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 |
|
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 |
ACETO CORP | COM | 004446100 | 49 | 21,900 | SH | DFND | 1,2 | 21,900 | 0 | 0 | |
ALDER BIOPHARMACEUTICALS INC | COM | 014339105 | 181 | 10,882 | SH | DFND | 1,2 | 10,882 | 0 | 0 | |
ALEXANDRIA REAL ESTATE EQ IN | PFD CONV SER D | 015271505 | 9,538 | 275,000 | SH | DFND | 1,2 | 275,000 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 577 | 4,150 | SH | DFND | 1,2 | 4,150 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 13,343 | 195,869 | SH | DFND | 1,2 | 195,869 | 0 | 0 | |
ASIA PAC FD INC | COM | 044901106 | 1,129 | 83,625 | SH | DFND | 1,2 | 83,625 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 23,023 | 781,500 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
CASTLE BRANDS INC | COM | 148435100 | 16 | 14,989 | SH | DFND | 1,2 | 14,989 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 1,018 | 11,372 | SH | DFND | 1,2 | 11,372 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | RIGHT 12/31/2019 | 203668116 | 18 | 3,000,000 | SH | DFND | 1,2 | 3,000,000 | 0 | 0 | |
CONSOLIDATED COMM HLDGS INC | COM | 209034107 | 181 | 13,848 | SH | DFND | 1,2 | 13,848 | 0 | 0 | |
DHX MEDIA LTD | COM VAR VTG | 252406152 | 18 | 12,159 | SH | DFND | 1,2 | 12,159 | 0 | 0 | |
DOCUSIGN INC | COM | 256163106 | 4,537 | 86,300 | SH | DFND | 1,2 | 86,300 | 0 | 0 | |
ELLINGTON RESIDENTIAL MTG RE | COM SHS BEN INT | 288578107 | 227 | 20,118 | SH | DFND | 1,2 | 20,118 | 0 | 0 | |
FRANKLIN LTD DURATION INCM T | RIGHT 10/18/2018 | 353793110 | 2 | 24,800 | SH | DFND | 1,2 | 24,800 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 156 | 13,787 | SH | DFND | 1,2 | 13,787 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 778 | 10,070 | SH | DFND | 1,2 | 10,070 | 0 | 0 | |
GILDAN ACTIVEWEAR INC | COM | 375916103 | 275 | 9,018 | SH | DFND | 1,2 | 9,018 | 0 | 0 | |
HORNBECK OFFSHORE SVCS INC N | COM | 440543106 | 94 | 15,974 | SH | DFND | 1,2 | 15,974 | 0 | 0 | |
IMPERIAL OIL LTD | COM NEW | 453038408 | 269 | 8,306 | SH | DFND | 1,2 | 8,306 | 0 | 0 | |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 928 | 17,983 | SH | DFND | 1,2 | 17,983 | 0 | 0 | |
ISHARES INC | MSCI STH KOR ETF | 464286772 | 27,308 | 400,000 | SH | Put | DFND | 1 | 0 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 20,234 | 200,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
ISHARES TR | NATIONAL MUN ETF | 464288414 | 1,619 | 15,000 | SH | DFND | 1,2 | 15,000 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 698 | 4,602 | SH | DFND | 1,2 | 4,602 | 0 | 0 | |
LEGACY ACQUISITION CORP | COM CL A | 524643103 | 1,557 | 160,000 | SH | DFND | 1,2 | 160,000 | 0 | 0 | |
MAGNA INTL INC | COM | 559222401 | 255 | 4,847 | SH | DFND | 1,2 | 4,847 | 0 | 0 | |
MAGNOLIA OIL & GAS CORP | *W EXP 07/31/202 | 559663117 | 2,891 | 615,133 | SH | DFND | 1,2 | 615,133 | 0 | 0 | |
MEDALLION FINL CORP | COM | 583928106 | 75 | 11,262 | SH | DFND | 1,2 | 11,262 | 0 | 0 | |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 3,321 | 343,067 | SH | DFND | 1,2 | 343,067 | 0 | 0 | |
NEBULA ACQUISITION CORP | COM CLASS A | 629076100 | 487 | 50,000 | SH | DFND | 1,2 | 50,000 | 0 | 0 | |
NEW SR INVT GROUP INC | COM | 648691103 | 151 | 25,676 | SH | DFND | 1,2 | 25,676 | 0 | 0 | |
NOVAVAX INC | COM | 670002104 | 43 | 23,062 | SH | DFND | 1,2 | 23,062 | 0 | 0 | |
NOVO-NORDISK A S | ADR | 670100205 | 359 | 7,616 | SH | DFND | 1,2 | 7,616 | 0 | 0 | |
PALO ALTO NETWORKS INC | COM | 697435105 | 4,370 | 19,402 | SH | DFND | 1,2 | 19,402 | 0 | 0 | |
PARTY CITY HOLDCO INC | COM | 702149105 | 147 | 10,829 | SH | DFND | 1,2 | 10,829 | 0 | 0 | |
PROGRESSIVE CORP OHIO | COM | 743315103 | 206 | 2,903 | SH | DFND | 1,2 | 2,903 | 0 | 0 | |
RADIUS HEALTH INC | COM NEW | 750469207 | 337 | 18,906 | SH | DFND | 1,2 | 18,906 | 0 | 0 | |
ROYAL BK SCOTLAND GROUP PLC | SP ADR PREF S | 780097739 | 1,260 | 49,637 | SH | DFND | 1,2 | 49,637 | 0 | 0 | |
SEABRIDGE GOLD INC | COM | 811916105 | 12,368 | 955,500 | SH | DFND | 1,2 | 955,500 | 0 | 0 | |
SPARTAN ENERGY ACQUISITON CO | UNIT 99/99/9999 | 846784114 | 8,128 | 800,000 | SH | DFND | 1,2 | 800,000 | 0 | 0 | |
SPLUNK INC | COM | 848637104 | 13,760 | 113,800 | SH | DFND | 1,2 | 113,800 | 0 | 0 | |
STEIN MART INC | COM | 858375108 | 90 | 38,416 | SH | DFND | 1,2 | 38,416 | 0 | 0 | |
SWISS HELVETIA FD INC | COM | 870875101 | 878 | 103,207 | SH | DFND | 1,2 | 103,207 | 0 | 0 | |
TJX COS INC NEW | COM | 872540109 | 208 | 1,855 | SH | DFND | 1,2 | 1,855 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 36,618 | 1,700,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 1,852 | 86,000 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
TUESDAY MORNING CORP | COM NEW | 899035505 | 65 | 20,200 | SH | DFND | 1,2 | 20,200 | 0 | 0 | |
WELLS FARGO CO NEW | COM | 949746101 | 473 | 9,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
WILLSCOT CORP | COM | 971375126 | 2,372 | 138,292 | SH | DFND | 1,2 | 138,292 | 0 | 0 | |
PENSARE ACQUISITION CORP | COM | 70957E105 | 249 | 25,000 | SH | DFND | 1,2 | 25,000 | 0 | 0 | |
DFB HEALTHCARE ACQUISTION CO | COM | 23291E109 | 240 | 25,000 | SH | DFND | 1,2 | 25,000 | 0 | 0 | |
BARCLAYS PLC | ADR | 06738E204 | 21,928 | 2,450,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
PENSARE ACQUISITION CORP | UNIT 07/27/2022 | 70957E204 | 837 | 78,268 | SH | DFND | 1,2 | 78,268 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 1,841 | 32,565 | SH | DFND | 1,2 | 32,565 | 0 | 0 | |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 82 | 13,604 | SH | DFND | 1,2 | 13,604 | 0 | 0 | |
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 575 | 7,462 | SH | DFND | 1,2 | 7,462 | 0 | 0 | |
AIR LEASE CORP | NOTE 3.875%12/0 | 00912XAK0 | 4,080 | 2,590,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ALLEGRO MERGER CORP | COM | 01749N103 | 9,778 | 1,021,750 | SH | DFND | 1,2 | 1,021,750 | 0 | 0 | |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 215 | 2,460 | SH | DFND | 1,2 | 2,460 | 0 | 0 | |
AMTRUST FINL SVCS INC | NOTE 2.750%12/1 | 032359AG6 | 6,421 | 6,737,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
AMYRIS INC | COM NEW | 03236M200 | 88 | 11,041 | SH | DFND | 1,2 | 11,041 | 0 | 0 | |
ASCENA RETAIL GROUP INC | COM | 04351G101 | 86 | 18,733 | SH | DFND | 1,2 | 18,733 | 0 | 0 | |
AVID BIOSERVICES INC | COM | 05368M106 | 79 | 11,554 | SH | DFND | 1,2 | 11,554 | 0 | 0 | |
BARCLAYS BK PLC | IPATH S&P500 VIX | 06746L422 | 933 | 35,000 | SH | DFND | 1,2 | 35,000 | 0 | 0 | |
BARINGS BDC INC | COM | 06759L103 | 5,258 | 525,304 | SH | DFND | 1,2 | 525,304 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | NOTE 0.750%10/1 | 09061GAE1 | 28,040 | 27,058,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 5,132 | 520,965 | SH | DFND | 1,2 | 520,965 | 0 | 0 | |
BLACKROCK ENERGY & RES TR | COM | 09250U101 | 327 | 22,455 | SH | DFND | 1,2 | 22,455 | 0 | 0 | |
BLACKROCK ENHANCED EQT DIV T | COM | 09251A104 | 124 | 13,103 | SH | DFND | 1,2 | 13,103 | 0 | 0 | |
CAI INTERNATIONAL INC | COM | 12477X106 | 9,150 | 400,082 | SH | DFND | 1,2 | 400,082 | 0 | 0 | |
CNX RESOURCES CORPORATION | COM | 12653C108 | 156 | 10,916 | SH | DFND | 1,2 | 10,916 | 0 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 24,429 | 15,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 963 | 121,807 | SH | DFND | 1,2 | 121,807 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 2.250%12/1 | 165167CB1 | 69 | 70,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CHURCHILL CAP CORP | UNIT 99/99/9999 | 17142R202 | 23,914 | 2,356,100 | SH | DFND | 1,2 | 2,356,100 | 0 | 0 | |
CIENA CORP | NOTE 3.750%10/1 | 171779AJ0 | 62,743 | 40,571,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CIENA CORP | DEBT 4.000%12/1 | 171779AK7 | 17,737 | 11,171,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 200 | 4,119 | SH | DFND | 1,2 | 4,119 | 0 | 0 | |
COLONY CAP INC NEW | CL A COM | 19626G108 | 159 | 26,157 | SH | DFND | 1,2 | 26,157 | 0 | 0 | |
COLUMBIA SELIGM PREM TECH GR | COM | 19842X109 | 237 | 11,102 | SH | DFND | 1,2 | 11,102 | 0 | 0 | |
CONSOLIDATED TOMOKA LD CO | NOTE 4.500% 3/1 | 210226AB2 | 7,781 | 7,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 43,531 | 19,650,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CTRIP COM INTL LTD | NOTE 1.250%10/1 | 22943FAD2 | 7,999 | 8,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
DDR CORP | COM | 23317H854 | 149 | 11,135 | SH | DFND | 1,2 | 11,135 | 0 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 54 | 43,437 | SH | DFND | 1,2 | 43,437 | 0 | 0 | |
DUFF & PHELPS SLCT ENGY MLP | COM | 26433F108 | 85 | 14,039 | SH | DFND | 1,2 | 14,039 | 0 | 0 | |
ENPHASE ENERGY INC | COM | 29355A107 | 90 | 18,463 | SH | DFND | 1,2 | 18,463 | 0 | 0 | |
EURONET WORLDWIDE INC | NOTE 1.500%10/0 | 298736AH2 | 79,194 | 56,801,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
FLUIDIGM CORP DEL | COM | 34385P108 | 77 | 10,313 | SH | DFND | 1,2 | 10,313 | 0 | 0 | |
FLUIDIGM CORP DEL | NOTE 2.750% 2/0 | 34385PAD0 | 554 | 500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
FORTIVE CORP | 5% PFD CNV SER A | 34959J207 | 5,394 | 5,000 | SH | DFND | 1,2 | 5,000 | 0 | 0 | |
FORUM MERGER II CORP | CL A | 34986F103 | 13,848 | 1,450,000 | SH | DFND | 1,2 | 1,450,000 | 0 | 0 | |
FORUM MERGER II CORP | *W EXP 09/30/202 | 34986F111 | 58 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
GABELLI CONV&INCOM SECS FD I | RIGHT 10/17/2018 | 36240B125 | 3 | 38,175 | SH | DFND | 1,2 | 38,175 | 0 | 0 | |
GS ACQUISITION HLDGS CORP | UNIT 06/12/2023 | 36255F201 | 3,132 | 302,000 | SH | DFND | 1,2 | 302,000 | 0 | 0 | |
GENESIS HEALTHCARE INC | CL A COM | 37185X106 | 74 | 54,446 | SH | DFND | 1,2 | 54,446 | 0 | 0 | |
GIGCAPITAL INC | COM | 37518N106 | 7,883 | 789,921 | SH | DFND | 1,2 | 789,921 | 0 | 0 | |
GORES HOLDINGS III INC | UNIT 09/07/2024 | 38286G208 | 2,647 | 259,000 | SH | DFND | 1,2 | 259,000 | 0 | 0 | |
GRANITE PT MTG TR INC | NOTE 5.625%12/0 | 38741LAB3 | 16,816 | 16,250,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 378 | 20,814 | SH | DFND | 1,2 | 20,814 | 0 | 0 | |
I AM CAP ACQUISITION CO | COM | 45074Q108 | 764 | 75,000 | SH | DFND | 1,2 | 75,000 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 708 | 10,249 | SH | DFND | 1,2 | 10,249 | 0 | 0 | |
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 36 | 13,101 | SH | DFND | 1,2 | 13,101 | 0 | 0 | |
INTEGRATED DEVICE TECHNOLOGY | NOTE 0.875%11/1 | 458118AC0 | 66,098 | 43,987,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
JAPAN SMALLER CAPTLZTN FD IN | COM | 47109U104 | 122 | 11,035 | SH | DFND | 1,2 | 11,035 | 0 | 0 | |
JUST ENERGY GROUP INC | COM | 48213W101 | 262 | 84,415 | SH | DFND | 1,2 | 84,415 | 0 | 0 | |
KBL MERGER CORP IV | COM | 48242A104 | 4,099 | 405,839 | SH | DFND | 1,2 | 405,839 | 0 | 0 | |
KB HOME | NOTE 1.375% 2/0 | 48666KAS8 | 28,575 | 28,191,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
KEURIG DR PEPPER INC | COM | 49271V100 | 14,123 | 609,551 | SH | DFND | 1,2 | 609,551 | 0 | 0 | |
KINDER MORGAN INC DEL | PFD SER A | 49456B200 | 4,988 | 150,000 | SH | DFND | 1,2 | 150,000 | 0 | 0 | |
LF CAP ACQUISITION CORP | CL A | 50200K108 | 1,666 | 173,525 | SH | DFND | 1,2 | 173,525 | 0 | 0 | |
LATIN AMERN DISCOVERY FD INC | COM | 51828C106 | 197 | 17,609 | SH | DFND | 1,2 | 17,609 | 0 | 0 | |
LEISURE ACQUISITION CORP | COM | 52539T107 | 14,955 | 1,541,773 | SH | DFND | 1,2 | 1,541,773 | 0 | 0 | |
LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | 46,462 | 67,393,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP DELAWARE | NOTE 1.375%10/1 | 531229AB8 | 60,727 | 49,817,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MASTERCARD INCORPORATED | CL A | 57636Q104 | 205 | 919 | SH | DFND | 1,2 | 919 | 0 | 0 | |
MEDLEY MGMT INC | CL A COM | 58503T106 | 2,410 | 459,013 | SH | DFND | 1,2 | 459,013 | 0 | 0 | |
MEGALITH FINL ACQUISITION CO | CL A COM | 58518F109 | 6,188 | 650,000 | SH | DFND | 1,2 | 650,000 | 0 | 0 | |
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 288 | 480,300 | SH | DFND | 1,2 | 480,300 | 0 | 0 | |
MERCADOLIBRE INC | COM | 58733R102 | 5,958 | 17,500 | SH | DFND | 1,2 | 17,500 | 0 | 0 | |
METHANEX CORP | COM | 59151K108 | 289 | 3,658 | SH | DFND | 1,2 | 3,658 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 2.125% 2/1 | 595112AV5 | 6,176 | 1,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 3.000%11/1 | 595112AY9 | 56,341 | 36,408,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 4,895 | 484,701 | SH | DFND | 1,2 | 484,701 | 0 | 0 | |
NII HLDGS INC | COM PAR | 62913F508 | 94 | 15,966 | SH | DFND | 1,2 | 15,966 | 0 | 0 | |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 967 | 7,865 | SH | DFND | 1,2 | 7,865 | 0 | 0 | |
NEXTERA ENERGY INC | COM | 65339F101 | 6,700 | 39,974 | SH | DFND | 1,2 | 39,974 | 0 | 0 | |
NORTHSTAR REALTY EUROPE CORP | COM | 66706L101 | 173 | 12,250 | SH | DFND | 1,2 | 12,250 | 0 | 0 | |
OPES ACQUISITION CORP | COM | 68373P100 | 2,955 | 300,000 | SH | DFND | 1,2 | 300,000 | 0 | 0 | |
PALO ALTO NETWORKS INC | NOTE 7/0 | 697435AB1 | 15,718 | 7,718,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
PENNYMAC FINL SVCS INC | CL A | 70932B101 | 2,090 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
PERFICIENT INC | COM | 71375U101 | 637 | 23,900 | SH | DFND | 1,2 | 23,900 | 0 | 0 | |
PURE ACQUISITION CORP | CL A | 74621Q106 | 2,910 | 299,800 | SH | DFND | 1,2 | 299,800 | 0 | 0 | |
QTS RLTY TR INC | 6.50% CON PFD B | 74736A301 | 16,908 | 160,100 | SH | DFND | 1,2 | 160,100 | 0 | 0 | |
RLJ LODGING TR | CUM CONV PFD A | 74965L200 | 20,063 | 772,255 | SH | DFND | 1,2 | 772,255 | 0 | 0 | |
RED HAT INC | NOTE 0.250%10/0 | 756577AD4 | 966 | 525,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
REGENERON PHARMACEUTICALS | COM | 75886F107 | 231 | 571 | SH | DFND | 1,2 | 571 | 0 | 0 | |
RETAIL PPTYS AMER INC | CL A | 76131V202 | 152 | 12,458 | SH | DFND | 1,2 | 12,458 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 23,258 | 80,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
SAGE THERAPEUTICS INC | COM | 78667J108 | 370 | 2,620 | SH | DFND | 1,2 | 2,620 | 0 | 0 | |
SECOND SIGHT MED PRODS INC | COM | 81362J100 | 56 | 29,691 | SH | DFND | 1,2 | 29,691 | 0 | 0 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 1,893 | 25,000 | SH | DFND | 1 | 25,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 2,418 | 32,100 | SH | DFND | 1,2 | 32,100 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 628 | 3,208 | SH | DFND | 1,2 | 3,208 | 0 | 0 | |
SERVICENOW INC | NOTE 11/0 | 81762PAB8 | 7,354 | 2,800,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SORRENTO THERAPEUTICS INC | COM NEW | 83587F202 | 77 | 17,398 | SH | DFND | 1,2 | 17,398 | 0 | 0 | |
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 158 | 19,547 | SH | DFND | 1,2 | 19,547 | 0 | 0 | |
SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | 2,634 | 299,993 | SH | DFND | 1,2 | 299,993 | 0 | 0 | |
SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 31,737 | 2,717,197 | SH | DFND | 1,2 | 2,717,197 | 0 | 0 | |
TETRA TECHNOLOGIES INC DEL | COM | 88162F105 | 71 | 15,820 | SH | DFND | 1,2 | 15,820 | 0 | 0 | |
TIBERIUS ACQUISITION CORP | COM | 88633A107 | 3,779 | 391,624 | SH | DFND | 1,2 | 391,624 | 0 | 0 | |
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 769 | 75,000 | SH | DFND | 1,2 | 75,000 | 0 | 0 | |
TRIDENT ACQUISITIONS CORP | COM | 89615T106 | 12,766 | 1,300,000 | SH | DFND | 1,2 | 1,300,000 | 0 | 0 | |
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 26 | 90,700 | SH | DFND | 1,2 | 90,700 | 0 | 0 | |
TRINITY MERGER CORP | COM CL A | 89653L106 | 4,758 | 485,000 | SH | DFND | 1,2 | 485,000 | 0 | 0 | |
UBS AG LONDON BRH | ETRACS MTH2XRE | 90269A302 | 288 | 18,383 | SH | DFND | 1,2 | 18,383 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 4,148 | 224,000 | SH | DFND | 1,2 | 224,000 | 0 | 0 | |
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 4,022 | 147,000 | SH | DFND | 1,2 | 147,000 | 0 | 0 | |
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 385 | 38,720 | SH | DFND | 1,2 | 38,720 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 17,185 | 15,552,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
VECTOIQ ACQUISITION CORP | COM | 92243N103 | 415 | 43,500 | SH | DFND | 1,2 | 43,500 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 734 | 3,808 | SH | DFND | 1,2 | 3,808 | 0 | 0 | |
VISA INC | COM CL A | 92826C839 | 202 | 1,346 | SH | DFND | 1,2 | 1,346 | 0 | 0 | |
WASHINGTON PRIME GROUP NEW | COM | 93964W108 | 156 | 21,431 | SH | DFND | 1,2 | 21,431 | 0 | 0 | |
YAHOO INC | NOTE 12/0 | 984332AF3 | 28,903 | 22,749,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
ASSURED GUARANTY LTD | COM | G0585R106 | 364 | 8,624 | SH | DFND | 1,2 | 8,624 | 0 | 0 | |
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 23,140 | 2,282,051 | SH | DFND | 1,2 | 2,282,051 | 0 | 0 | |
BANK OF NT BUTTERFIELD&SON L | SHS NEW | G0772R208 | 1,248 | 24,000 | SH | DFND | 1,2 | 24,000 | 0 | 0 | |
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 1,455 | 142,482 | SH | DFND | 1 | 142,482 | 0 | 0 | |
BRIGHTSPHERE INVESTMNT GRP P | SHS | G1644T109 | 3,512 | 283,200 | SH | DFND | 1,2 | 283,200 | 0 | 0 | |
CAPITOL INVT CORP IV | CL A ORD | G18920101 | 6,648 | 670,864 | SH | DFND | 1,2 | 670,864 | 0 | 0 | |
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 13,334 | 1,325,460 | SH | DFND | 1,2 | 1,325,460 | 0 | 0 | |
GREENLAND ACQUISITIN CORPORA | SHS | G40981139 | 2,532 | 261,827 | SH | DFND | 1,2 | 261,827 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 1,503 | 148,200 | SH | DFND | 1,2 | 148,200 | 0 | 0 | |
HL ACQUISITIONS CORP | SHS | G4603R106 | 3,824 | 400,000 | SH | DFND | 1,2 | 400,000 | 0 | 0 | |
LEO HOLDINGS CORP | COM CL A | G5463L105 | 6,853 | 702,867 | SH | DFND | 1,2 | 702,867 | 0 | 0 | |
LONGEVITY ACQUISITION CORP | UNIT 08/29/2024 | G56372108 | 3,072 | 300,000 | SH | DFND | 1,2 | 300,000 | 0 | 0 | |
MOSAIC ACQUISITION CORP | SHS CL A | G62848109 | 244 | 25,000 | SH | DFND | 1,2 | 25,000 | 0 | 0 | |
MYOVANT SCIENCES LTD | COM | G637AM102 | 254 | 9,552 | SH | DFND | 1,2 | 9,552 | 0 | 0 | |
NEW FRONTIER CORP | COM CL A | G6485P108 | 1,683 | 175,000 | SH | DFND | 1,2 | 175,000 | 0 | 0 | |
NEW FRONTIER CORP | *W EXP 99/99/999 | G6485P124 | 103 | 87,500 | SH | DFND | 1,2 | 87,500 | 0 | 0 | |
NOBLE CORP PLC | SHS USD | G65431101 | 84 | 11,927 | SH | DFND | 1,2 | 11,927 | 0 | 0 | |
ONE MADISON CORP | COM CL A | G6772P100 | 7,432 | 764,602 | SH | DFND | 1,2 | 764,602 | 0 | 0 | |
PLATINUM EAGLE ACQUISITIN CO | SHS CL A | G7126L100 | 1,718 | 175,000 | SH | DFND | 1,2 | 175,000 | 0 | 0 | |
PLATINUM EAGLE ACQUISITIN CO | UNIT 01/09/2023 | G7126L126 | 509 | 49,000 | SH | DFND | 1,2 | 49,000 | 0 | 0 | |
QUOTIENT LTD | SHS | G73268107 | 84 | 11,179 | SH | DFND | 1,2 | 11,179 | 0 | 0 | |
REGALWOOD GLOBAL ENERGY LTD | COM CL A | G74760102 | 9,586 | 982,181 | SH | DFND | 1,2 | 982,181 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | COM CL A | G8062D102 | 719 | 73,245 | SH | DFND | 1,2 | 73,245 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | UNIT 11/02/2022 | G8062D128 | 191 | 18,544 | SH | DFND | 1,2 | 18,544 | 0 | 0 | |
TENZING ACQUISITION CORP | UNIT 08/24/2024 | G8708A124 | 3,925 | 390,000 | SH | DFND | 1,2 | 390,000 | 0 | 0 | |
THUNDER BRIDGE ACQUISITION L | SHS CLASS A | G8857R100 | 8,181 | 842,500 | SH | DFND | 1,2 | 842,500 | 0 | 0 | |
THUNDER BRIDGE ACQUISITION L | UNIT 01/01/2025 | G8857R118 | 305 | 30,000 | SH | DFND | 1,2 | 30,000 | 0 | 0 | |
TKK SYMPHONY ACQUISITION COR | ORD SHS | G88950103 | 21,922 | 2,307,600 | SH | DFND | 1,2 | 2,307,600 | 0 | 0 | |
TOTTENHAM ACQUISITION I LTD | SHS | G8959N106 | 2,056 | 212,000 | SH | DFND | 1,2 | 212,000 | 0 | 0 | |
TWELVE SEAS INVESTMENT COMPA | SHS | G9145A107 | 11,418 | 1,180,727 | SH | DFND | 1,2 | 1,180,727 | 0 | 0 | |
UNION ACQUISITION CORP | SHS | G9366W101 | 2,596 | 266,250 | SH | DFND | 1,2 | 266,250 | 0 | 0 |