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 PHARMACEUTICALS INC | COM | 004225108 | 6,431 | 187,055 | SH | DFND | 187,055 | 0 | 0 | ||
ACCELERON PHARMA INC | COM | 00434H108 | 12,717 | 480,437 | SH | DFND | 480,437 | 0 | 0 | ||
ADAPTIMMUNE THERAPEUTICS PLC | SPONDS ADR | 00653A107 | 6,940 | 1,360,647 | SH | DFND | 1,360,647 | 0 | 0 | ||
AGENUS INC | COM NEW | 00847G705 | 15,451 | 4,098,534 | SH | DFND | 4,098,534 | 0 | 0 | ||
AKARI THERAPEUTICS PLC | SPONSORED ADR | 00972G108 | 1,887 | 209,121 | SH | DFND | 209,121 | 0 | 0 | ||
ALLERGAN PLC | PFD CONV SER A | G0177J116 | 42,377 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 21,106 | 84,765 | SH | DFND | 84,765 | 0 | 0 | ||
AMBARELLA INC | SHS | G037AX101 | 15,733 | 287,577 | SH | DFND | 287,577 | 0 | 0 | ||
ANTERO RES CORP | COM | 03674X106 | 8,518 | 373,413 | SH | DFND | 373,413 | 0 | 0 | ||
ANTHEM INC | NOTE 2.750%10/1 | 94973VBG1 | 37,914 | 16,500,000 | PRN | DFND | 16,500,000 | 0 | 0 | ||
ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 52,044 | 16,013,540 | SH | DFND | 0 | 16,013,540 | 0 | ||
ARROWHEAD PHARMACEUTICALS IN | COM | 04280A100 | 4,729 | 2,556,256 | SH | DFND | 2,556,256 | 0 | 0 | ||
ASSEMBLY BIOSCIENCES INC | COM | 045396108 | 15,649 | 694,817 | SH | DFND | 694,817 | 0 | 0 | ||
AVEXIS INC | COM | 05366U100 | 16,754 | 220,356 | SH | DFND | 220,356 | 0 | 0 | ||
AXOVANT SCIENCES LTD | COM | G0750W104 | 1,120,500 | 75,000,000 | SH | DFND | 0 | 75,000,000 | 0 | ||
BEIGENE LTD | SPONSORED ADR | 07725L102 | 6,224 | 170,000 | SH | DFND | 170,000 | 0 | 0 | ||
BELLICUM PHARMACEUTICALS INC | COM | 079481107 | 3,711 | 300,723 | SH | DFND | 300,723 | 0 | 0 | ||
BIOGEN INC | COM | 09062X103 | 3,215 | 11,760 | SH | DFND | 11,760 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 5,137 | 58,517 | SH | DFND | 58,517 | 0 | 0 | ||
BIOVERATIV INC | COM | 09075E100 | 320 | 5,879 | SH | DFND | 5,879 | 0 | 0 | ||
BLUEBIRD BIO INC | COM | 09609G100 | 7,183 | 79,016 | SH | DFND | 79,016 | 0 | 0 | ||
CABOT OIL & GAS CORP | COM | 127097103 | 13,010 | 544,142 | SH | DFND | 544,142 | 0 | 0 | ||
CAL MAINE FOODS INC | COM NEW | 128030202 | 9,388 | 255,100 | SH | DFND | 255,100 | 0 | 0 | ||
CARMAX INC | COM | 143130102 | 24,285 | 410,089 | SH | DFND | 410,089 | 0 | 0 | ||
CASCADIAN THERAPEUTICS INC | COM NEW | 14740B606 | 3,312 | 800,000 | SH | DFND | 800,000 | 0 | 0 | ||
CTRIP COM INTL LTD | NOTE 1.250%10/1 | 22943FAD2 | 32,323 | 24,500,000 | PRN | DFND | 24,500,000 | 0 | 0 | ||
CTRIP COM INTL LTD | NOTE 1.000% 7/0 | 22943FAF7 | 14,066 | 12,650,000 | PRN | DFND | 12,650,000 | 0 | 0 | ||
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 5,391 | 1,206,051 | SH | DFND | 1,206,051 | 0 | 0 | ||
DHT HOLDINGS INC | DEBT 4.500%10/0 | 23335SAB2 | 11,190 | 11,440,000 | PRN | DFND | 11,440,000 | 0 | 0 | ||
EPIZYME INC | COM | 29428V104 | 6,096 | 355,445 | SH | DFND | 355,445 | 0 | 0 | ||
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 17,317 | 554,688 | SH | DFND | 554,688 | 0 | 0 | ||
EURONAV NV ANTWERPEN | SHS | B38564108 | 10,672 | 1,350,924 | SH | DFND | 1,350,924 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 18,823 | 81,940 | SH | DFND | 81,940 | 0 | 0 | ||
GRAY TELEVISION INC | COM | 389375106 | 10,693 | 737,454 | SH | DFND | 737,454 | 0 | 0 | ||
GULFMARK OFFSHORE INC | CL A NEW | 402629208 | 213 | 607,500 | SH | DFND | 607,500 | 0 | 0 | ||
HERBALIFE LTD | NOTE 2.000% 8/1 | 42703MAB9 | 24,030 | 25,000,000 | PRN | DFND | 25,000,000 | 0 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 11,306 | 77,000 | SH | DFND | 77,000 | 0 | 0 | ||
HUNTER MARITIME ACQUISITION | UNIT 99/99/9999 | Y37828103 | 10,400 | 1,000,000 | SH | DFND | 1,000,000 | 0 | 0 | ||
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 22,788 | 1,560,843 | SH | DFND | 1,560,843 | 0 | 0 | ||
INTEL CORP | SDCV 12/1 | 458140AD2 | 82,656 | 60,247,000 | PRN | DFND | 60,247,000 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 21,184 | 587,314 | SH | DFND | 587,314 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 6,263 | 55,380 | SH | DFND | 55,380 | 0 | 0 | ||
INTERNATIONAL SEAWAYS INC | COM | Y41053102 | 350 | 18,309 | SH | DFND | 18,309 | 0 | 0 | ||
ISHARES TR | NASDQ BIOTEC ETF | 464287556 | 68,081 | 232,145 | SH | DFND | 232,145 | 0 | 0 | ||
ISHARES TR | U.S. PFD STK ETF | 464288687 | 1,981 | 51,194 | SH | DFND | 51,194 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 1,581 | 18,014 | SH | DFND | 18,014 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 9,661 | 109,985 | SH | DFND | 109,985 | 0 | 0 | ||
LION BIOTECHNOLOGIES INC | COM | 53619R102 | 10,019 | 1,385,309 | SH | DFND | 1,385,309 | 0 | 0 | ||
MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 68,951 | 2,053,014 | SH | DFND | 2,053,014 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | SDCV 2.125%12/1 | 595017AB0 | 21,032 | 6,752,000 | PRN | DFND | 6,752,000 | 0 | 0 | ||
MYOVANT SCIENCES LTD | COM | G637AM102 | 437,096 | 37,231,342 | SH | DFND | 0 | 37,231,342 | 0 | ||
NEW YORK TIMES CO | CL A | 650111107 | 26,594 | 1,846,822 | SH | DFND | 1,846,822 | 0 | 0 | ||
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 6,595 | 806,200 | SH | Put | DFND | 806,200 | 0 | 0 | |
NORTHSTAR REALTY EUROPE CORP | COM | 66706L101 | 18,764 | 1,664,363 | SH | DFND | 1,664,363 | 0 | 0 | ||
NOVELLUS SYS INC | NOTE 2.625% 5/1 | 670008AD3 | 5,973 | 1,570,000 | PRN | DFND | 1,570,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 11,601 | 10,000,000 | PRN | DFND | 10,000,000 | 0 | 0 | ||
PALATIN TECHNOLOGIES INC | COM PAR $ .01 | 696077403 | 985 | 4,296,847 | SH | DFND | 4,296,847 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 17,319 | 402,573 | SH | DFND | 402,573 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 16,931 | 894,031 | SH | DFND | 894,031 | 0 | 0 | ||
PRICELINE GRP INC | NOTE 1.000% 3/1 | 741503AQ9 | 5,426 | 2,880,000 | PRN | DFND | 2,880,000 | 0 | 0 | ||
REGENXBIO INC | COM | 75901B107 | 3,733 | 193,432 | SH | DFND | 193,432 | 0 | 0 | ||
RICE ENERGY INC | COM | 762760106 | 11,217 | 473,300 | SH | DFND | 473,300 | 0 | 0 | ||
SAREPTA THERAPEUTICS INC | COM | 803607100 | 6,562 | 221,691 | SH | DFND | 221,691 | 0 | 0 | ||
SHIP FINANCE INTERNATIONAL L | NOTE 3.250% 2/0 | G81075AE6 | 43,486 | 39,986,000 | PRN | DFND | 39,986,000 | 0 | 0 | ||
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 16,079 | 397,023 | SH | DFND | 397,023 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 404,231 | 5,829,700 | SH | Put | DFND | 5,829,700 | 0 | 0 | |
SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 6,444 | 152,557 | SH | DFND | 152,557 | 0 | 0 | ||
SPDR SERIES TRUST | S&P REGL BKG | 78464A698 | 3,358 | 61,491 | SH | DFND | 61,491 | 0 | 0 | ||
TAL ED GROUP | NOTE 2.500% 5/1 | 874080AB0 | 117,703 | 29,000,000 | PRN | DFND | 29,000,000 | 0 | 0 | ||
TEEKAY TANKERS LTD | CL A | Y8565N102 | 6,648 | 3,243,074 | SH | DFND | 3,243,074 | 0 | 0 | ||
TESARO INC | COM | 881569107 | 5,567 | 36,179 | SH | DFND | 36,179 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 15,782 | 161,518 | SH | DFND | 161,518 | 0 | 0 | ||
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 1,273 | 339,539 | SH | DFND | 339,539 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 730 | 500,000 | PRN | DFND | 500,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 73,120 | 28,600,000 | PRN | DFND | 28,600,000 | 0 | 0 | ||
WELLS FARGO & CO NEW | COM | 949746101 | 7,888 | 141,712 | SH | DFND | 141,712 | 0 | 0 | ||
XENCOR INC | COM | 98401F105 | 7,208 | 301,325 | SH | DFND | 301,325 | 0 | 0 |