 03 | 34,286 | 0 | 0 | |
GRACE W R & CO DEL NEW | COM | 38388F108 | 13,984 | 140,416 | SH | DFND | 02, 03 | 140,416 | 0 | 0 | |
GRACE W R & CO DEL NEW | COM | 38388F108 | 5,262 | 52,835 | SH | DFND | 3 | 0 | 52,835 | 0 | |
GULF RESOURCES INC | COM PAR $0.0005 | 40251W309 | 1,085 | 596,149 | SH | DFND | 01, 03 | 596,149 | 0 | 0 | |
HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 17,154 | 787,584 | SH | DFND | 01, 03 | 787,584 | 0 | 0 | |
HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 88,296 | 4,053,997 | SH | DFND | 02, 03 | 4,053,997 | 0 | 0 | |
HOUGHTON MIFFLIN HARCOURT CO | COM | 44157R109 | 30,609 | 1,405,375 | SH | DFND | 3 | 0 | 1,405,375 | 0 | |
ISHARES TR | RUS MID-CAP ETF | 464287499 | 34,700 | 216,631 | SH | DFND | 3 | 0 | 216,631 | 0 | |
ISHARES TR | PUT | 464287955 | 2,070 | 4,400 | SH | Put | DFND | 02, 03 | 4,400 | 0 | 0 |
ISHARES TR | RUSSELL 3000 ETF | 464287689 | 14,000 | 116,366 | SH | DFND | 01, 03 | 116,366 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 3,151 | 527,873 | SH | DFND | 01, 03 | 527,873 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 8,073 | 1,352,227 | SH | DFND | 02, 03 | 1,352,227 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 2,982 | 499,571 | SH | DFND | 3 | 0 | 499,571 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 6,096 | 490,782 | SH | DFND | 01, 03 | 490,782 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 11,541 | 929,261 | SH | DFND | 02, 03 | 929,261 | 0 | 0 | |
LADDER CAP CORP | CL A | 505743104 | 7,726 | 622,059 | SH | DFND | 3 | 0 | 622,059 | 0 | |
LEXMARK INTL NEW | CL A | 529771107 | 923 | 28,451 | SH | DFND | 3 | 0 | 28,451 | 0 | |
LEXMARK INTL NEW | CALL | 529771907 | 231 | 1,709 | SH | Call | DFND | 01, 03 | 1,709 | 0 | 0 |
LEXMARK INTL NEW | CALL | 529771907 | 909 | 6,730 | SH | Call | DFND | 02, 03 | 6,730 | 0 | 0 |
LEXMARK INTL NEW | CALL | 529771907 | 215 | 1,593 | SH | Call | DFND | 3 | 0 | 1,593 | 0 |
LIONBRIDGE TECHNOLOGIES INC | COM | 536252109 | 6,823 | 1,389,707 | SH | DFND | 01, 03 | 1,389,707 | 0 | 0 | |
LIONBRIDGE TECHNOLOGIES INC | COM | 536252109 | 24,535 | 4,996,985 | SH | DFND | 02, 03 | 4,996,985 | 0 | 0 | |
LIONBRIDGE TECHNOLOGIES INC | COM | 536252109 | 7,823 | 1,593,302 | SH | DFND | 3 | 0 | 1,593,302 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 6,099 | 268,434 | SH | DFND | 01, 03 | 268,434 | 0 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 28,755 | 1,265,642 | SH | DFND | 02, 03 | 1,265,642 | 0 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 9,882 | 434,957 | SH | DFND | 3 | 0 | 434,957 | 0 | |
MICROSTRATEGY INC | CL A NEW | 594972408 | 14,473 | 80,722 | SH | DFND | 01, 03 | 80,722 | 0 | 0 | |
MICROSTRATEGY INC | CL A NEW | 594972408 | 66,397 | 370,335 | SH | DFND | 02, 03 | 370,335 | 0 | 0 | |
MICROSTRATEGY INC | CL A NEW | 594972408 | 24,641 | 137,436 | SH | DFND | 3 | 0 | 137,436 | 0 | |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 4,809 | 81,921 | SH | DFND | 01, 03 | 81,921 | 0 | 0 | |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 22,945 | 390,886 | SH | DFND | 02, 03 | 390,886 | 0 | 0 | |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 8,066 | 137,415 | SH | DFND | 3 | 0 | 137,415 | 0 | |
OFFICE DEPOT INC | COM | 676220106 | 2,710 | 480,454 | SH | DFND | 01, 03 | 480,454 | 0 | 0 | |
OFFICE DEPOT INC | COM | 676220106 | 13,156 | 2,332,567 | SH | DFND | 02, 03 | 2,332,567 | 0 | 0 | |
OFFICE DEPOT INC | COM | 676220106 | 4,433 | 785,909 | SH | DFND | 3 | 0 | 785,909 | 0 | |
QKL STORES INC | COM PAR $0.001 | 74732Y303 | 13 | 19,244 | SH | DFND | 01, 03 | 19,244 | 0 | 0 | |
SEMLER SCIENTIFIC INC | COM | 81684M104 | 1,275 | 497,864 | SH | DFND | 01, 03 | 497,864 | 0 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 1,669 | 51,300 | SH | DFND | 01, 03 | 51,300 | 0 | 0 | |
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 1,908 | 58,646 | SH | DFND | 3 | 0 | 58,646 | 0 | |
SMART & FINAL STORES INC | COM | 83190B101 | 6,833 | 375,237 | SH | DFND | 01, 03 | 375,237 | 0 | 0 | |
SMART & FINAL STORES INC | COM | 83190B101 | 37,829 | 2,077,383 | SH | DFND | 02, 03 | 2,077,383 | 0 | 0 | |
SMART & FINAL STORES INC | COM | 83190B101 | 12,237 | 671,982 | SH | DFND | 3 | 0 | 671,982 | 0 | |
SPDR S&P 500 ETF TR | PUT | 78462F953 | 766 | 1,600 | SH | Put | DFND | 02, 03 | 1,600 | 0 | 0 |
STARWOOD PPTY TR INC | COM | 85571B105 | 21,398 | 1,040,737 | SH | DFND | 01, 03 | 1,040,737 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 11,086 | 539,181 | SH | DFND | 02, 03 | 539,181 | 0 | 0 | |
STARWOOD PPTY TR INC | COM | 85571B105 | 30,413 | 1,479,254 | SH | DFND | 3 | 0 | 1,479,254 | 0 | |
SUPERVALU INC | COM | 868536103 | 9,383 | 1,383,854 | SH | DFND | 01, 03 | 1,383,854 | 0 | 0 | |
SUPERVALU INC | COM | 868536103 | 41,889 | 6,178,264 | SH | DFND | 02, 03 | 6,178,264 | 0 | 0 | |
SUPERVALU INC | COM | 868536103 | 15,242 | 2,248,061 | SH | DFND | 3 | 0 | 2,248,061 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 9,991 | 329,746 | SH | DFND | 01, 03 | 329,746 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 41,063 | 1,355,218 | SH | DFND | 02, 03 | 1,355,218 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 15,386 | 507,783 | SH | DFND | 3 | 0 | 507,783 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 12,127 | 184,750 | SH | DFND | 01, 03 | 184,750 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 49,648 | 756,367 | SH | DFND | 02, 03 | 756,367 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 18,707 | 284,988 | SH | DFND | 3 | 0 | 284,988 | 0 | |
UNITED CONTL HLDGS INC | COM | 910047109 | 5,176 | 90,327 | SH | DFND | 01, 03 | 90,327 | 0 | 0 | |
UNITED CONTL HLDGS INC | COM | 910047109 | 21,198 | 369,954 | SH | DFND | 02, 03 | 369,954 | 0 | 0 | |
UNITED CONTL HLDGS INC | COM | 910047109 | 6,768 | 118,117 | SH | DFND | 3 | 0 | 118,117 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 8,014 | 78,839 | SH | DFND | 01, 03 | 78,839 | 0 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 32,962 | 324,274 | SH | DFND | 02, 03 | 324,274 | 0 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 12,313 | 121,135 | SH | DFND | 3 | 0 | 121,135 | 0 |