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 |
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 2,280 | 60,532 | SH | DFND | 60,532 | 0 | 0 | ||
ACCELERON PHARMA INC | COM | 00434H108 | 13,938 | 373,481 | SH | DFND | 373,481 | 0 | 0 | ||
ADAPTIMMUNE THERAPEUTICS PLC | SPONDS ADR | 00653A107 | 6,650 | 859,392 | SH | DFND | 859,392 | 0 | 0 | ||
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 35,479 | 20,000,000 | PRN | DFND | 20,000,000 | 0 | 0 | ||
AGENUS INC | COM NEW | 00847G705 | 15,298 | 3,468,826 | SH | DFND | 3,468,826 | 0 | 0 | ||
ALLERGAN PLC | PFD CONV SER A | G0177J116 | 21,444 | 29,049 | SH | DFND | 29,049 | 0 | 0 | ||
ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 9,117 | 41,151 | SH | DFND | 41,151 | 0 | 0 | ||
AMAG PHARMACEUTICALS INC | NOTE 3.250% 6/0 | 00163UAD8 | 9,859 | 10,000,000 | PRN | DFND | 10,000,000 | 0 | 0 | ||
AMBARELLA INC | SHS | G037AX101 | 7,972 | 162,652 | SH | DFND | 162,652 | 0 | 0 | ||
ANTHEM INC | NOTE 2.750%10/1 | 94973VBG1 | 43,176 | 16,517,000 | PRN | DFND | 16,517,000 | 0 | 0 | ||
ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 99,284 | 16,013,540 | SH | DFND | 0 | 16,013,540 | 0 | ||
ARGENX SE | SPONSORED ADR | 04016X101 | 3,934 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
ASSEMBLY BIOSCIENCES INC | COM | 045396108 | 1,861 | 53,280 | SH | DFND | 53,280 | 0 | 0 | ||
AVEXIS INC | COM | 05366U100 | 4,819 | 49,823 | SH | DFND | 49,823 | 0 | 0 | ||
AXOVANT SCIENCES LTD | COM | G0750W104 | 516,000 | 75,000,000 | SH | DFND | 0 | 75,000,000 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 1,479 | 15,891 | SH | DFND | 15,891 | 0 | 0 | ||
BLUEBIRD BIO INC | COM | 09609G100 | 2,445 | 17,803 | SH | DFND | 17,803 | 0 | 0 | ||
BROCADE COMMUNICATIONS SYS I | NOTE 1.375% 1/0 | 111621AQ1 | 9,386 | 9,317,000 | PRN | DFND | 9,317,000 | 0 | 0 | ||
CAL MAINE FOODS INC | COM NEW | 128030202 | 5,072 | 123,396 | SH | DFND | 123,396 | 0 | 0 | ||
CARMAX INC | COM | 143130102 | 19,192 | 253,153 | SH | DFND | 253,153 | 0 | 0 | ||
EURONAV NV ANTWERPEN | SHS | B38564108 | 17,933 | 2,213,974 | SH | DFND | 2,213,974 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 15,045 | 63,429 | SH | DFND | 63,429 | 0 | 0 | ||
GRAY TELEVISION INC | COM | 389375106 | 5,501 | 350,351 | SH | DFND | 350,351 | 0 | 0 | ||
HERBALIFE LTD | NOTE 2.000% 8/1 | 42703MAB9 | 20,604 | 20,510,000 | PRN | DFND | 20,510,000 | 0 | 0 | ||
HERBALIFE LTD | COM USD SHS | G4412G101 | 3,392 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 11,753 | 71,857 | SH | DFND | 71,857 | 0 | 0 | ||
HUNTER MARITIME ACQUISITION | *W EXP 99/99/999 | Y37828129 | 33 | 500,000 | SH | DFND | 500,000 | 0 | 0 | ||
HUNTER MARITIME ACQUISITION | CL A | Y37828111 | 9,742 | 1,000,000 | SH | DFND | 1,000,000 | 0 | 0 | ||
II VI INC | COM | 902104108 | 5,580 | 135,593 | SH | DFND | 135,593 | 0 | 0 | ||
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 20,232 | 1,500,866 | SH | DFND | 1,500,866 | 0 | 0 | ||
INTEL CORP | SDCV 2.950%12/1 | 458140AD2 | 60,255 | 42,047,000 | PRN | DFND | 42,047,000 | 0 | 0 | ||
INTERACTIVE BROKERS GROUP IN | COM | 45841N107 | 12,494 | 277,408 | SH | DFND | 277,408 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 1,210 | 20,854 | SH | DFND | 20,854 | 0 | 0 | ||
INTERNATIONAL SEAWAYS INC | COM | Y41053102 | 319 | 16,200 | SH | DFND | 16,200 | 0 | 0 | ||
IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 5,019 | 660,809 | SH | DFND | 660,809 | 0 | 0 | ||
ISHARES TR | NASDAQ BIOTECH | 464287556 | 41,475 | 124,328 | SH | DFND | 124,328 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 610 | 6,870 | SH | DFND | 6,870 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 8,085 | 84,653 | SH | DFND | 84,653 | 0 | 0 | ||
KEANE GROUP INC | COM | 48669A108 | 3,150 | 188,822 | SH | DFND | 188,822 | 0 | 0 | ||
MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 | 57,493 | 2,066,001 | SH | DFND | 2,066,001 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | NOTE 1.625% 2/1 | 595017AD6 | 50,276 | 28,729,000 | PRN | DFND | 28,729,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | NOTE 2.125% 2/1 | 595112AV5 | 120,120 | 33,304,000 | PRN | DFND | 33,304,000 | 0 | 0 | ||
MYOVANT SCIENCES LTD | COM | G637AM102 | 575,969 | 37,231,342 | SH | DFND | 0 | 37,231,342 | 0 | ||
NETEASE INC | SPONSORED ADR | 64110W102 | 8,550 | 32,410 | SH | DFND | 32,410 | 0 | 0 | ||
NEW YORK TIMES CO | CL A | 650111107 | 20,696 | 1,055,903 | SH | DFND | 1,055,903 | 0 | 0 | ||
NEXSTAR MEDIA GROUP INC | CL A | 65336K103 | 5,062 | 81,255 | SH | DFND | 81,255 | 0 | 0 | ||
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 8,758 | 1,640,100 | SH | Put | DFND | 1,640,100 | 0 | 0 | |
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 1,335 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
NORDIC AMERN OFFSHORE LTD | SHS | G65772108 | 13 | 9,015 | SH | DFND | 9,015 | 0 | 0 | ||
NORTHSTAR REALTY EUROPE CORP | COM | 66706L101 | 13,747 | 1,073,117 | SH | DFND | 1,073,117 | 0 | 0 | ||
PALATIN TECHNOLOGIES INC | COM PAR $ .01 | 696077403 | 1,994 | 4,296,847 | SH | DFND | 4,296,847 | 0 | 0 | ||
PATTERSON UTI ENERGY INC | COM | 703481101 | 3,386 | 161,700 | SH | DFND | 161,700 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 18,583 | 714,542 | SH | DFND | 714,542 | 0 | 0 | ||
RICE ENERGY INC | COM | 762760106 | 13,873 | 479,385 | SH | DFND | 479,385 | 0 | 0 | ||
SAREPTA THERAPEUTICS INC | COM | 803607100 | 2,583 | 56,949 | SH | DFND | 56,949 | 0 | 0 | ||
SHIP FINANCE INTERNATIONAL L | NOTE 3.250% 2/0 | G81075AE6 | 43,285 | 39,206,000 | PRN | DFND | 39,206,000 | 0 | 0 | ||
SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 6,052 | 188,822 | SH | DFND | 188,822 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 324,638 | 3,750,000 | SH | Put | DFND | 3,750,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 3,607 | 41,666 | SH | DFND | 41,666 | 0 | 0 | ||
SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 3,391 | 81,184 | SH | DFND | 81,184 | 0 | 0 | ||
TAL ED GROUP | NOTE 2.500% 5/1 | 874080AB0 | 207,042 | 26,791,000 | PRN | DFND | 26,791,000 | 0 | 0 | ||
TESARO INC | COM | 881569107 | 2,312 | 17,907 | SH | DFND | 17,907 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 15,405 | 150,367 | SH | DFND | 150,367 | 0 | 0 | ||
TJX COS INC NEW | COM | 872540109 | 9,216 | 125,000 | SH | Put | DFND | 125,000 | 0 | 0 | |
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 916 | 308,227 | SH | DFND | 308,227 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 234 | 11,428 | SH | DFND | 11,428 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 690 | 467,000 | PRN | DFND | 467,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 83,084 | 26,624,000 | PRN | DFND | 26,624,000 | 0 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 6,051 | 109,710 | SH | DFND | 109,710 | 0 | 0 | ||
XENCOR INC | COM | 98401F105 | 4,505 | 196,537 | SH | DFND | 196,537 | 0 | 0 |