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 |
ACTIVISION BLIZZARD INC | COM | 00507V109 | 241 | 6,683 | SH | SOLE | 6,683 | 0 | 0 | ||
ARBUTUS BIOPHARM CORP | COM | 03879J100 | 61 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
ARCH COAL INC | CL A | 039380407 | 1,514 | 19,399 | SH | SOLE | 19,399 | 0 | 0 | ||
ARCH COAL INC | CL A | 039380407 | 1,582 | 20,263 | SH | DFND | 1 | 20,263 | 0 | 0 | |
B. RILEY FINANCIAL INC | COM | 05580M108 | 9,261 | 501,927 | SH | SOLE | 501,927 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 7,983 | 432,694 | SH | DFND | 1 | 432,694 | 0 | 0 | |
BLACKHAWK NETWORK HOLDINGS I | COM | 09238E104 | 482 | 12,793 | SH | SOLE | 12,793 | 0 | 0 | ||
BWX TECHNOLOGIES INC | COM | 05605H100 | 544 | 13,695 | SH | SOLE | 13,695 | 0 | 0 | ||
BWX TECHNOLOGIES INC | COM | 05605H100 | 2,448 | 61,658 | SH | DFND | 1 | 61,658 | 0 | 0 | |
CABOT OIL & GAS CORP | COM | 127097103 | 1,441 | 61,699 | SH | SOLE | 61,699 | 0 | 0 | ||
CABOT OIL & GAS CORP | COM | 127097103 | 1,229 | 52,614 | SH | DFND | 1 | 52,614 | 0 | 0 | |
CAPELLA EDUCATION CO | COM | 139594105 | 490 | 5,585 | SH | SOLE | 5,585 | 0 | 0 | ||
CF INDS HLDGS INC | COM | 125269100 | 288 | 9,158 | SH | SOLE | 9,158 | 0 | 0 | ||
CF INDS HLDGS INC | COM | 125269100 | 1,306 | 41,476 | SH | DFND | 1 | 41,476 | 0 | 0 | |
COMPUTER SCIENCES CORP | COM | 205363104 | 1,004 | 16,903 | SH | SOLE | 16,903 | 0 | 0 | ||
COVISINT CORP | COM | 22357R103 | 3,120 | 1,642,100 | SH | SOLE | 1,642,100 | 0 | 0 | ||
COVISINT CORP | COM | 22357R103 | 2,541 | 1,337,168 | SH | DFND | 1 | 1,337,168 | 0 | 0 | |
CROWN HOLDINGS INC | COM | 228368106 | 1,693 | 32,200 | SH | Call | SOLE | 32,200 | 0 | 0 | |
CROWN HOLDINGS INC | COM | 228368106 | 936 | 17,800 | SH | Call | DFND | 1 | 17,800 | 0 | 0 |
DEVRY ED GROUP INC | COM | 251893103 | 444 | 14,231 | SH | SOLE | 14,231 | 0 | 0 | ||
DEXCOM INC | COM | 252131107 | 245 | 4,101 | SH | SOLE | 4,101 | 0 | 0 | ||
ELDORADO RESORTS INC | COM | 28470R102 | 336 | 19,824 | SH | SOLE | 19,824 | 0 | 0 | ||
FERROGLOBE PLC | SHS | G33856108 | 749 | 69,116 | SH | SOLE | 69,116 | 0 | 0 | ||
FERROGLOBE PLC | SHS | G33856108 | 760 | 70,154 | SH | DFND | 1 | 70,154 | 0 | 0 | |
FORMFACTOR INC | COM | 346375108 | 184 | 16,438 | SH | SOLE | 16,438 | 0 | 0 | ||
FORMFACTOR INC | COM | 346375108 | 845 | 75,416 | SH | DFND | 1 | 75,416 | 0 | 0 | |
GRAND CANYON ED INC | COM | 38526M106 | 487 | 8,331 | SH | SOLE | 8,331 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 2,280 | 384,500 | SH | SOLE | 384,500 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 1,841 | 310,500 | SH | DFND | 1 | 310,500 | 0 | 0 | |
HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 2,033 | 113,905 | SH | SOLE | 113,905 | 0 | 0 | ||
HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 4,307 | 241,312 | SH | DFND | 1 | 241,312 | 0 | 0 | |
HUNTINGTON INGALLS INDS INC | COM | 446413106 | 1,204 | 6,537 | SH | SOLE | 6,537 | 0 | 0 | ||
HUNTINGTON INGALLS INDS INC | COM | 446413106 | 2,050 | 11,128 | SH | DFND | 1 | 11,128 | 0 | 0 | |
IMMERSION CORP | COM | 452521107 | 821 | 77,252 | SH | SOLE | 77,252 | 0 | 0 | ||
IMMERSION CORP | COM | 452521107 | 1,553 | 146,055 | SH | DFND | 1 | 146,055 | 0 | 0 | |
IMPINJ INC | COM | 453204109 | 536 | 15,175 | SH | SOLE | 15,175 | 0 | 0 | ||
INOVIO PHARMACEUTICALS INC | COM NEW | 45773H201 | 174 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
INTEL CORP. | COM | 458140100 | 1,068 | 29,433 | SH | SOLE | 29,433 | 0 | 0 | ||
INVUITY INC | COM NEW | 46187J205 | 244 | 42,444 | SH | SOLE | 42,444 | 0 | 0 | ||
INVUITY INC | COM NEW | 46187J205 | 1,107 | 192,556 | SH | DFND | 1 | 192,556 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 1,156 | 33,300 | SH | Put | SOLE | 33,300 | 0 | 0 | |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 580 | 16,700 | SH | Put | DFND | 1 | 16,700 | 0 | 0 |
KEY ENERGY SVCS INC DEL | COM | 49309J103 | 231 | 7,226 | SH | SOLE | 7,226 | 0 | 0 | ||
KEY ENERGY SVCS INC DEL | COM | 49309J103 | 393 | 12,305 | SH | DFND | 1 | 12,305 | 0 | 0 | |
KITE PHARMA INC | COM | 49803L109 | 2,435 | 54,300 | SH | Put | SOLE | 54,300 | 0 | 0 | |
KITE PHARMA INC | COM | 49803L109 | 1,377 | 30,700 | SH | Put | DFND | 1 | 30,700 | 0 | 0 |
LENDINGTREE INC NEW | COM | 52603B107 | 705 | 6,961 | SH | SOLE | 6,961 | 0 | 0 | ||
LENDINGTREE INC NEW | COM | 52603B107 | 963 | 9,500 | SH | Put | SOLE | 9,500 | 0 | 0 | |
LENDINGTREE INC NEW | COM | 52603B107 | 410 | 4,045 | SH | DFND | 1 | 4,045 | 0 | 0 | |
LENDINGTREE INC NEW | COM | 52603B107 | 557 | 5,500 | SH | Put | DFND | 1 | 5,500 | 0 | 0 |
LONESTAR RES US INC | CL A VTG | 54240F103 | 2,650 | 310,267 | SH | SOLE | 310,267 | 0 | 0 | ||
LONESTAR RES US INC | CL A VTG | 54240F103 | 1,879 | 220,023 | SH | DFND | 1 | 220,023 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 247 | 6,399 | SH | SOLE | 6,399 | 0 | 0 | ||
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 463 | 9,300 | SH | Call | SOLE | 9,300 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 284 | 5,700 | SH | Call | DFND | 1 | 5,700 | 0 | 0 |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 384 | 27,682 | SH | SOLE | 27,682 | 0 | 0 | ||
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 1,742 | 125,572 | SH | DFND | 1 | 125,572 | 0 | 0 | |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 261 | 9,040 | SH | SOLE | 9,040 | 0 | 0 | ||
MGM RESORTS INTERNATIONAL | COM | 552953101 | 1,197 | 41,533 | SH | DFND | 1 | 41,533 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 1,059 | 48,300 | SH | SOLE | 48,300 | 0 | 0 | ||
MONARCH CASINO & RESORT INC | COM | 609027107 | 732 | 28,408 | SH | SOLE | 28,408 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 973 | 9,246 | SH | SOLE | 9,246 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 1,578 | 14,995 | SH | DFND | 1 | 14,995 | 0 | 0 | |
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 446 | 62,246 | SH | SOLE | 62,246 | 0 | 0 | ||
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 267 | 37,200 | SH | DFND | 1 | 37,200 | 0 | 0 | |
NATURAL RESOURCE PARTNERS L | COM UNIT LTD PAR | 63900P608 | 933 | 28,900 | SH | SOLE | 28,900 | 0 | 0 | ||
NATURAL RESOURCE PARTNERS L | COM UNIT LTD PAR | 63900P608 | 2,393 | 74,100 | SH | Call | SOLE | 74,100 | 0 | 0 | |
NATURAL RESOURCE PARTNERS L | COM UNIT LTD PAR | 63900P608 | 1,063 | 32,900 | SH | DFND | 1 | 32,900 | 0 | 0 | |
NATURAL RESOURCE PARTNERS L | COM UNIT LTD PAR | 63900P608 | 1,289 | 39,900 | SH | Call | DFND | 1 | 39,900 | 0 | 0 |
NETLIST INC | COM | 64118P109 | 472 | 462,524 | SH | SOLE | 462,524 | 0 | 0 | ||
NETLIST INC | COM | 64118P109 | 915 | 896,847 | SH | DFND | 1 | 896,847 | 0 | 0 | |
NEWS CORP NEW | CL A | 65249B109 | 269 | 23,500 | SH | SOLE | 23,500 | 0 | 0 | ||
NEWS CORP NEW | CL A | 65249B109 | 1,203 | 105,000 | SH | DFND | 1 | 105,000 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 500 | 5,102 | SH | SOLE | 5,102 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 312 | 57,948 | SH | SOLE | 57,948 | 0 | 0 | ||
OCWEN FINL CORP | COM NEW | 675746309 | 187 | 34,647 | SH | DFND | 1 | 34,647 | 0 | 0 | |
QUANTUM CORP | COM DSSG | 747906204 | 149 | 179,065 | SH | SOLE | 179,065 | 0 | 0 | ||
QUANTUM CORP | COM DSSG | 747906204 | 683 | 820,935 | SH | DFND | 1 | 820,935 | 0 | 0 | |
SANMINA CORPORATION | COM | 801056102 | 367 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 728 | 31,300 | SH | Put | SOLE | 31,300 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 435 | 18,700 | SH | Put | DFND | 1 | 18,700 | 0 | 0 |
SENSUS HEALTHCARE INC | COM | 81728J109 | 201 | 38,200 | SH | SOLE | 38,200 | 0 | 0 | ||
SENSUS HEALTHCARE INC | COM | 81728J109 | 928 | 176,700 | SH | DFND | 1 | 176,700 | 0 | 0 | |
SENSUS HEATLHCARE INC | *W EXP 06/08/201 | 81728J117 | 21 | 42,000 | SH | SOLE | 42,000 | 0 | 0 | ||
SENSUS HEATLHCARE INC | *W EXP 06/08/201 | 81728J117 | 95 | 189,256 | SH | DFND | 1 | 189,256 | 0 | 0 | |
SOLAR CAP LTD | COM | 83413U100 | 294 | 14,143 | SH | SOLE | 14,143 | 0 | 0 | ||
SOLAR CAP LTD | COM | 83413U100 | 1,358 | 65,219 | SH | DFND | 1 | 65,219 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 2,746 | 25,050 | SH | SOLE | 25,050 | 0 | 0 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 3,529 | 32,200 | SH | Call | SOLE | 32,200 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 1,663 | 15,170 | SH | DFND | 1 | 15,170 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 1,951 | 17,800 | SH | Call | DFND | 1 | 17,800 | 0 | 0 |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 623 | 2,066 | SH | SOLE | 2,066 | 0 | 0 | ||
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 2,820 | 9,346 | SH | DFND | 1 | 9,346 | 0 | 0 | |
STAMPS COM INC | COM NEW | 852857200 | 543 | 4,739 | SH | SOLE | 4,739 | 0 | 0 | ||
SUNCOKE ENERGY INC | COM | 86722A103 | 906 | 79,916 | SH | SOLE | 79,916 | 0 | 0 | ||
SUNCOKE ENERGY INC | COM | 86722A103 | 758 | 66,815 | SH | DFND | 1 | 66,815 | 0 | 0 | |
TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 | 473 | 9,597 | SH | SOLE | 9,597 | 0 | 0 | ||
TECK RESOURCES LTD | CL B | 878742204 | 255 | 12,734 | SH | SOLE | 12,734 | 0 | 0 | ||
TECK RESOURCES LTD | CL B | 878742204 | 1,168 | 58,317 | SH | DFND | 1 | 58,317 | 0 | 0 | |
TESLA MTRS INC | COM | 88160R101 | 2,003 | 9,374 | SH | SOLE | 9,374 | 0 | 0 | ||
TESLA MTRS INC | COM | 88160R101 | 4,167 | 19,500 | SH | Put | SOLE | 19,500 | 0 | 0 | |
TESLA MTRS INC | COM | 88160R101 | 1,202 | 5,626 | SH | DFND | 1 | 5,626 | 0 | 0 | |
TESLA MTRS INC | COM | 88160R101 | 2,244 | 10,500 | SH | Put | DFND | 1 | 10,500 | 0 | 0 |
THE TRADE DESK INC | COM CL A | 88339J105 | 220 | 7,935 | SH | SOLE | 7,935 | 0 | 0 | ||
TRIPLEPOINT VENTURE GROWTH B | COM | 89677Y100 | 158 | 13,436 | SH | SOLE | 13,436 | 0 | 0 | ||
TWILIO INC | CL A | 90138F102 | 317 | 11,002 | SH | SOLE | 11,002 | 0 | 0 | ||
TWILIO INC | CL A | 90138F102 | 1,431 | 49,591 | SH | DFND | 1 | 49,591 | 0 | 0 | |
UNIQURE NV | SHS | N90064101 | 458 | 81,762 | SH | SOLE | 81,762 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 969 | 173,073 | SH | DFND | 1 | 173,073 | 0 | 0 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 5,388 | 47,000 | SH | Put | SOLE | 47,000 | 0 | 0 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 3,210 | 28,000 | SH | Put | DFND | 1 | 28,000 | 0 | 0 |
UNITED TECHNOLOGIES CORP | COM | 913017109 | 3,431 | 31,300 | SH | Put | SOLE | 31,300 | 0 | 0 | |
UNITED TECHNOLOGIES CORP | COM | 913017109 | 2,050 | 18,700 | SH | Put | DFND | 1 | 18,700 | 0 | 0 |
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 2,271 | 68,100 | SH | Call | SOLE | 68,100 | 0 | 0 | |
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 2,731 | 81,900 | SH | Call | DFND | 1 | 81,900 | 0 | 0 |
VERSO CORP | CL A | 92531L207 | 837 | 117,861 | SH | SOLE | 117,861 | 0 | 0 | ||
VERSO CORP | CL A | 92531L207 | 1,400 | 197,139 | SH | DFND | 1 | 197,139 | 0 | 0 | |
VONAGE HLDGS CORP | COM | 92886T201 | 2,809 | 410,036 | SH | SOLE | 410,036 | 0 | 0 | ||
VONAGE HLDGS CORP | COM | 92886T201 | 3,668 | 535,480 | SH | DFND | 1 | 535,480 | 0 | 0 | |
WAL-MART STORES INC | COM | 931142103 | 6,477 | 93,700 | SH | Put | SOLE | 93,700 | 0 | 0 | |
WAL-MART STORES INC | COM | 931142103 | 3,891 | 56,300 | SH | Put | DFND | 1 | 56,300 | 0 | 0 |
WEIBO CORP | SPONSORED ADR | 948596101 | 1,311 | 32,300 | SH | Put | SOLE | 32,300 | 0 | 0 | |
WEIBO CORP | SPONSORED ADR | 948596101 | 719 | 17,700 | SH | Put | DFND | 1 | 17,700 | 0 | 0 |
WESTERN DIGITAL CORP | COM | 958102105 | 2,544 | 37,445 | SH | SOLE | 37,445 | 0 | 0 | ||
WESTERN DIGITAL CORP | COM | 958102105 | 2,527 | 37,195 | SH | DFND | 1 | 37,195 | 0 | 0 | |
WHIRLPOOL CORP | COM | 963320106 | 275 | 1,511 | SH | SOLE | 1,511 | 0 | 0 | ||
WHIRLPOOL CORP | COM | 963320106 | 1,245 | 6,850 | SH | DFND | 1 | 6,850 | 0 | 0 | |
WORLD ACCEP CORP DEL | COM | 981419104 | 560 | 8,718 | SH | SOLE | 8,718 | 0 | 0 | ||
WORLD ACCEP CORP DEL | COM | 981419104 | 340 | 5,282 | SH | DFND | 1 | 5,282 | 0 | 0 | |
XILINX INC | COM | 983919101 | 252 | 4,179 | SH | SOLE | 4,179 | 0 | 0 |