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 |
ABEONA THERAPEUTICS INC | WARRANT | 00289Y115 | 69 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
ACCELERATE DIAGNOSTICS INC | BOND | 00430HAB8 | 3,878 | 5,450,000 | PRN | DFND | 0 | 0 | 0 | ||
AEMETIS INC | COMMON | 00770K202 | 0 | 70,768 | SH | DFND | 70,768 | 0 | 0 | ||
AGROFRESH SOLUTIONS | WARRANT | 00856G117 | 18 | 3,425,000 | SH | DFND | 3,425,000 | 0 | 0 | ||
AMCI ACQUISITION CORP | WARRANT | 00165R119 | 383 | 1,275,414 | SH | DFND | 1,275,414 | 0 | 0 | ||
APELLIS PHARMACEUTICALS INC | COMMON | 03753U106 | 1,437 | 59,664 | SH | DFND | 59,664 | 0 | 0 | ||
ASHLAND GLOBAL HLDGS INC | OPTION | 044186104 | 15,410 | 200,000 | SH | Put | DFND | 200,000 | 0 | 0 | |
ASSERTIO THERAPEUTICS INC | BOND | 249908AA2 | 7,844 | 10,635,000 | PRN | DFND | 0 | 0 | 0 | ||
AVAYA HLDGS CORP | COMMON | 05351X101 | 6,650 | 650,000 | SH | DFND | 650,000 | 0 | 0 | ||
AVAYA HLDGS CORP | OPTION | 05351X101 | 1,340 | 131,000 | SH | Call | DFND | 131,000 | 0 | 0 | |
BEST INC | ADR | 08653C106 | 997 | 188,754 | SH | DFND | 188,754 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | BOND | 165167CY1 | 2,395 | 4,000,000 | PRN | DFND | 0 | 0 | 0 | ||
CLOVIS ONCOLOGY INC | BOND | 189464AC4 | 4,625 | 11,066,000 | PRN | DFND | 0 | 0 | 0 | ||
CONCRETE PUMPING HLDGS INC | COMMON | 206704108 | 3,727 | 938,764 | SH | DFND | 938,764 | 0 | 0 | ||
CONTURA ENERGY INC | COMMON | 21241B100 | 35,990 | 1,287,204 | SH | DFND | 1,287,204 | 0 | 0 | ||
DEAN FOODS CO NEW | OPTION | 242370203 | 14 | 11,700 | SH | Put | DFND | 11,700 | 0 | 0 | |
DENBURY RES INC DEL | BOND | U2481AAK4 | 156 | 262,000 | PRN | DFND | 0 | 0 | 0 | ||
DFB HEALTHCARE ACQUISTION CO | WARRANT | 23291E117 | 770 | 663,536 | SH | DFND | 663,536 | 0 | 0 | ||
DOLPHIN ENTMT INC | WARRANT | 25686H118 | 4 | 110,000 | SH | DFND | 110,000 | 0 | 0 | ||
ESTRE AMBIENTAL INC | WARRANT | G3206V118 | 25 | 3,625,000 | SH | DFND | 3,625,000 | 0 | 0 | ||
GENERAL ELECTRIC CO | OPTION | 369604103 | 6,367 | 712,200 | SH | Put | DFND | 712,200 | 0 | 0 | |
GEO GROUP INC NEW | OPTION | 36162J106 | 7,488 | 431,800 | SH | Put | DFND | 431,800 | 0 | 0 | |
GRAF INDL CORP | WARRANT | 384278115 | 619 | 1,586,700 | SH | DFND | 1,586,700 | 0 | 0 | ||
HOSTESS BRANDS INC | WARRANT | 44109J114 | 14,959 | 8,799,221 | SH | DFND | 8,799,221 | 0 | 0 | ||
INFINERA CORPORATION | BOND | 45667GAC7 | 7,432 | 8,500,000 | PRN | DFND | 0 | 0 | 0 | ||
INTELSAT S A | BOND | 45790VAB6 | 20,096 | 13,554,000 | PRN | DFND | 0 | 0 | 0 | ||
INTELSAT S A | COMMON | L5140P101 | 2,234 | 98,000 | SH | DFND | 98,000 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | BOND | 45845PAB4 | 16,303 | 18,000,000 | PRN | DFND | 0 | 0 | 0 | ||
INTREXON CORP | OPTION | 46122T102 | 78 | 13,600 | SH | Put | DFND | 13,600 | 0 | 0 | |
INVACARE CORP | BOND | 461203AF8 | 10,075 | 10,800,000 | PRN | DFND | 0 | 0 | 0 | ||
INVACARE CORP | BOND | 461203AH4 | 30,051 | 36,400,000 | PRN | DFND | 0 | 0 | 0 | ||
ISHARES TR | OPTION | 464287655 | 22,701 | 150,000 | SH | Put | DFND | 150,000 | 0 | 0 | |
ISTAR INC | OPTION | 45031U101 | 146 | 11,200 | SH | Call | DFND | 11,200 | 0 | 0 | |
ISTAR INC | OPTION | 45031U101 | 140 | 10,700 | SH | Put | DFND | 10,700 | 0 | 0 | |
LANNET INC | OPTION | 516012101 | 5,089 | 454,400 | SH | Put | DFND | 454,400 | 0 | 0 | |
LF CAP ACQUISITION CORP | WARRANT | 50200K116 | 310 | 970,060 | SH | DFND | 970,060 | 0 | 0 | ||
MEDICINES CO | OPTION | 584688105 | 6,530 | 130,600 | SH | Put | DFND | 130,600 | 0 | 0 | |
NANTHEALTH INC | COMMON | 630104107 | 153 | 213,900 | SH | DFND | 213,900 | 0 | 0 | ||
NANTHEALTH INC | BOND | 630104AB3 | 20,782 | 33,250,000 | PRN | DFND | 0 | 0 | 0 | ||
NEBULA ACQUISITION CORP | WARRANT | 629076118 | 145 | 369,493 | SH | DFND | 369,493 | 0 | 0 | ||
NESCO HLDGS INC | WARRANT | 64083J112 | 348 | 429,800 | SH | DFND | 429,800 | 0 | 0 | ||
NEW FRONTIER CORP | WARRANT | G6485P124 | 634 | 633,564 | SH | DFND | 633,564 | 0 | 0 | ||
NII HLDGS INC | COMMON | 62913F508 | 2,113 | 1,077,863 | SH | DFND | 1,077,863 | 0 | 0 | ||
NIO INC | ADR | 62914V106 | 696 | 446,316 | SH | DFND | 446,316 | 0 | 0 | ||
NIO INC | OPTION | 62914V106 | 301 | 193,000 | SH | Put | DFND | 193,000 | 0 | 0 | |
NOVAVAX INC | BOND | 670002AB0 | 13,410 | 32,118,000 | PRN | DFND | 0 | 0 | 0 | ||
NOVELION THERAPEUTICS INC | COMMON | 67001K202 | 421 | 581,042 | SH | DFND | 581,042 | 0 | 0 | ||
OASIS PETE INC NEW | BOND | 674215AJ7 | 19,704 | 26,526,000 | PRN | DFND | 0 | 0 | 0 | ||
OKTA INC | COMMON | 679295105 | 1,044 | 10,600 | SH | DFND | 10,600 | 0 | 0 | ||
OPKO HEALTH INC | COMMON | 68375N103 | 1,039 | 497,123 | SH | DFND | 497,123 | 0 | 0 | ||
OPKO HEALTH INC | BOND | 68375NAD5 | 13,175 | 16,000,000 | PRN | DFND | 0 | 0 | 0 | ||
OWENS & MINOR INC NEW | OPTION | 690732102 | 2,409 | 414,700 | SH | Put | DFND | 414,700 | 0 | 0 | |
PACIFIC DRILLING SA LUXEMBOU | COMMON | L7257P205 | 9,015 | 2,305,348 | SH | DFND | 2,305,348 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | BOND | 699374AB0 | 25,876 | 37,825,000 | PRN | DFND | 0 | 0 | 0 | ||
PARKER DRILLING CO | COMMON | 701081507 | 22,702 | 1,199,900 | SH | DFND | 1,199,900 | 0 | 0 | ||
PLUG POWER INC | BOND | 72919PAB9 | 18,330 | 15,000,000 | PRN | DFND | 0 | 0 | 0 | ||
PROTALIX BIOTHERAPEUTICS INC | BOND | 74365AAD3 | 16,398 | 19,407,000 | PRN | DFND | 0 | 0 | 0 | ||
PULTE GROUP INC | OPTION | 745867101 | 23,758 | 650,000 | SH | Put | DFND | 650,000 | 0 | 0 | |
QUOTIENT LTD | COMMON | G73268107 | 12,971 | 1,669,334 | SH | DFND | 1,669,334 | 0 | 0 | ||
RANPAK HLDGS CORP | WARRANT | 75321W111 | 786 | 1,355,000 | SH | DFND | 1,355,000 | 0 | 0 | ||
RETROPHIN INC | BOND | 761299AB2 | 16,100 | 21,750,000 | PRN | DFND | 0 | 0 | 0 | ||
RMG ACQUISITION CORP | WARRANT | 749641114 | 517 | 739,300 | SH | DFND | 739,300 | 0 | 0 | ||
SAEXPLORATION HLDGS INC | COMMON | 78636X873 | 706 | 381,765 | SH | DFND | 381,765 | 0 | 0 | ||
SAILPOINT TECHNLGIES HLDGS I | COMMON | 78781P105 | 1,185 | 63,400 | SH | DFND | 63,400 | 0 | 0 | ||
SANOFI | COMMON | 80105N113 | 2,176 | 3,860,254 | SH | DFND | 3,860,255 | 0 | 0 | ||
SENSEONICS HLDGS INC | COMMON | 81727U105 | 494 | 500,000 | SH | DFND | 500,000 | 0 | 0 | ||
SENTINEL ENERGY SVCS INC | WARRANT | 81728P113 | 989 | 2,996,000 | SH | DFND | 2,996,000 | 0 | 0 | ||
SPARTAN ENERGY ACQUISITON CO | WARRANT | 846784122 | 597 | 994,300 | SH | DFND | 994,300 | 0 | 0 | ||
SPDR GOLD TRUST | OPTION | 78463V107 | 27,774 | 200,000 | SH | Put | DFND | 200,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | OPTION | 78462F103 | 71,819 | 242,000 | SH | Put | DFND | 242,000 | 0 | 0 | |
TARGET HOSPITALITY CORP | WARRANT | 87615L115 | 1,012 | 1,190,944 | SH | DFND | 1,190,944 | 0 | 0 | ||
TELIGENT INC NEW | BOND | 87960WAA2 | 7,650 | 18,000,000 | PRN | DFND | 0 | 0 | 0 | ||
TESLA INC | BOND | 88160RAG6 | 15,235 | 15,000,000 | PRN | DFND | 0 | 0 | 0 | ||
TORTOISE ACQUISITION CORP | WARRANT | 89154L118 | 363 | 725,800 | SH | DFND | 725,800 | 0 | 0 | ||
TRANSLATE BIO INC | COMMON | 89374L104 | 1,651 | 166,640 | SH | DFND | 166,640 | 0 | 0 | ||
TRINITY BIOTECH INVT LTD | BOND | 89643QAB4 | 18,168 | 26,425,000 | PRN | DFND | 0 | 0 | 0 | ||
VEONEER INCORPORATED | BOND | 92336XAA7 | 6,612 | 6,700,000 | PRN | DFND | 0 | 0 | 0 | ||
VERASTEM INC | BOND | 92337CAA2 | 8,616 | 21,625,000 | PRN | DFND | 0 | 0 | 0 | ||
ZIONS BANCORPORATION N A | WARRANT | 989701115 | 60,769 | 5,091,700 | SH | DFND | 5,091,700 | 0 | 0 |