0001085146-13-001999.txt : 20131114 0001085146-13-001999.hdr.sgml : 20131114 20131114161311 ACCESSION NUMBER: 0001085146-13-001999 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GLG INC. CENTRAL INDEX KEY: 0001425915 IRS NUMBER: 134120903 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13070 FILM NUMBER: 131220005 BUSINESS ADDRESS: STREET 1: 452 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-224-7200 MAIL ADDRESS: STREET 1: 452 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001425915 XXXXXXXX 09-30-2013 09-30-2013 false GLG INC.

452 FIFTH AVENUE 26TH FLOOR NEW YORK NY 10018

13F HOLDINGS REPORT 028-13070 N Nadine Le Gall 212-649-6700 /s/ Nadine Le Gall New York NY 11-14-2013 1 858 5076289 1 0001289643 028-10979 GLG Partners LP INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 5712 172087 SH DFND 01 172087 0 0 ABBVIE INC COM 00287Y109 264 5898 SH DFND 5898 0 0 ABBVIE INC COM 00287Y109 12463 278637 SH DFND 01 278637 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2400 32591 SH DFND 01 32591 0 0 ACE LTD SHS H0023R105 3552 37973 SH DFND 01 37973 0 0 ACTAVIS INC COM 00507K103 1631 11328 SH DFND 11328 0 0 ACTAVIS INC COM 00507K103 12209 84785 SH DFND 01 84785 0 0 ACTIVISION BLIZZARD INC COM 00507V109 711 42674 SH DFND 01 42674 0 0 ADOBE SYS INC CALL 00724F901 12985 250000 SH Call DFND 01 250000 0 0 ADOBE SYS INC COM 00724F101 3435 66128 SH DFND 01 66128 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 521 6304 SH DFND 01 6304 0 0 AES CORP COM 00130H105 889 66890 SH DFND 01 66890 0 0 AETNA INC NEW COM 00817Y108 2552 39869 SH DFND 39869 0 0 AETNA INC NEW COM 00817Y108 16290 254463 SH DFND 01 254463 0 0 AFFORDABLE RESIDENTIAL CMNTY NOTE 7.500% 8/1 00828UAB9 5505 4000000 PRN DFND 01 4000000 0 0 AFLAC INC COM 001055102 3340 53876 SH DFND 01 53876 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 1072 20916 SH DFND 20916 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 6652 129792 SH DFND 01 129792 0 0 AIR PRODS & CHEMS INC COM 009158106 4834 45357 SH DFND 01 45357 0 0 AIRGAS INC COM 009363102 651 6137 SH DFND 01 6137 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 666 12885 SH DFND 01 12885 0 0 ALBEMARLE CORP COM 012653101 532 8446 SH DFND 01 8446 0 0 ALCOA INC COM 013817101 838 103149 SH DFND 01 103149 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 2449 21087 SH DFND 01 21087 0 0 ALKERMES PLC SHS G01767105 3963 117879 SH DFND 01 117879 0 0 ALKERMES PLC SHS G01767105 863 25674 SH DFND 25674 0 0 ALLERGAN INC COM 018490102 11595 128194 SH DFND 01 128194 0 0 ALLERGAN INC COM 018490102 1119 12370 SH DFND 12370 0 0 ALLIANT ENERGY CORP COM 018802108 589 11883 SH DFND 01 11883 0 0 ALLOT COMMUNICATIONS LTD SHS M0854Q105 4337 343381 SH DFND 01 343381 0 0 ALLSTATE CORP COM 020002101 2930 57955 SH DFND 01 57955 0 0 ALTERA CORP COM 021441100 3042 81871 SH DFND 01 81871 0 0 ALTISOURCE ASSET MGMT CORP COM 02153X108 774 1453 SH DFND 01 1453 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 1080 7712 SH DFND 01 7712 0 0 ALTISOURCE RESIDENTIAL CORP CL B 02153W100 3328 144838 SH DFND 01 144838 0 0 ALTRIA GROUP INC COM 02209S103 7661 223018 SH DFND 01 223018 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 588 93106 SH DFND 93106 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 2701 427415 SH DFND 01 427415 0 0 AMAZON COM INC COM 023135106 11048 35339 SH DFND 01 35339 0 0 AMC NETWORKS INC CL A 00164V103 1767 25800 SH DFND 01 25800 0 0 AMEREN CORP COM 023608102 817 23443 SH DFND 01 23443 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 845 37424 SH DFND 01 37424 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 354 25295 SH DFND 01 25295 0 0 AMERICAN ELEC PWR INC COM 025537101 2024 46684 SH DFND 01 46684 0 0 AMERICAN EXPRESS CO COM 025816109 7348 97301 SH DFND 01 97301 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 4873 100202 SH DFND 01 100202 0 0 AMERICAN RLTY CAP PPTYS INC NOTE 3.000% 8/0 02917TAA2 6632 7000000 PRN DFND 01 7000000 0 0 AMERICAN TOWER CORP NEW COM 03027X100 8421 113603 SH DFND 01 113603 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 188 4555 SH DFND 4555 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 1907 46201 SH DFND 01 46201 0 0 AMERIPRISE FINL INC COM 03076C106 3992 43828 SH DFND 01 43828 0 0 AMERISOURCEBERGEN CORP COM 03073E105 3884 63571 SH DFND 01 63571 0 0 AMGEN INC COM 031162100 326 2915 SH DFND 2915 0 0 AMGEN INC COM 031162100 14265 127432 SH DFND 01 127432 0 0 ANADARKO PETE CORP COM 032511107 401 4313 SH DFND 4313 0 0 ANADARKO PETE CORP COM 032511107 11971 128732 SH DFND 01 128732 0 0 ANALOG DEVICES INC COM 032654105 2998 63710 SH DFND 01 63710 0 0 ANNALY CAP MGMT INC COM 035710409 3986 344238 SH DFND 01 344238 0 0 APACHE CORP COM 037411105 8754 102815 SH DFND 01 102815 0 0 APOLLO GROUP INC CL A 037604105 272 13061 SH DFND 01 13061 0 0 APPLE INC COM 037833100 7034 14755 SH DFND 14755 0 0 APPLE INC COM 037833100 83183 174480 SH DFND 01 174480 0 0 APPLIED MATLS INC COM 038222105 2200 125453 SH DFND 01 125453 0 0 ARCELORMITTAL SA LUXEMBOURG MAND CV NT 16 L0302D178 4296 200000 SH DFND 01 200000 0 0 ARCH CAP GROUP LTD ORD G0450A105 708 13072 SH DFND 01 13072 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 1995 54151 SH DFND 01 54151 0 0 ARM HLDGS PLC CALL 042068906 21154 439600 SH Call DFND 01 439600 0 0 ARM HLDGS PLC CALL 042068906 4586 95300 SH Call DFND 95300 0 0 ARM HLDGS PLC SPONSORED ADR 042068106 3510 72939 SH DFND 72939 0 0 ARM HLDGS PLC SPONSORED ADR 042068106 26080 541971 SH DFND 01 541971 0 0 ARMSTRONG WORLD INDS INC NEW COM 04247X102 1424 25904 SH DFND 25904 0 0 ARMSTRONG WORLD INDS INC NEW COM 04247X102 6536 118915 SH DFND 01 118915 0 0 ARUBA NETWORKS INC COM 043176106 2106 126579 SH DFND 01 126579 0 0 ASHLAND INC NEW COM 044209104 6754 73037 SH DFND 73037 0 0 ASHLAND INC NEW COM 044209104 6838 73939 SH DFND 01 73939 0 0 ASSURED GUARANTY LTD COM G0585R106 469 25000 SH DFND 01 25000 0 0 AT&T INC COM 00206R102 17922 529951 SH DFND 01 529951 0 0 ATHLON ENERGY INC COM 047477104 237 7240 SH DFND 7240 0 0 ATHLON ENERGY INC COM 047477104 1305 39922 SH DFND 01 39922 0 0 ATLANTICUS HLDGS CORP COM 04914Y102 235 63611 SH DFND 01 63611 0 0 ATLAS ENERGY LP CALL 04930A904 27315 500000 SH Call DFND 01 500000 0 0 ATLAS ENERGY LP COM UNITS LP 04930A104 51369 940309 SH DFND 01 940309 0 0 ATLAS RESOURCE PARTNERS LP COM UNT LTD PR 04941A101 22826 1090062 SH DFND 01 1090062 0 0 ATMEL CORP COM 049513104 1791 240764 SH DFND 01 240764 0 0 AUTODESK INC COM 052769106 866 21041 SH DFND 01 21041 0 0 AUTOLIV INC COM 052800109 706 8078 SH DFND 01 8078 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 3945 54506 SH DFND 01 54506 0 0 AUTOZONE INC COM 053332102 2034 4812 SH DFND 01 4812 0 0 AUXILIUM PHARMACEUTICALS INC COM 05334D107 1420 77899 SH DFND 01 77899 0 0 AVAGO TECHNOLOGIES LTD SHS Y0486S104 3323 77070 SH DFND 01 77070 0 0 AVALONBAY CMNTYS INC COM 053484101 1067 8396 SH DFND 01 8396 0 0 AVIV REIT INC MD COM 05381L101 1751 76808 SH DFND 01 76808 0 0 AVON PRODS INC COM 054303102 841 40863 SH DFND 01 40863 0 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 535 12360 SH DFND 01 12360 0 0 B/E AEROSPACE INC COM 073302101 4463 60461 SH DFND 01 60461 0 0 BABCOCK & WILCOX CO NEW COM 05615F102 79 2329 SH DFND 01 2329 0 0 BAKER HUGHES INC COM 057224107 3322 67653 SH DFND 01 67653 0 0 BALL CORP COM 058498106 645 14364 SH DFND 01 14364 0 0 BANK NEW YORK MELLON CORP COM 064058100 3469 114909 SH DFND 01 114909 0 0 BANK OF AMERICA CORPORATION COM 060505104 9006 652607 SH DFND 652607 0 0 BANK OF AMERICA CORPORATION COM 060505104 6425 465557 SH DFND 01 465557 0 0 BARD C R INC COM 067383109 7134 61931 SH DFND 01 61931 0 0 BARRICK GOLD CORP COM 067901108 1840 98816 SH DFND 01 98816 0 0 BAXTER INTL INC COM 071813109 7531 114639 SH DFND 01 114639 0 0 BAZAARVOICE INC COM 073271108 1387 152778 SH DFND 01 152778 0 0 BB&T CORP COM 054937107 3609 106940 SH DFND 01 106940 0 0 BEAM INC COM 073730103 792 12254 SH DFND 01 12254 0 0 BELO CORP COM SER A 080555105 1673 122122 SH DFND 01 122122 0 0 BELO CORP COM SER A 080555105 364 26589 SH DFND 26589 0 0 BERKLEY W R CORP COM 084423102 4375 102084 SH DFND 01 102084 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 4601 27 SH DFND 01 27 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6366 56086 SH DFND 01 56086 0 0 BEST BUY INC COM 086516101 11647 310587 SH DFND 310587 0 0 BEST BUY INC COM 086516101 11588 309007 SH DFND 01 309007 0 0 BIOGEN IDEC INC COM 09062X103 497 2064 SH DFND 2064 0 0 BIOGEN IDEC INC COM 09062X103 10580 43946 SH DFND 01 43946 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 304 4210 SH DFND 4210 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 2272 31453 SH DFND 01 31453 0 0 BLACKBERRY LTD CALL 09228F903 3975 500000 SH Call DFND 01 500000 0 0 BLACKROCK INC COM 09247X101 2191 8096 SH DFND 01 8096 0 0 BLACKSTONE MTG TR INC COM CL A 09257W100 630 25000 SH DFND 01 25000 0 0 BLOCK H & R INC COM 093671105 6771 253980 SH DFND 01 253980 0 0 BOEING CO CALL 097023905 58750 500000 SH Call DFND 01 500000 0 0 BOEING CO COM 097023105 1041 8859 SH DFND 8859 0 0 BOEING CO COM 097023105 5112 43509 SH DFND 01 43509 0 0 BORGWARNER INC COM 099724106 1062 10472 SH DFND 01 10472 0 0 BOSTON SCIENTIFIC CORP COM 101137107 1644 140041 SH DFND 01 140041 0 0 BPZ RESOURCES INC COM 055639108 229 117513 SH DFND 117513 0 0 BPZ RESOURCES INC COM 055639108 1264 647994 SH DFND 01 647994 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 7221 156023 SH DFND 01 156023 0 0 BROADSOFT INC COM 11133B409 1951 54161 SH DFND 01 54161 0 0 BROOKFIELD RESIDENTIAL PPTYS COM 11283W104 8265 359032 SH DFND 01 359032 0 0 BROOKFIELD RESIDENTIAL PPTYS COM 11283W104 1801 78217 SH DFND 78217 0 0 BROWN & BROWN INC COM 115236101 3302 102854 SH DFND 01 102854 0 0 BUNGE LIMITED COM G16962105 943 12417 SH DFND 12417 0 0 BUNGE LIMITED COM G16962105 4328 57014 SH DFND 01 57014 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 3771 223903 SH DFND 01 223903 0 0 CABOT OIL & GAS CORP COM 127097103 4194 112382 SH DFND 01 112382 0 0 CALPINE CORP CALL 131347904 27 1400 SH Call DFND 1400 0 0 CALPINE CORP CALL 131347904 167 8600 SH Call DFND 01 8600 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 1382 23679 SH DFND 01 23679 0 0 CAPITAL ONE FINL CORP COM 14040H105 16 228 SH DFND 01 228 0 0 CAPITALSOURCE INC COM 14055X102 3456 290874 SH DFND 01 290874 0 0 CAPITOL ACQUISITION CORP II UNIT 99/99/9999 14056V204 5120 500000 SH DFND 01 500000 0 0 CARDINAL HEALTH INC COM 14149Y108 3726 71459 SH DFND 01 71459 0 0 CAREFUSION CORP COM 14170T101 868 23515 SH DFND 01 23515 0 0 CARLYLE GROUP L P COM UTS LTD PTN 14309L102 306 11914 SH DFND 11914 0 0 CARLYLE GROUP L P COM UTS LTD PTN 14309L102 1407 54694 SH DFND 01 54694 0 0 CARMAX INC COM 143130102 1153 23794 SH DFND 01 23794 0 0 CARMIKE CINEMAS INC COM 143436400 909 41176 SH DFND 01 41176 0 0 CARNIVAL CORP PAIRED CTF 143658300 50 1533 SH DFND 1533 0 0 CARNIVAL CORP PAIRED CTF 143658300 2870 87941 SH DFND 01 87941 0 0 CARNIVAL CORP PUT 143658950 2334 71500 SH Put DFND 71500 0 0 CARNIVAL CORP PUT 143658950 10722 328500 SH Put DFND 01 328500 0 0 CATAMARAN CORP COM 148887102 476 10355 SH DFND 10355 0 0 CATAMARAN CORP COM 148887102 8134 177028 SH DFND 01 177028 0 0 CATERPILLAR INC DEL COM 149123101 2765 33163 SH DFND 01 33163 0 0 CBRE GROUP INC CL A 12504L109 725 31343 SH DFND 01 31343 0 0 CBS CORP NEW CL B 124857202 3130 56759 SH DFND 01 56759 0 0 CDW CORP COM 12514G108 561 24557 SH DFND 01 24557 0 0 CELANESE CORP DEL COM SER A 150870103 2378 45040 SH DFND 01 45040 0 0 CELANESE CORP DEL COM SER A 150870103 364 6890 SH DFND 6890 0 0 CELGENE CORP COM 151020104 819 5321 SH DFND 01 5321 0 0 CEMEX SAB DE CV NOTE 3.250% 3/1 151290BB8 12775 10000000 PRN DFND 01 10000000 0 0 CENOVUS ENERGY INC COM 15135U109 558 18700 SH DFND 01 18700 0 0 CENTENE CORP DEL COM 15135B101 1105 17269 SH DFND 01 17269 0 0 CENTERPOINT ENERGY INC COM 15189T107 925 38590 SH DFND 01 38590 0 0 CENTRAL EUROPEAN MEDIA NOTE 5.000%11/1 153443AH9 12047 12500000 PRN DFND 01 12500000 0 0 CENTURYLINK INC COM 156700106 1837 58533 SH DFND 01 58533 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 818 6073 SH DFND 01 6073 0 0 CHATHAM LODGING TR COM 16208T102 1652 92500 SH DFND 01 92500 0 0 CHENIERE ENERGY INC CALL 16411R908 8535 250000 SH Call DFND 01 250000 0 0 CHENIERE ENERGY INC COM NEW 16411R208 32323 946796 SH DFND 01 946796 0 0 CHENIERE ENERGY INC COM NEW 16411R208 6316 185002 SH DFND 185002 0 0 CHESAPEAKE ENERGY CORP COM 165167107 1666 64390 SH DFND 01 64390 0 0 CHEVRON CORP NEW COM 166764100 22765 187369 SH DFND 01 187369 0 0 CHIMERA INVT CORP COM 16934Q109 1520 500000 SH DFND 01 500000 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 1303 3039 SH DFND 01 3039 0 0 CHIQUITA BRANDS INTL INC COM 170032809 1076 85000 SH DFND 01 85000 0 0 CHUBB CORP COM 171232101 2281 25555 SH DFND 01 25555 0 0 CHURCH & DWIGHT INC COM 171340102 826 13755 SH DFND 01 13755 0 0 CIGNA CORPORATION COM 125509109 1533 19948 SH DFND 19948 0 0 CIGNA CORPORATION COM 125509109 9187 119524 SH DFND 01 119524 0 0 CIMAREX ENERGY CO COM 171798101 867 8998 SH DFND 01 8998 0 0 CIS ACQUISITION LTD UNIT 99/99/9999 G21490506 2068 200000 SH DFND 01 200000 0 0 CISCO SYS INC COM 17275R102 21926 936181 SH DFND 01 936181 0 0 CIT GROUP INC COM NEW 125581801 3416 70041 SH DFND 01 70041 0 0 CITIGROUP INC *W EXP 10/28/201 172967234 400 5000000 SH DFND 01 5000000 0 0 CITIGROUP INC CALL 172967904 7917 163200 SH Call DFND 163200 0 0 CITIGROUP INC CALL 172967904 24847 512200 SH Call DFND 01 512200 0 0 CITIGROUP INC COM NEW 172967424 20446 421488 SH DFND 421488 0 0 CITIGROUP INC COM NEW 172967424 38247 788444 SH DFND 01 788444 0 0 CITRIX SYS INC COM 177376100 2024 28664 SH DFND 01 28664 0 0 CLOROX CO DEL COM 189054109 969 11852 SH DFND 01 11852 0 0 CME GROUP INC CALL 12572Q905 4270 57800 SH Call DFND 57800 0 0 CME GROUP INC CALL 12572Q905 13742 186000 SH Call DFND 01 186000 0 0 CME GROUP INC COM 12572Q105 6713 90867 SH DFND 01 90867 0 0 CMS ENERGY CORP COM 125896100 687 26088 SH DFND 01 26088 0 0 COACH INC COM 189754104 1418 25996 SH DFND 01 25996 0 0 COBALT INTL ENERGY INC COM 19075F106 4406 177232 SH DFND 01 177232 0 0 COCA COLA CO COM 191216100 14497 382704 SH DFND 01 382704 0 0 COCA COLA ENTERPRISES INC NE COM 19122T109 1174 29203 SH DFND 01 29203 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 41 494 SH DFND 494 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 2483 30239 SH DFND 01 30239 0 0 COLGATE PALMOLIVE CO CALL 194162903 9441 159200 SH Call DFND 159200 0 0 COLGATE PALMOLIVE CO CALL 194162903 43336 730800 SH Call DFND 01 730800 0 0 COLGATE PALMOLIVE CO COM 194162103 3126 52710 SH DFND 52710 0 0 COLGATE PALMOLIVE CO COM 194162103 19524 329242 SH DFND 01 329242 0 0 COLONY FINL INC COM 19624R106 4232 211791 SH DFND 01 211791 0 0 COMCAST CORP NEW CL A 20030N101 17100 378736 SH DFND 01 378736 0 0 COMERICA INC COM 200340107 1599 40681 SH DFND 01 40681 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 1016 24480 SH DFND 01 24480 0 0 COMPUCREDIT HLDGS CORP NOTE 5.875%11/3 20478NAD2 2852 7000000 PRN DFND 01 7000000 0 0 CONAGRA FOODS INC COM 205887102 1209 39829 SH DFND 01 39829 0 0 CONCHO RES INC COM 20605P101 4914 45159 SH DFND 01 45159 0 0 CONCHO RES INC COM 20605P101 843 7750 SH DFND 7750 0 0 CONOCOPHILLIPS COM 20825C104 7663 110252 SH DFND 01 110252 0 0 CONSOL ENERGY INC COM 20854P109 1808 53721 SH DFND 01 53721 0 0 CONSTELLATION BRANDS INC CL A 21036P108 955 16646 SH DFND 01 16646 0 0 CONTINENTAL RESOURCES INC COM 212015101 417 3891 SH DFND 3891 0 0 CONTINENTAL RESOURCES INC COM 212015101 2384 22222 SH DFND 01 22222 0 0 CON-WAY INC CALL 205944901 8618 200000 SH Call DFND 01 200000 0 0 CORNING INC COM 219350105 2140 146706 SH DFND 01 146706 0 0 COSTCO WHSL CORP NEW COM 22160K105 4881 42397 SH DFND 01 42397 0 0 COVIDIEN PLC SHS G2554F113 2839 46588 SH DFND 01 46588 0 0 CREE INC COM 225447101 692 11503 SH DFND 01 11503 0 0 CROCS INC COM 227046109 2071 152142 SH DFND 01 152142 0 0 CROWN CASTLE INTL CORP COM 228227104 22542 308667 SH DFND 01 308667 0 0 CROWN HOLDINGS INC COM 228368106 607 14351 SH DFND 01 14351 0 0 CST BRANDS INC COM 12646R105 179 6005 SH DFND 01 6005 0 0 CSX CORP COM 126408103 2623 101904 SH DFND 01 101904 0 0 CVS CAREMARK CORPORATION COM 126650100 6949 122452 SH DFND 01 122452 0 0 D R HORTON INC COM 23331A109 1428 73490 SH DFND 01 73490 0 0 D R HORTON INC NOTE 2.000% 5/1 23331ABB4 15200 10000000 PRN DFND 01 10000000 0 0 DANAHER CORP DEL COM 235851102 3962 57158 SH DFND 01 57158 0 0 DAVITA HEALTHCARE PARTNERS I COM 23918K108 2165 38057 SH DFND 38057 0 0 DAVITA HEALTHCARE PARTNERS I COM 23918K108 11873 208672 SH DFND 01 208672 0 0 DEERE & CO COM 244199105 2880 35389 SH DFND 01 35389 0 0 DELL INC COM 24702R101 24551 1782949 SH DFND 01 1782949 0 0 DELL INC COM 24702R101 4953 359689 SH DFND 359689 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 5492 94002 SH DFND 01 94002 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 1196 20475 SH DFND 20475 0 0 DELTA AIR LINES INC DEL CALL 247361902 11795 500000 SH Call DFND 01 500000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 29 1228 SH DFND 1228 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 4888 207242 SH DFND 01 207242 0 0 DENBURY RES INC COM NEW 247916208 693 37669 SH DFND 01 37669 0 0 DENDREON CORP NOTE 2.875% 1/1 24823QAC1 1600 2500000 PRN DFND 01 2500000 0 0 DENTSPLY INTL INC NEW COM 249030107 595 13702 SH DFND 01 13702 0 0 DEVELOPERS DIVERSIFIED RLTY NOTE 1.750%11/1 251591AX1 22675 20000000 PRN DFND 01 20000000 0 0 DEVON ENERGY CORP NEW COM 25179M103 5092 88152 SH DFND 01 88152 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 437 7010 SH DFND 01 7010 0 0 DIRECTV COM 25490A309 3004 50277 SH DFND 01 50277 0 0 DISCOVER FINL SVCS COM 254709108 21797 431286 SH DFND 431286 0 0 DISCOVER FINL SVCS COM 254709108 28209 558160 SH DFND 01 558160 0 0 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 1142 13530 SH DFND 01 13530 0 0 DISH NETWORK CORP CL A 25470M109 6647 147664 SH DFND 01 147664 0 0 DISNEY WALT CO COM DISNEY 254687106 7781 120656 SH DFND 120656 0 0 DISNEY WALT CO COM DISNEY 254687106 22379 347010 SH DFND 01 347010 0 0 DOLLAR GEN CORP NEW COM 256677105 1432 25358 SH DFND 25358 0 0 DOLLAR GEN CORP NEW COM 256677105 8267 146419 SH DFND 01 146419 0 0 DOLLAR TREE INC COM 256746108 1282 22420 SH DFND 01 22420 0 0 DOMINION RES INC VA NEW CALL 25746U909 87 1400 SH Call DFND 1400 0 0 DOMINION RES INC VA NEW CALL 25746U909 537 8600 SH Call DFND 01 8600 0 0 DOMINION RES INC VA NEW COM 25746U109 207 3306 SH DFND 3306 0 0 DOMINION RES INC VA NEW COM 25746U109 7914 126665 SH DFND 01 126665 0 0 DOVER CORP COM 260003108 1550 17257 SH DFND 01 17257 0 0 DOW CHEM CO COM 260543103 4373 113879 SH DFND 01 113879 0 0 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 12188 12500000 PRN DFND 01 12500000 0 0 DTE ENERGY CO COM 233331107 1143 17318 SH DFND 01 17318 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 781 13335 SH DFND 01 13335 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 148 2211 SH DFND 2211 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 12107 181297 SH DFND 01 181297 0 0 DUKE REALTY CORP COM NEW 264411505 386 25017 SH DFND 01 25017 0 0 E M C CORP MASS CALL 268648902 5112 200000 SH Call DFND 01 200000 0 0 E M C CORP MASS COM 268648102 13667 534698 SH DFND 01 534698 0 0 EASTMAN CHEM CO COM 277432100 1666 21384 SH DFND 01 21384 0 0 EATON CORP PLC CALL G29183903 3442 50000 SH Call DFND 01 50000 0 0 EATON CORP PLC SHS G29183103 3098 45000 SH DFND 01 45000 0 0 EBAY INC CALL 278642903 5657 101400 SH Call DFND 01 101400 0 0 EBAY INC COM 278642103 3920 70263 SH DFND 01 70263 0 0 EBAY INC COM 278642103 274 4907 SH DFND 4907 0 0 ECHOSTAR CORP CL A 278768106 868 19755 SH DFND 01 19755 0 0 ECOLAB INC COM 278865100 3992 40419 SH DFND 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INC COM 756577102 4010 86909 SH DFND 01 86909 0 0 REDWOOD TR INC COM 758075402 591 30000 SH DFND 01 30000 0 0 REGENCY CTRS CORP COM 758849103 422 8727 SH DFND 01 8727 0 0 REGENERON PHARMACEUTICALS COM 75886F107 4784 15291 SH DFND 01 15291 0 0 REGIONS FINL CORP NEW COM 7591EP100 1222 131954 SH DFND 01 131954 0 0 RENAISSANCERE HOLDINGS LTD COM G7496G103 414 4568 SH DFND 01 4568 0 0 RENESOLA LTD SPONS ADS 75971T103 753 150917 SH DFND 01 150917 0 0 REPUBLIC SVCS INC COM 760759100 5004 150000 SH DFND 01 150000 0 0 REYNOLDS AMERICAN INC COM 761713106 1645 33732 SH DFND 01 33732 0 0 ROBERT HALF INTL INC COM 770323103 509 13042 SH DFND 01 13042 0 0 ROCK-TENN CO CL A 772739207 838 8273 SH DFND 01 8273 0 0 ROCKWELL AUTOMATION INC COM 773903109 1278 11953 SH DFND 01 11953 0 0 ROCKWELL COLLINS INC COM 774341101 878 12939 SH DFND 01 12939 0 0 ROPER INDS INC NEW COM 776696106 4061 30567 SH DFND 01 30567 0 0 ROSETTA RESOURCES INC COM 777779307 471 8642 SH DFND 8642 0 0 ROSETTA RESOURCES INC COM 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824348106 10818 59379 SH DFND 01 59379 0 0 SHIRE PLC SPONSORED ADR 82481R106 166 1384 SH DFND 1384 0 0 SIGMA ALDRICH CORP COM 826552101 1002 11744 SH DFND 01 11744 0 0 SIGNET JEWELERS LIMITED CALL G81276900 2565 35800 SH Call DFND 35800 0 0 SIGNET JEWELERS LIMITED SHS G81276100 11642 162625 SH DFND 01 162625 0 0 SIGNET JEWELERS LIMITED SHS G81276100 2438 34052 SH DFND 34052 0 0 SILVER EAGLE ACQUISITION COR UNIT 99/99/9999 827694209 17762 1750000 SH DFND 01 1750000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 4346 29316 SH DFND 01 29316 0 0 SINA CORP ORD G81477104 41 506 SH DFND 506 0 0 SINA CORP ORD G81477104 95 1165 SH DFND 01 1165 0 0 SIRIUS XM RADIO INC COM 82967N108 1704 440288 SH DFND 01 440288 0 0 SLM CORP COM 78442P106 3100 124497 SH DFND 01 124497 0 0 SMUCKER J M CO COM NEW 832696405 1112 10589 SH DFND 01 10589 0 0 SOLARFUN POWER HOLDINGS CO L NOTE 3.500% 1/1 83415UAB4 9200 10000000 PRN DFND 01 10000000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 565 15534 SH DFND 15534 0 0 SOUTHWESTERN ENERGY CO COM 845467109 4561 125381 SH DFND 01 125381 0 0 SPDR S&P 500 ETF TR PUT 78462F953 420 2500 SH Put DFND 2500 0 0 SPDR S&P 500 ETF TR PUT 78462F953 31939 190000 SH Put DFND 01 190000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1698 10100 SH DFND 10100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18853 112151 SH DFND 01 112151 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2494 11019 SH DFND 01 11019 0 0 SPDR SERIES TRUST PUT 78464A950 909 13800 SH Put DFND 13800 0 0 SPDR SERIES TRUST S&P METALS MNG 78464A755 0 1 SH DFND 1 0 0 SPDR SERIES TRUST S&P METALS MNG 78464A755 779 21243 SH DFND 01 21243 0 0 SPECTRA ENERGY CORP COM 847560109 2194 64083 SH DFND 01 64083 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 688 28400 SH DFND 01 28400 0 0 SPIRIT AIRLS INC COM 848577102 1485 43328 SH DFND 01 43328 0 0 SPLUNK INC COM 848637104 8970 149396 SH DFND 149396 0 0 SPLUNK INC COM 848637104 41198 686170 SH DFND 01 686170 0 0 SPREADTRUM COMMUNICATIONS IN ADR 849415203 3497 114809 SH DFND 114809 0 0 SPX CORP COM 784635104 4097 48410 SH DFND 01 48410 0 0 ST JUDE MED INC COM 790849103 1807 33689 SH DFND 01 33689 0 0 STANLEY BLACK & DECKER INC COM 854502101 2335 25776 SH DFND 01 25776 0 0 STAPLES INC COM 855030102 737 50313 SH DFND 01 50313 0 0 STARBUCKS CORP COM 855244109 8707 113128 SH DFND 113128 0 0 STARBUCKS CORP COM 855244109 10993 142831 SH DFND 01 142831 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 3780 56892 SH DFND 01 56892 0 0 STARWOOD PPTY TR INC COM 85571B105 18247 761257 SH DFND 01 761257 0 0 STARZ COM SER A 85571Q102 1406 50000 SH DFND 01 50000 0 0 STATE STR CORP COM 857477103 3091 47013 SH DFND 01 47013 0 0 STOCK BLDG SUPPLY HLDGS INC COM 86101X104 1431 108902 SH DFND 01 108902 0 0 STRATEGIC HOTELS & RESORTS I COM 86272T106 2733 314831 SH DFND 01 314831 0 0 STRYKER CORP COM 863667101 1924 28468 SH DFND 01 28468 0 0 SUNTRUST BKS INC COM 867914103 1687 52030 SH DFND 01 52030 0 0 SWIFT TRANSN CO CL A 87074U101 485 24025 SH DFND 24025 0 0 SWIFT TRANSN CO CL A 87074U101 2227 110284 SH DFND 01 110284 0 0 SYMANTEC CORP COM 871503108 1490 60205 SH DFND 01 60205 0 0 SYSCO CORP COM 871829107 1856 58311 SH DFND 01 58311 0 0 TABLEAU SOFTWARE INC CL A 87336U105 1052 14760 SH DFND 14760 0 0 TABLEAU SOFTWARE INC CL A 87336U105 7244 101693 SH DFND 01 101693 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 26435 1558673 SH DFND 1558673 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 86757 5115407 SH DFND 01 5115407 0 0 TARGET CORP COM 87612E106 3548 55452 SH DFND 01 55452 0 0 TATA MTRS LTD SPONSORED ADR 876568502 47 1773 SH DFND 1773 0 0 TATA MTRS LTD SPONSORED ADR 876568502 105 3939 SH DFND 01 3939 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 1657 63310 SH DFND 01 63310 0 0 TE CONNECTIVITY LTD REG SHS H84989104 2110 40746 SH DFND 01 40746 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 331 8046 SH DFND 8046 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 6966 169126 SH DFND 01 169126 0 0 TERADATA CORP DEL COM 88076W103 3102 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9060 150000 SH Call DFND 01 150000 0 0 TIMKEN CO COM 887389104 5144 85164 SH DFND 01 85164 0 0 TJX COS INC NEW COM 872540109 5336 94625 SH DFND 01 94625 0 0 T-MOBILE US INC COM 872590104 1474 56735 SH DFND 01 56735 0 0 TOTAL SYS SVCS INC COM 891906109 3410 115896 SH DFND 115896 0 0 TOTAL SYS SVCS INC COM 891906109 13061 443935 SH DFND 01 443935 0 0 TRACTOR SUPPLY CO COM 892356106 566 8432 SH DFND 01 8432 0 0 TRAVELERS COMPANIES INC COM 89417E109 3051 35990 SH DFND 01 35990 0 0 TRIPADVISOR INC COM 896945201 881 11617 SH DFND 01 11617 0 0 TRIQUINT SEMICONDUCTOR INC COM 89674K103 2223 273432 SH DFND 01 273432 0 0 TWENTY FIRST CENTY FOX INC CALL 90130A901 8375 250000 SH Call DFND 01 250000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 9895 295369 SH DFND 01 295369 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 5033 150240 SH DFND 150240 0 0 TWO HBRS INVT CORP COM 90187B101 2366 243625 SH DFND 01 243625 0 0 TYCO INTERNATIONAL LTD SHS H89128104 1576 45055 SH DFND 01 45055 0 0 UAL CORP NOTE 6.000%10/1 902549AJ3 26890 7500000 PRN DFND 01 7500000 0 0 UCP INC CL A 90265Y106 3329 224316 SH DFND 01 224316 0 0 ULTRA PETROLEUM CORP COM 903914109 323 15710 SH DFND 01 15710 0 0 UMB FINL CORP COM 902788108 1087 20000 SH DFND 01 20000 0 0 UNDER ARMOUR INC CL A 904311107 628 7900 SH DFND 01 7900 0 0 UNION PAC CORP COM 907818108 8782 56534 SH DFND 01 56534 0 0 UNITED CONTL HLDGS INC COM 910047109 2427 79038 SH DFND 01 79038 0 0 UNITED PARCEL SERVICE INC CL B 911312106 6874 75238 SH DFND 01 75238 0 0 UNITED RENTALS INC COM 911363109 5912 101427 SH DFND 01 101427 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 7688 7500000 PRN DFND 01 7500000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 12396 114971 SH DFND 01 114971 0 0 UNITED TECHNOLOGIES CORP PUT 913017959 10782 100000 SH Put DFND 01 100000 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 4018 50954 SH DFND 01 50954 0 0 UNITEDHEALTH GROUP INC COM 91324P102 13315 185945 SH DFND 01 185945 0 0 UNUM GROUP COM 91529Y106 860 28267 SH DFND 01 28267 0 0 URBAN OUTFITTERS INC COM 917047102 2316 62985 SH DFND 01 62985 0 0 US BANCORP DEL COM NEW 902973304 4964 135708 SH DFND 01 135708 0 0 USEC INC NOTE 3.000%10/0 90333EAC2 2284 8500000 PRN DFND 01 8500000 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 536 5140 SH DFND 01 5140 0 0 VALERO ENERGY CORP NEW COM 91913Y100 1798 52642 SH DFND 01 52642 0 0 VANTIV INC CL A 92210H105 1816 65000 SH DFND 01 65000 0 0 VERISIGN INC COM 92343E102 754 14812 SH DFND 01 14812 0 0 VERISK ANALYTICS INC CL A 92345Y106 1002 15420 SH DFND 01 15420 0 0 VERIZON COMMUNICATIONS INC CALL 92343V904 19830 425000 SH Call DFND 01 425000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 25808 553101 SH DFND 01 553101 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1618 21342 SH DFND 01 21342 0 0 VIACOM INC NEW CL B 92553P201 3020 36129 SH DFND 01 36129 0 0 VISA INC COM CL A 92826C839 15106 79049 SH DFND 79049 0 0 VISA INC COM CL A 92826C839 24490 128156 SH DFND 01 128156 0 0 VISTEON CORP COM NEW 92839U206 488 6449 SH DFND 6449 0 0 VMWARE INC CL A COM 928563402 9122 112754 SH DFND 112754 0 0 VMWARE INC CL A COM 928563402 47163 582976 SH DFND 01 582976 0 0 VMWARE INC PUT 928563952 7742 95700 SH Put DFND 95700 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 3642 103529 SH DFND 01 103529 0 0 VULCAN MATLS CO COM 929160109 2001 38628 SH DFND 01 38628 0 0 W & T OFFSHORE INC COM 92922P106 155 8749 SH DFND 8749 0 0 W & T OFFSHORE INC COM 92922P106 855 48271 SH DFND 01 48271 0 0 WALGREEN CO COM 931422109 7479 139025 SH DFND 01 139025 0 0 WALGREEN CO COM 931422109 640 11890 SH DFND 11890 0 0 WAL-MART STORES INC COM 931142103 12068 163173 SH DFND 01 163173 0 0 WALTER ENERGY INC COM 93317Q105 1555 110815 SH DFND 01 110815 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 5760 252076 SH DFND 252076 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 26499 1159692 SH DFND 01 1159692 0 0 WASTE MGMT INC DEL COM 94106L109 1756 42579 SH DFND 01 42579 0 0 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 2635 171853 SH DFND 01 171853 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 7578 202794 SH DFND 01 202794 0 0 WELLPOINT INC COM 94973V107 6001 71774 SH DFND 01 71774 0 0 WELLS FARGO & CO NEW COM 949746101 125 3020 SH DFND 01 3020 0 0 WESCO INTL INC COM 95082P105 4523 59101 SH DFND 01 59101 0 0 WESCO INTL INC COM 95082P105 6507 85025 SH DFND 85025 0 0 WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 13758 5000000 PRN DFND 01 5000000 0 0 WESTERN UN CO COM 959802109 3036 162713 SH DFND 01 162713 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 1759 72722 SH DFND 01 72722 0 0 WEYERHAEUSER CO COM 962166104 949 33130 SH DFND 01 33130 0 0 WHIRLPOOL CORP COM 963320106 5423 37034 SH DFND 37034 0 0 WHITEWAVE FOODS CO COM CL A 966244105 1997 100001 SH DFND 01 100001 0 0 WHITING PETE CORP NEW COM 966387102 1061 17720 SH DFND 17720 0 0 WHITING PETE CORP NEW COM 966387102 11337 189425 SH DFND 01 189425 0 0 WHITING USA TR II TR UNIT 966388100 535 41724 SH DFND 01 41724 0 0 WHOLE FOODS MKT INC COM 966837106 1952 33372 SH DFND 01 33372 0 0 WILLIAMS COS INC DEL CALL 969457900 25696 706700 SH Call DFND 01 706700 0 0 WILLIAMS COS INC DEL COM 969457100 3635 99973 SH DFND 01 99973 0 0 WILLIS GROUP HOLDINGS PUBLIC SHS G96666105 1657 38238 SH DFND 01 38238 0 0 WISCONSIN ENERGY CORP COM 976657106 940 23291 SH DFND 01 23291 0 0 WORKDAY INC CL A 98138H101 9507 117465 SH DFND 01 117465 0 0 WORKDAY INC CL A 98138H101 2071 25594 SH DFND 25594 0 0 XCEL ENERGY INC COM 98389B100 1301 47103 SH DFND 01 47103 0 0 XEROX CORP COM 984121103 933 90670 SH DFND 01 90670 0 0 XILINX INC COM 983919101 3087 65872 SH DFND 01 65872 0 0 XL GROUP PLC SHS G98290102 934 30312 SH DFND 01 30312 0 0 XYLEM INC COM 98419M100 510 18258 SH DFND 01 18258 0 0 YAHOO INC COM 984332106 3233 97494 SH DFND 01 97494 0 0 YOUKU TUDOU INC CALL 98742U900 3973 145000 SH Call DFND 01 145000 0 0 YOUKU TUDOU INC SPONSORED ADR 98742U100 3234 118018 SH DFND 01 118018 0 0 YUM BRANDS INC COM 988498101 4371 61228 SH DFND 01 61228 0 0 ZIMMER HLDGS INC COM 98956P102 1413 17203 SH DFND 01 17203 0 0 ZOETIS INC CL A 98978V103 8558 275009 SH DFND 01 275009 0 0