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 |
ACTUA CORP | COM | 005094107 | 1,971 | 128,848 | SH | DFND | 1,2 | 128,848 | 0 | 0 | |
ALAMOS GOLD INC NEW | COM CL A | 011532108 | 8,789 | 1,301,535 | SH | DFND | 1,2 | 1,301,535 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 216 | 1,538 | SH | DFND | 1,2 | 1,538 | 0 | 0 | |
ANWORTH MORTGAGE ASSET CP | COM | 037347101 | 106 | 17,592 | SH | DFND | 1,2 | 17,592 | 0 | 0 | |
ATLANTIC ACQUISITION CORP | COM | 048206106 | 982 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
ATLANTIC ACQUISITION CORP | UNIT 02/08/2019 | 048206205 | 2,005 | 195,000 | SH | DFND | 1,2 | 195,000 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 559 | 3,835 | SH | DFND | 1,2 | 3,835 | 0 | 0 | |
CENTER COAST MLP & INFRSTR F | COM SHS | 151461100 | 133 | 12,635 | SH | DFND | 1,2 | 12,635 | 0 | 0 | |
CLEARBRIDGE AMERN ENERG MLP | COM | 184691103 | 137 | 15,946 | SH | DFND | 1,2 | 15,946 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | RIGHT 99/99/9999 | 203668116 | 35 | 3,000,000 | SH | DFND | 1,2 | 3,000,000 | 0 | 0 | |
DOMINION DIAMOND CORP | COM | 257287102 | 312 | 22,020 | SH | DFND | 1,2 | 22,020 | 0 | 0 | |
DONNELLEY R R & SONS CO | COM | 257867200 | 104 | 10,144 | SH | DFND | 1,2 | 10,144 | 0 | 0 | |
EATON VANCE FLTING RATE INC | COM | 278279104 | 183 | 12,519 | SH | DFND | 1,2 | 12,519 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 397 | 4,901 | SH | DFND | 1,2 | 4,901 | 0 | 0 | |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 488 | 9,625 | SH | DFND | 1,2 | 9,625 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 21,304 | 200,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 23,165 | 290,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
ISHARES TR | U.S. FINLS ETF | 464287788 | 534 | 4,760 | SH | DFND | 1,2 | 4,760 | 0 | 0 | |
MAGNA INTL INC | COM | 559222401 | 339 | 6,345 | SH | DFND | 1,2 | 6,345 | 0 | 0 | |
NEW SR INVT GROUP INC | COM | 648691103 | 106 | 11,593 | SH | DFND | 1,2 | 11,593 | 0 | 0 | |
NOVAVAX INC | COM | 670002104 | 14 | 11,916 | SH | DFND | 1,2 | 11,916 | 0 | 0 | |
NUVEEN MUN HIGH INCOME OPP F | COM | 670682103 | 153 | 11,225 | SH | DFND | 1,2 | 11,225 | 0 | 0 | |
PEMBINA PIPELINE CORP | COM | 706327103 | 7,783 | 221,688 | SH | DFND | 1,2 | 221,688 | 0 | 0 | |
PRICELINE GRP INC | COM NEW | 741503403 | 2,563 | 1,400 | SH | DFND | 1,2 | 1,400 | 0 | 0 | |
PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 746922103 | 202 | 15,975 | SH | DFND | 1,2 | 15,975 | 0 | 0 | |
REAVES UTIL INCOME FD | RIGHT 10/04/2017 | 756158135 | 109 | 294,037 | SH | DFND | 1,2 | 294,037 | 0 | 0 | |
ROYAL BK SCOTLAND GROUP PLC | SP ADR PREF S | 780097739 | 374 | 14,557 | SH | DFND | 1,2 | 14,557 | 0 | 0 | |
SOUTHWESTERN ENERGY CO | DEP SHS 1/20 B | 845467208 | 10,379 | 727,825 | SH | DFND | 1,2 | 727,825 | 0 | 0 | |
TPG PACE ENERGY HLDGS CORP | UNIT 99/99/9999 | 872656202 | 2,219 | 217,505 | SH | DFND | 1,2 | 217,505 | 0 | 0 | |
THOMSON REUTERS CORP | COM | 884903105 | 313 | 6,810 | SH | DFND | 1,2 | 6,810 | 0 | 0 | |
PENSARE ACQUISITION CORP | COM | 70957E105 | 6,769 | 700,000 | SH | DFND | 1,2 | 700,000 | 0 | 0 | |
TARGET CORP | COM | 87612E106 | 257 | 4,357 | SH | DFND | 1,2 | 4,357 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 8,141 | 155,089 | SH | DFND | 1,2 | 155,089 | 0 | 0 | |
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 200 | 2,997 | SH | DFND | 1,2 | 2,997 | 0 | 0 | |
ALERE INC | PFD CNV SER B | 01449J204 | 19,013 | 47,414 | SH | DFND | 1,2 | 47,414 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 10,363 | 60,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 10,363 | 60,000 | SH | DFND | 1,2 | 60,000 | 0 | 0 | |
AMERIPRISE FINL INC | COM | 03076C106 | 260 | 1,748 | SH | DFND | 1,2 | 1,748 | 0 | 0 | |
ARCONIC INC | COM | 03965L100 | 7,464 | 300,000 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
ARCONIC INC | 5.375% PFD B 1 | 03965L308 | 76,486 | 1,966,222 | SH | DFND | 1,2 | 1,966,222 | 0 | 0 | |
ARES CAP CORP | COM | 04010L103 | 634 | 38,700 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
BAKER HUGHES A GE CO | CL A | 05722G100 | 259 | 7,067 | SH | DFND | 1,2 | 7,067 | 0 | 0 | |
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 1,989 | 190,480 | SH | DFND | 1,2 | 190,480 | 0 | 0 | |
BROCADE COMMUNICATIONS SYS I | NOTE 1.375% 1/0 | 111621AQ1 | 18,787 | 18,750,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CYS INVTS INC | COM | 12673A108 | 106 | 12,279 | SH | DFND | 1,2 | 12,279 | 0 | 0 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 106 | 11,003 | SH | DFND | 1,2 | 11,003 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 2.250%12/1 | 165167CB1 | 63 | 70,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 55,124 | 23,150,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 4,278 | 292,396 | SH | DFND | 1,2 | 292,396 | 0 | 0 | |
DRAPER OAKWOOD TECHNOLOGY | UNIT 09/30/2024 | 26146L202 | 1,022 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 266 | 3,808 | SH | DFND | 1,2 | 3,808 | 0 | 0 | |
EMERGENT BIOSOLUTIONS INC | NOTE 2.875% 1/1 | 29089QAB1 | 18,015 | 12,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
FIDUCIARY CLAYMORE MLP OPP F | COM | 31647Q106 | 435 | 33,700 | SH | DFND | 1,2 | 33,700 | 0 | 0 | |
FORUM MERGER CORP | COM CL A | 34985B103 | 5,025 | 515,371 | SH | DFND | 1,2 | 515,371 | 0 | 0 | |
GANNETT CO INC | COM | 36473H104 | 107 | 11,900 | SH | DFND | 1,2 | 11,900 | 0 | 0 | |
GENERAL MTRS CO | *W EXP 07/10/201 | 37045V126 | 1,562 | 69,692 | SH | DFND | 1,2 | 69,692 | 0 | 0 | |
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 2,958 | 300,000 | SH | DFND | 1,2 | 300,000 | 0 | 0 | |
IAC INTERACTIVECORP | COM | 44919P508 | 3,034 | 25,800 | SH | DFND | 1,2 | 25,800 | 0 | 0 | |
I AM CAP ACQUISITION CO | UNIT 08/15/2022 | 45074Q207 | 1,536 | 150,000 | SH | DFND | 1,2 | 150,000 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 593 | 5,083 | SH | DFND | 1,2 | 5,083 | 0 | 0 | |
INTEL CORP | SDCV 2.950%12/1 | 458140AD2 | 94,011 | 66,046,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
INTEL CORP | SDCV 3.250% 8/0 | 458140AF7 | 32,155 | 17,480,000 | PRN | DFND | 1 | 0 | 0 | 0 | |
INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 209 | 15,607 | SH | DFND | 1,2 | 15,607 | 0 | 0 | |
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 186 | 14,320 | SH | DFND | 1,2 | 14,320 | 0 | 0 | |
JENSYN ACQUISITION CORP | COM | 47632B102 | 2,593 | 253,498 | SH | DFND | 1,2 | 253,498 | 0 | 0 | |
JUST ENERGY GROUP INC | COM | 48213W101 | 311 | 53,605 | SH | DFND | 1,2 | 53,605 | 0 | 0 | |
KBL MERGER CORP IV | COM | 48242A104 | 4,145 | 426,400 | SH | DFND | 1,2 | 426,400 | 0 | 0 | |
LAM RESEARCH CORP | NOTE 1.250% 5/1 | 512807AL2 | 6,159 | 2,014,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | 10,322 | 18,683,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP DELAWARE | NOTE 1.375%10/1 | 531229AB8 | 22,962 | 19,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
M I ACQUISITIONS INC | COM | 55304A104 | 1,995 | 195,600 | SH | DFND | 1,2 | 195,600 | 0 | 0 | |
M III ACQUISITION CORP | COM | 55378T104 | 10,394 | 1,057,400 | SH | DFND | 1,2 | 1,057,400 | 0 | 0 | |
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 30,281 | 24,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
METHANEX CORP | COM | 59151K108 | 301 | 5,984 | SH | DFND | 1,2 | 5,984 | 0 | 0 | |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 8,218 | 842,000 | SH | DFND | 1,2 | 842,000 | 0 | 0 | |
MOLINA HEALTHCARE INC | DBCV 1.625% 8/1 | 60855RAD2 | 28,718 | 22,975,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 52,578 | 43,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 215 | 3,507 | SH | DFND | 1,2 | 3,507 | 0 | 0 | |
NEW YORK REIT INC | COM | 64976L109 | 6,189 | 788,386 | SH | DFND | 1,2 | 788,386 | 0 | 0 | |
NOVELLUS SYS INC | NOTE 2.625% 5/1 | 670008AD3 | 1,791 | 326,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 388 | 2,173 | SH | DFND | 1,2 | 2,173 | 0 | 0 | |
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 238 | 15,440 | SH | DFND | 1,2 | 15,440 | 0 | 0 | |
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 309 | 26,400 | SH | DFND | 1,2 | 26,400 | 0 | 0 | |
PIMCO MUN INCOME FD II | COM | 72200W106 | 261 | 19,852 | SH | DFND | 1,2 | 19,852 | 0 | 0 | |
REDWOOD TR INC | NOTE 4.750% 8/1 | 758075AC9 | 1,495 | 1,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 1,027 | 15,000 | SH | DFND | 1 | 15,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 12,930 | 500,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 1,395 | 26,300 | SH | DFND | 1,2 | 26,300 | 0 | 0 | |
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 109 | 12,737 | SH | DFND | 1,2 | 12,737 | 0 | 0 | |
SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 616 | 58,965 | SH | DFND | 1,2 | 58,965 | 0 | 0 | |
SPROTT PHYSICAL SILVER TR | TR UNIT | 85207K107 | 1,099 | 174,960 | SH | DFND | 1,2 | 174,960 | 0 | 0 | |
SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | 2,754 | 324,840 | SH | DFND | 1,2 | 324,840 | 0 | 0 | |
TAKE-TWO INTERACTIVE SOFTWAR | NOTE 1.000% 7/0 | 874054AD1 | 59,037 | 12,445,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TRINITY INDS INC | NOTE 3.875% 6/0 | 896522AF6 | 33,309 | 24,757,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 253 | 1,663 | SH | DFND | 1,2 | 1,663 | 0 | 0 | |
WASHINGTON PRIME GROUP NEW | COM | 93964W108 | 105 | 12,593 | SH | DFND | 1,2 | 12,593 | 0 | 0 | |
ALLERGAN PLC | SHS | G0177J108 | 1,115 | 5,438 | SH | DFND | 1,2 | 5,438 | 0 | 0 | |
ALLERGAN PLC | SHS | G0177J108 | 76,959 | 375,500 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
ASSURED GUARANTY LTD | COM | G0585R106 | 234 | 6,192 | SH | DFND | 1,2 | 6,192 | 0 | 0 | |
BANK OF NT BUTTERFIELD&SON L | SHS NEW | G0772R208 | 629 | 17,462 | SH | DFND | 1,2 | 17,462 | 0 | 0 | |
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 4,195 | 425,000 | SH | DFND | 1,2 | 425,000 | 0 | 0 | |
CAPITOL INVT CORP IV | UNIT 99/99/9999 | G18920119 | 1,012 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 5,362 | 550,000 | SH | DFND | 1,2 | 550,000 | 0 | 0 | |
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 23,438 | 2,286,597 | SH | DFND | 1,2 | 2,286,597 | 0 | 0 | |
HERBALIFE LTD | COM USD SHS | G4412G101 | 691 | 10,185 | SH | DFND | 1,2 | 10,185 | 0 | 0 | |
JANUS HENDERSON GROUP PLC | ORD SHS | G4474Y214 | 1,154 | 33,131 | SH | DFND | 1,2 | 33,131 | 0 | 0 | |
NATIONAL ENERGY SERVICES REU | SHS | G6375R107 | 13,147 | 1,366,583 | SH | DFND | 1,2 | 1,366,583 | 0 | 0 | |
ORIGO ACQUISITION CORP | SHS | G67789126 | 1,343 | 126,676 | SH | DFND | 1 | 126,676 | 0 | 0 | |
SOCIAL CAP HEDOSOPHIA HLDGS | UNIT 99/99/9999 | G8250R111 | 1,055 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
HUNTER MARITIME ACQUISITION | CL A | Y37828111 | 886 | 90,000 | SH | DFND | 1,2 | 90,000 | 0 | 0 |