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 |
AMBAC FINL GROUP INC | COM | 023139884 | 20,218 | 823,198 | SH | DFND | 1, 2 | 823,198 | 0 | 0 | |
AMBAC FINL GROUP INC | WTS | 023139116 | 436 | 29,200 | SH | DFND | 1, 2 | 0 | 0 | 29,200 | |
AMERIANA BANCORP | COM | 023613102 | 201 | 15,167 | SH | DFND | 1, 2 | 15,167 | 0 | 0 | |
AMKOR TECHNOLOGY INC | COM | 031652100 | 3,970 | 647,711 | SH | DFND | 1, 2 | 647,711 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 7,932 | 100,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 100,000 |
APACHE CORP | COM | 037411105 | 859 | 10,000 | SH | DFND | 1, 2 | 10,000 | 0 | 0 | |
APACHE CORP | COM | 037411105 | 11,172 | 130,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 130,000 |
ASB BANCORP INC N C | COM | 00213T109 | 550 | 31,900 | SH | DFND | 1, 2 | 31,900 | 0 | 0 | |
ASSURED GUARANTY LTD | COM | G0585R106 | 27,133 | 1,150,169 | SH | DFND | 1, 2 | 1,150,169 | 0 | 0 | |
ASSURED GUARANTY LTD | COM | G0585R106 | 4,718 | 200,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 200,000 |
ATLANTIC COAST FINL CORP | COM | 048426100 | 3,248 | 750,000 | SH | DFND | 1, 2 | 750,000 | 0 | 0 | |
CAPITAL ONE FINL CORP | COM | 14040H105 | 7,274 | 94,955 | SH | DFND | 1, 2 | 94,955 | 0 | 0 | |
CAPITAL ONE FINL CORP | COM | 14040H105 | 7,661 | 100,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 100,000 |
CAPITAL SR LIVING CORP | COM | 140475104 | 38,747 | 1,615,137 | SH | DFND | 1, 2 | 1,615,137 | 0 | 0 | |
CHARTER FINL CORP MD | COM | 16122W108 | 1,617 | 150,124 | SH | DFND | 1, 2 | 150,124 | 0 | 0 | |
CITIGROUP INC | COM | 172967424 | 5,576 | 107,000 | SH | DFND | 1, 2 | 107,000 | 0 | 0 | |
CITIGROUP INC | COM | 172967424 | 20,844 | 400,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 400,000 |
CLEAR CHANNEL OUTDOOR HLDGS | COM | 18451C109 | 6,342 | 625,494 | SH | DFND | 1, 2 | 625,494 | 0 | 0 | |
CLIFFS NAT RES INC | COM | 18683K101 | 4,849 | 185,000 | SH | Put | DFND | 1, 2 | 0 | 0 | 185,000 |
COOPER TIRE & RUBR CO | COM | 216831107 | 2,404 | 100,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 100,000 |
COWEN GROUP INC NEW | COM | 223622101 | 12,865 | 3,290,375 | SH | DFND | 1, 2 | 3,290,375 | 0 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 5,289 | 85,490 | SH | DFND | 1, 2 | 85,490 | 0 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 49,694 | 803,200 | SH | Call | DFND | 1, 2 | 0 | 0 | 803,200 |
EASTERN VA BANKSHARES INC | COM | 277196101 | 337 | 48,200 | SH | DFND | 1, 2 | 48,200 | 0 | 0 | |
EMERITUS CORP | COM | 291005106 | 1,000 | 46,200 | SH | DFND | 1, 2 | 46,200 | 0 | 0 | |
EQUINIX INC | COM | 29444U502 | 763 | 4,300 | SH | DFND | 1, 2 | 4,300 | 0 | 0 | |
EQUINIX INC | COM | 29444U502 | 36,377 | 205,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 205,000 |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 1,054 | 15,000 | SH | DFND | 1, 2 | 15,000 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 56,192 | 800,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 800,000 |
EXXON MOBIL CORP | COM | 30231G102 | 304 | 3,000 | SH | DFND | 1, 2 | 3,000 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 36,432 | 360,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 360,000 |
FOREST CITY ENTERPRISES INC | COM | 345550107 | 18,417 | 964,208 | SH | DFND | 1, 2 | 964,208 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 177 | 1,000 | SH | DFND | 1, 2 | 1,000 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 3,545 | 20,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 20,000 |
GREIF INC | COM | 397624206 | 49,452 | 841,459 | SH | DFND | 1, 2 | 841,459 | 0 | 0 | |
GROUPON INC | COM | 399473107 | 15,699 | 1,334,400 | SH | Put | DFND | 1, 2 | 0 | 0 | 1,334,400 |
HARTFORD FINL SVCS GROUP INC | COM | 416515104 | 145 | 4,000 | SH | DFND | 1, 2 | 4,000 | 0 | 0 | |
HARTFORD FINL SVCS GROUP INC | COM | 416515104 | 22,658 | 625,400 | SH | Call | DFND | 1, 2 | 0 | 0 | 625,400 |
HESS CORP | COM | 42809H107 | 4,150 | 50,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 50,000 |
HOPFED BANCORP INC | COM | 439734104 | 407 | 35,753 | SH | DFND | 1, 2 | 35,753 | 0 | 0 | |
INDEPENDENT BANK CORP MICH | COM | 453838609 | 612 | 51,000 | SH | DFND | 1, 2 | 51,000 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 9,379 | 50,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 50,000 |
INTERVEST BANCSHARES CORP | COM | 460927106 | 2,606 | 346,949 | SH | DFND | 1, 2 | 346,949 | 0 | 0 | |
IRON MTN INC | COM | 462846106 | 205 | 6,741 | SH | DFND | 1, 2 | 6,741 | 0 | 0 | |
IRON MTN INC | COM | 462846106 | 11,876 | 391,300 | SH | Call | DFND | 1, 2 | 0 | 0 | 391,300 |
KENTUCKY FIRST FED BANCORP | COM | 491292108 | 422 | 52,717 | SH | DFND | 1, 2 | 52,717 | 0 | 0 | |
LAKE SHORE BANCORP INC | COM | 510700107 | 2,339 | 191,692 | SH | DFND | 1, 2 | 191,692 | 0 | 0 | |
LAPORTE BANCORP INC MD | COM | 516651106 | 167 | 15,052 | SH | DFND | 1, 2 | 15,052 | 0 | 0 | |
LEAPFROG ENTERPRISES INC | COM | 52186N106 | 794 | 100,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 100,000 |
LENNAR CORP | COM | 526057302 | 6,433 | 190,774 | SH | DFND | 1, 2 | 190,774 | 0 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM | 52729N308 | 1,659 | 50,000 | SH | DFND | 1, 2 | 50,000 | 0 | 0 | |
LIBERTY INTERACTIVE CORP | COM | 53071M104 | 17,279 | 588,700 | SH | DFND | 1, 2 | 588,700 | 0 | 0 | |
LIBERTY INTERACTIVE CORP | COM | 53071M104 | 5,870 | 200,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 200,000 |
LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 8,409 | 103,831 | SH | DFND | 1, 2 | 103,831 | 0 | 0 | |
LUXFER HLDGS PLC | COM | 550678106 | 209 | 10,000 | SH | DFND | 1, 2 | 10,000 | 0 | 0 | |
MICRON TECHNOLOGY INC | COM | 595112103 | 6,525 | 300,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 300,000 |
MTR GAMING GROUP INC | COM | 553769100 | 8,763 | 1,698,220 | SH | DFND | 1, 2 | 1,698,220 | 0 | 0 | |
NATIONAL WESTN LIFE INS CO | COM | 638522102 | 13,047 | 58,363 | SH | DFND | 1, 2 | 58,363 | 0 | 0 | |
NEWMONT MINING CORP | COM | 651639106 | 274 | 11,900 | SH | DFND | 1, 2 | 11,900 | 0 | 0 | |
NEWMONT MINING CORP | COM | 651639106 | 8,325 | 361,500 | SH | Call | DFND | 1, 2 | 0 | 0 | 361,500 |
NORTHFIELD BANCORP INC DEL | COM | 66611T108 | 7,922 | 600,140 | SH | DFND | 1, 2 | 600,140 | 0 | 0 | |
OCONEE FED FINL CORP | COM | 675607105 | 357 | 20,277 | SH | DFND | 1, 2 | 20,277 | 0 | 0 | |
OPPENHEIMER HLDGS INC | COM | 683797104 | 1,725 | 69,607 | SH | DFND | 1, 2 | 69,607 | 0 | 0 | |
PEOPLES BANCORP N C INC | COM | 710577107 | 366 | 25,794 | SH | DFND | 1, 2 | 25,794 | 0 | 0 | |
POWERSECURE INTL INC | COM | 73936N105 | 1,016 | 59,200 | SH | DFND | 1, 2 | 59,200 | 0 | 0 | |
PREMIER FINL BANCORP INC | COM | 74050M105 | 174 | 12,314 | SH | DFND | 1, 2 | 12,314 | 0 | 0 | |
PROSHARES TR II | COM | 74347W627 | 13,278 | 98,400 | SH | Call | DFND | 1, 2 | 0 | 0 | 98,400 |
PSB HLDGS INC | COM | 69360W108 | 406 | 63,582 | SH | DFND | 1, 2 | 63,582 | 0 | 0 | |
STONEGATE MTG CORP | COM | 86181Q300 | 1,837 | 111,111 | SH | DFND | 1, 2 | 111,111 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | COM | 862578101 | 459 | 56,007 | SH | DFND | 1, 2 | 56,007 | 0 | 0 | |
TEXAS PAC LD TR | COM | 882610108 | 11,444 | 114,598 | SH | DFND | 1, 2 | 114,598 | 0 | 0 | |
THE ADT CORPORATION | COM | 00101J106 | 4,047 | 100,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 100,000 |
TIVO INC | COM | 888706108 | 656 | 50,000 | SH | DFND | 1, 2 | 50,000 | 0 | 0 | |
UNITED BANCSHARES INC OHIO | COM | 909458101 | 339 | 23,710 | SH | DFND | 1, 2 | 23,710 | 0 | 0 | |
UT/100 INGERSOLL-RAND PLC UT/33 ALLEGION | COM | 9EQ3CNI21 | 7,632 | 100,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 100,000 |
UT/25 IPATH S&P 500 VIX SHORT- TERM FUTUR | COM | 9EQ3BZRQ2 | 5,054 | 118,750 | SH | Put | DFND | 1, 2 | 0 | 0 | 118,750 |
WESTERN DIGITAL CORP | COM | 958102105 | 11,746 | 140,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 140,000 |
WESTERN UN CO | COM | 959802109 | 4,313 | 250,000 | SH | Call | DFND | 1, 2 | 0 | 0 | 250,000 |
WOLVERINE BANCORP INC | COM | 977880103 | 284 | 13,318 | SH | DFND | 1, 2 | 13,318 | 0 | 0 | |
WPX ENERGY INC | COM | 98212B103 | 5,299 | 260,000 | SH | DFND | 1, 2 | 260,000 | 0 | 0 | |
WRIGHT MED GROUP INC | COM | 98235T115 | 426 | 1,320,074 | SH | DFND | 1, 2 | 1,320,074 | 0 | 0 | |
XEROX CORP | COM | 984121103 | 19,219 | 1,535,300 | SH | DFND | 1, 2 | 1,535,300 | 0 | 0 | |
XEROX CORP | COM | 984121103 | 18,758 | 1,541,300 | SH | Call | DFND | 1, 2 | 0 | 0 | 1,541,300 |
AERCAP HOLDINGS NV | COM | N00985106 | 384 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
APOLLO GLOBAL MANAGEMENT - A | COM | 037612306 | 790 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
APOLLO COMMERCIAL REAL ESTAT | COM | 03762U105 | 163 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ARMOUR RESIDENTIAL REIT INC | COM | 042315101 | 401 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
AMREP CORP | COM | 032159105 | 398 | 56,902 | SH | SOLE | 56,902 | 0 | 0 | ||
BLACKSTONE GROUP LP/THE | COM | 09253U108 | 630 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
COSI INC | COM | 22122P200 | 40 | 23,544 | SH | SOLE | 23,544 | 0 | 0 | ||
DOUBLE EAGLE PETROLEUM CO | COM | 258570209 | 46 | 19,908 | SH | SOLE | 19,908 | 0 | 0 | ||
DEX MEDIA INC | COM | 25213A107 | 83 | 12,206 | SH | SOLE | 12,206 | 0 | 0 | ||
ELDORADO GOLD CORP | COM | 284902103 | 87 | 15,300 | SH | SOLE | 15,300 | 0 | 0 | ||
FOREST CITY ENTERPRISES-CL B | COM | 345550305 | 290 | 15,300 | SH | SOLE | 15,300 | 0 | 0 | ||
FERRO CORP | COM | 315405100 | 345 | 26,902 | SH | SOLE | 26,902 | 0 | 0 | ||
ROYCE FOCUS TRUST INC | COM | 78080N108 | 90 | 11,859 | SH | SOLE | 11,859 | 0 | 0 | ||
U.S. GLOBAL INVESTORS INC-A | COM | 902952100 | 104 | 40,969 | SH | SOLE | 40,969 | 0 | 0 | ||
LIMONEIRA CO | COM | 532746104 | 722 | 27,168 | SH | SOLE | 27,168 | 0 | 0 | ||
SPARK NETWORKS INC | COM | 84651P100 | 276 | 44,800 | SH | SOLE | 44,800 | 0 | 0 | ||
MAG SILVER CORP | COM | 55903Q104 | 612 | 111,300 | SH | SOLE | 111,300 | 0 | 0 | ||
MDC PARTNERS INC-A | COM | 552697104 | 274 | 10,744 | SH | SOLE | 10,744 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 599 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 249 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
ROSETTA RESOURCES INC | COM | 777779307 | 865 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
SALEM COMMUNICATIONS -CL A | COM | 794093104 | 401 | 46,099 | SH | SOLE | 46,099 | 0 | 0 | ||
SEALED AIR CORP | COM | 81211K100 | 4,628 | 135,920 | SH | SOLE | 135,920 | 0 | 0 | ||
SEAGATE TECHNOLOGY | COM | G7945M107 | 562 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ADVSHRS TRIMTAB FLOAT SHRINK | COM | 00768Y818 | 890 | 18,352 | SH | SOLE | 18,352 | 0 | 0 | ||
ZAZA ENERGY CORP | COM | 98919T100 | 33 | 34,300 | SH | SOLE | 34,300 | 0 | 0 |