The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
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
3M CO COM 88579Y101 212 1,019 SH   DFND 1,2 1,019 0 0
ABERDEEN GLOBAL DYNAMIC DIVI COM 00302M106 98 10,378 SH   DFND 1,2 10,378 0 0
ACCENTURE PLC IRELAND SHS CLASS A G1151C101 216 1,238 SH   DFND 1,2 1,238 0 0
ACELRX PHARMACEUTICALS INC COM 00444T100 113 32,516 SH   DFND 1,2 32,516 0 0
ADOBE INC COM 00724F101 210 787 SH   DFND 1,2 787 0 0
AFFIMED N V COM N01045108 125 29,877 SH   DFND 1,2 29,877 0 0
AIR PRODS & CHEMS INC COM 009158106 216 1,130 SH   DFND 1,2 1,130 0 0
ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 51 300,000 SH   DFND 1,2 300,000 0 0
ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 2 21,490 SH   DFND 1,2 21,490 0 0
ALBERTON ACQUISITION CORP ORD SHS G35006108 9,653 970,141 SH   DFND 1,2 970,141 0 0
ALLEGRO MERGER CORP COM 01749N103 5,258 526,842 SH   DFND 1,2 526,842 0 0
ALPHABET INC CAP STK CL A 02079K305 204 173 SH   DFND 1,2 173 0 0
ALPHABET INC CAP STK CL C 02079K107 204 174 SH   DFND 1,2 174 0 0
AMAZON COM INC COM 023135106 214 120 SH   DFND 1,2 120 0 0
AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 56 200,000 SH   DFND 1,2 200,000 0 0
AMERICAN STS WTR CO COM 029899101 206 2,883 SH   DFND 1,2 2,883 0 0
AMERICAN WTR WKS CO INC NEW COM 030420103 209 2,000 SH   DFND 1,2 2,000 0 0
AMGEN INC COM 031162100 359 1,888 SH   DFND 1,2 1,888 0 0
ANI PHARMACEUTICALS INC COM 00182C103 5,613 79,571 SH   DFND 1,2 79,571 0 0
APPLE INC COM 037833100 219 1,154 SH   DFND 1,2 1,154 0 0
ARCHER DANIELS MIDLAND CO COM 039483102 210 4,872 SH   DFND 1,2 4,872 0 0
ARES DYNAMIC CR ALLOCATION F COM 04014F102 203 13,796 SH   DFND 1,2 13,796 0 0
ASCENA RETAIL GROUP INC COM 04351G101 48 44,269 SH   DFND 1,2 44,269 0 0
ASSURED GUARANTY LTD COM G0585R106 367 8,271 SH   DFND 1,2 8,271 0 0
ATMOS ENERGY CORP COM 049560105 214 2,080 SH   DFND 1,2 2,080 0 0
AVID BIOSERVICES INC COM 05368M106 106 24,958 SH   DFND 1,2 24,958 0 0
AXSOME THERAPEUTICS INC COM 05464T104 171 11,999 SH   DFND 1,2 11,999 0 0
BARCLAYS BK PLC IPATH B SHRT TRM 06746P621 1,697 58,000 SH   DFND 1,2 58,000 0 0
BARNES & NOBLE INC COM 067774109 87 16,518 SH   DFND 1,2 16,518 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 202 1,005 SH   DFND 1,2 1,005 0 0
BGC PARTNERS INC CL A 05541T101 138 25,933 SH   DFND 1,2 25,933 0 0
BIG ROCK PARTNERS ACQUISI CO COM 089482103 2,804 271,407 SH   DFND 1,2 271,407 0 0
BIODELIVERY SCIENCES INTL IN COM 09060J106 113 21,385 SH   DFND 1,2 21,385 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 13,333 1,305,870 SH   DFND 1,2 1,305,870 0 0
BLACKROCK ENERGY & RES TR COM 09250U101 381 31,700 SH   DFND 1,2 31,700 0 0
BLACKROCK ENHANCED GBL DIV T COM 092501105 229 21,485 SH   DFND 1,2 21,485 0 0
BLACKROCK HEALTH SCIENCES TR COM 09250W107 202 5,100 SH   DFND 1,2 5,100 0 0
BLACKROCK INC COM 09247X101 203 476 SH   DFND 1,2 476 0 0
BLACKSTONE GSO FLTING RTE FU COM 09256U105 176 10,800 SH   DFND 1,2 10,800 0 0
BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 347 24,569 SH   DFND 1,2 24,569 0 0
BLUEGREEN VACATIONS CORP COM 09629F108 28,067 1,910,179 SH   DFND 1,2 1,910,179 0 0
BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 83 275,000 SH   DFND 1,2 275,000 0 0
BRIGHTSPHERE INVESTMNT GRP P SHS G1644T109 153 11,271 SH   DFND 1,2 11,271 0 0
BRINKER INTL INC COM 109641100 258 5,820 SH   DFND 1,2 5,820 0 0
CAI INTERNATIONAL INC COM 12477X106 9,624 414,815 SH   DFND 1,2 414,815 0 0
CALIFORNIA WTR SVC GROUP COM 130788102 207 3,834 SH   DFND 1,2 3,834 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 1,018 100,000 SH   DFND 1,2 100,000 0 0
CAPSTEAD MTG CORP COM NO PAR 14067E506 167 19,386 SH   DFND 1,2 19,386 0 0
CARDTRONICS INC NOTE 1.000%12/0 14161HAG3 2,479 2,500,000 PRN   DFND 1,2 0 0 0
CASTLE BRANDS INC COM 148435100 10 14,989 SH   DFND 1,2 14,989 0 0
CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 1,272 128,828 SH   DFND 1,2 128,828 0 0
CHEGG INC COM 163092109 4,391 115,200 SH   DFND 1,2 115,200 0 0
CHEVRON CORP NEW COM 166764100 202 1,643 SH   DFND 1,2 1,643 0 0
CHURCHILL CAP CORP *W EXP 09/11/202 17142R111 1,968 600,000 SH   DFND 1,2 600,000 0 0
CIMAREX ENERGY CO COM 171798101 1,903 27,231 SH   DFND 1,2 27,231 0 0
CISCO SYS INC COM 17275R102 212 3,949 SH   DFND 1,2 3,949 0 0
CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 12,855 9,066,000 PRN   DFND 1,2 0 0 0
CITRIX SYS INC COM 177376100 3,511 35,231 SH   DFND 1,2 35,231 0 0
CLEAN ENERGY FUELS CORP COM 184499101 74 23,915 SH   DFND 1,2 23,915 0 0
CM SEVEN STAR ACQUISITION CO SHS G2345N102 16,042 2,233,456 SH   DFND 1,2 2,233,456 0 0
CNX RESOURCES CORPORATION COM 12653C108 157 14,540 SH   DFND 1,2 14,540 0 0
COCA COLA CO COM 191216100 208 4,442 SH   DFND 1,2 4,442 0 0
COLGATE PALMOLIVE CO COM 194162103 210 3,076 SH   DFND 1,2 3,076 0 0
COLLIER CREEK HOLDINGS COM CL A G22707106 2,988 300,000 SH   DFND 1,2 300,000 0 0
COLONY CAP INC NEW CL A COM 19626G108 154 29,032 SH   DFND 1,2 29,032 0 0
COLONY CR REAL ESTATE INC COM CL A 19625T101 2,848 183,557 SH   DFND 1,2 183,557 0 0
CONCRETE PUMPING HLDGS INC *W EXP 08/01/202 206704116 60 50,000 SH   DFND 1,2 50,000 0 0
CONSOLIDATED COMM HLDGS INC COM 209034107 174 16,505 SH   DFND 1,2 16,505 0 0
CONSOLIDATED TOMOKA LD CO NOTE 4.500% 3/1 210226AB2 7,867 7,500,000 PRN   DFND 1,2 0 0 0
CONTANGO OIL & GAS COMPANY COM NEW 21075N204 61 19,301 SH   DFND 1,2 19,301 0 0
CORINDUS VASCULAR ROBOTICS I COM 218730109 65 37,314 SH   DFND 1,2 37,314 0 0
COSTCO WHSL CORP NEW COM 22160K105 223 922 SH   DFND 1,2 922 0 0
COTY INC COM CL A 222070203 23,000 2,000,000 SH Call DFND 1,2 0 0 0
CUMMINS INC COM 231021106 207 1,311 SH   DFND 1,2 1,311 0 0
DANAHER CORP DEL COM 235851102 213 1,616 SH   DFND 1,2 1,616 0 0
DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 80 290,800 SH   DFND 1,2 290,800 0 0
DD3 ACQUISITION CORP SHS G2692M103 3,586 364,800 SH   DFND 1,2 364,800 0 0
DFB HEALTHCARE ACQUISTION CO COM 23291E109 4,745 475,000 SH   DFND 1,2 475,000 0 0
DIGITAL TURBINE INC COM NEW 25400W102 60 17,057 SH   DFND 1,2 17,057 0 0
DISNEY WALT CO COM DISNEY 254687106 201 1,806 SH   DFND 1,2 1,806 0 0
DOMINION ENERGY INC COM 25746U109 45,229 590,000 SH Call DFND 1,2 0 0 0
DOMINION ENERGY INC UNIT 08/15/2019 25746U836 16,224 325,000 SH   DFND 1,2 325,000 0 0
DURECT CORP COM 266605104 14 22,095 SH   DFND 1,2 22,095 0 0
EATON VANCE FLTING RATE INC COM 278279104 405 30,858 SH   DFND 1,2 30,858 0 0
EATON VANCE RISK MNGD DIV EQ COM 27829G106 418 45,823 SH   DFND 1,2 45,823 0 0
EATON VANCE SH TM DR DIVR IN COM 27828V104 134 10,400 SH   DFND 1,2 10,400 0 0
ECHOSTAR CORP CL A 278768106 1,731 47,484 SH   DFND 1,2 47,484 0 0
EDTECHX HLDGS ACQUISITION CO *W EXP 12/31/202 28138X111 73 382,773 SH   DFND 1,2 382,773 0 0
EDTECHX HLDGS ACQUISITION CO COM 28138X103 1,401 138,973 SH   DFND 1,2 138,973 0 0
EMERSON ELEC CO COM 291011104 205 2,991 SH   DFND 1,2 2,991 0 0
EURONET WORLDWIDE INC NOTE 1.500%10/0 298736AH2 23,078 11,755,000 PRN   DFND 1,2 0 0 0
EURONET WORLDWIDE INC COM 298736109 17,459 122,444 SH   DFND 1,2 122,444 0 0
EVERSOURCE ENERGY COM 30040W108 209 2,946 SH   DFND 1,2 2,946 0 0
EXXON MOBIL CORP COM 30231G102 204 2,526 SH   DFND 1,2 2,526 0 0
FINISAR CORP NOTE 0.500%12/1 31787AAP6 35,317 35,968,000 PRN   DFND 1,2 0 0 0
FINISAR CORP COM NEW 31787A507 2,317 100,000 SH Put DFND 1,2 0 0 0
FORUM MERGER II CORP CL A 34986F103 6,261 631,801 SH   DFND 1,2 631,801 0 0
FRANKLIN RES INC COM 354613101 208 6,287 SH   DFND 1,2 6,287 0 0
FRONTLINE LTD SHS NEW G3682E192 112 17,300 SH   DFND 1,2 17,300 0 0
GABELLI DIVD & INCOME TR COM 36242H104 717 33,883 SH   DFND 1,2 33,883 0 0
GENERAL DYNAMICS CORP COM 369550108 203 1,209 SH   DFND 1,2 1,209 0 0
GENESIS HEALTHCARE INC CL A COM 37185X106 67 46,800 SH   DFND 1,2 46,800 0 0
GIGCAPITAL INC COM 37518N106 14,509 1,422,420 SH   DFND 1,2 1,422,420 0 0
GILDAN ACTIVEWEAR INC COM 375916103 238 6,620 SH   DFND 1,2 6,620 0 0
GILEAD SCIENCES INC COM 375558103 205 3,146 SH   DFND 1,2 3,146 0 0
GLOBAL EAGLE ENTMT INC COM 37951D102 19 26,700 SH   DFND 1,2 26,700 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 379 37,170 SH   DFND 1,2 37,170 0 0
GORES HOLDINGS III INC CLASS A 38286G109 2,564 258,999 SH   DFND 1,2 258,999 0 0
GORES HOLDINGS III INC *W EXP 09/11/202 38286G117 126 86,333 SH   DFND 1,2 86,333 0 0
GRAINGER W W INC COM 384802104 207 687 SH   DFND 1,2 687 0 0
GREENLAND ACQUISITIN CORPORA SHS G40981139 567 56,327 SH   DFND 1,2 56,327 0 0
GS ACQUISITION HLDGS CORP COM CL A 36255F102 2,910 290,379 SH   DFND 1,2 290,379 0 0
GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 151 96,793 SH   DFND 1,2 96,793 0 0
GSV CAP CORP NOTE 4.750% 3/2 36191JAC5 3,230 3,225,000 PRN   DFND 1,2 0 0 0
GULFPORT ENERGY CORP COM NEW 402635304 156 19,504 SH   DFND 1,2 19,504 0 0
HERSHEY CO COM 427866108 208 1,813 SH   DFND 1,2 1,813 0 0
HL ACQUISITIONS CORP SHS G4603R106 834 84,109 SH   DFND 1,2 84,109 0 0
HOME DEPOT INC COM 437076102 208 1,082 SH   DFND 1,2 1,082 0 0
HONEYWELL INTL INC COM 438516106 209 1,314 SH   DFND 1,2 1,314 0 0
HORMEL FOODS CORP COM 440452100 207 4,658 SH   DFND 1,2 4,658 0 0
HORNBECK OFFSHORE SVCS INC N COM 440543106 37 30,234 SH   DFND 1,2 30,234 0 0
HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 46 100,000 SH   DFND 1,2 100,000 0 0
II VI INC COM 902104108 3,364 90,339 SH   DFND 1,2 90,339 0 0
ILLINOIS TOOL WKS INC COM 452308109 202 1,410 SH   DFND 1,2 1,410 0 0
INTEGRATED DEVICE TECHNOLOGY NOTE 0.875%11/1 458118AC0 50,933 32,487,000 PRN   DFND 1,2 0 0 0
INTEL CORP COM 458140100 201 3,774 SH   DFND 1,2 3,774 0 0
INTERCONTINENTAL EXCHANGE IN COM 45866F104 202 2,658 SH   DFND 1,2 2,658 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 207 1,469 SH   DFND 1,2 1,469 0 0
INVESCO ADVANTAGE MUNICIPAL SH BEN INT 46132E103 245 22,830 SH   DFND 1,2 22,830 0 0
INVESCO DYNAMIC CR OPP FD COM 46132R104 418 38,700 SH   DFND 1,2 38,700 0 0
INVESCO MUN OPPORTUNITY TR COM 46132C107 338 28,444 SH   DFND 1,2 28,444 0 0
INVESCO MUN TR COM 46131J103 147 12,286 SH   DFND 1,2 12,286 0 0
INVESCO TR INVT GRADE MUNS COM 46131M106 325 26,300 SH   DFND 1,2 26,300 0 0
INVESTORS BANCORP INC NEW COM 46146L101 151 12,744 SH   DFND 1,2 12,744 0 0
ISHARES INC MSCI STH KOR ETF 464286772 24,380 400,000 SH Put DFND 1 0 0 0
ISHARES INC MSCI BRAZIL ETF 464286400 4,304 105,000 SH   DFND 1,2 105,000 0 0
ISHARES TR S&P US PFD STK 464288687 36,833 1,017,500 SH Put DFND 1,2 0 0 0
ISHARES TR U.S. REAL ES ETF 464287739 16,599 190,700 SH Put DFND 1,2 0 0 0
ISHARES TR PHLX SEMICND ETF 464287523 3,791 20,000 SH   DFND 1,2 20,000 0 0
JOHNSON & JOHNSON COM 478160104 204 1,460 SH   DFND 1,2 1,460 0 0
JUST ENERGY GROUP INC COM 48213W101 225 66,188 SH   DFND 1,2 66,188 0 0
KAYNE ANDERSN MLP MIDS INVT COM 486606106 1,995 125,415 SH   DFND 1,2 125,415 0 0
KBL MERGER CORP IV COM 48242A104 11,095 1,067,860 SH   DFND 1,2 1,067,860 0 0
KIMBERLY CLARK CORP COM 494368103 217 1,752 SH   DFND 1,2 1,752 0 0
LAUDER ESTEE COS INC CL A 518439104 215 1,299 SH   DFND 1,2 1,299 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 1,255 125,000 SH   DFND 1,2 125,000 0 0
LEISURE ACQUISITION CORP COM 52539T107 3,398 338,484 SH   DFND 1,2 338,484 0 0
LEO HOLDINGS CORP COM CL A G5463L105 10,685 1,064,267 SH   DFND 1,2 1,064,267 0 0
LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 219 281,200 SH   DFND 1,2 281,200 0 0
LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 829 139,285 SH   DFND 1,2 139,285 0 0
LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 99,699 134,208,000 PRN   DFND 1,2 0 0 0
LIVEPERSON INC COM 538146101 2,084 71,800 SH   DFND 1,2 71,800 0 0
LOEWS CORP COM 540424108 203 4,226 SH   DFND 1,2 4,226 0 0
LONGEVITY ACQUISITION CORP *W EXP 07/31/202 G56372116 25 211,700 SH   DFND 1,2 211,700 0 0
MAGNA INTL INC COM 559222401 231 4,747 SH   DFND 1,2 4,747 0 0
MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 1,536 453,101 SH   DFND 1,2 453,101 0 0
MASTERCARD INCORPORATED CL A 57636Q104 210 895 SH   DFND 1,2 895 0 0
MEDEQUITIES RLTY TR INC COM 58409L306 9,372 842,030 SH   DFND 1,2 842,030 0 0
MEDLEY CAP CORP COM 58503F106 300 96,400 SH   DFND 1,2 96,400 0 0
MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 65 238,021 SH   DFND 1,2 238,021 0 0
MEGALITH FINL ACQUISITION CO CL A COM 58518F109 1,582 158,539 SH   DFND 1,2 158,539 0 0
MERCADOLIBRE INC NOTE 2.250% 7/0 58733RAB8 19,736 4,907,000 PRN   DFND 1,2 0 0 0
MERCK & CO INC COM 58933Y105 206 2,479 SH   DFND 1,2 2,479 0 0
METHANEX CORP COM 59151K108 233 4,095 SH   DFND 1,2 4,095 0 0
MFS INTER INCOME TR SH BEN INT 55273C107 164 43,391 SH   DFND 1,2 43,391 0 0
MGE ENERGY INC COM 55277P104 219 3,216 SH   DFND 1,2 3,216 0 0
MICHAELS COS INC COM 59408Q106 136 11,882 SH   DFND 1,2 11,882 0 0
MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 4,875 2,992,000 PRN   DFND 1,2 0 0 0
MICROSOFT CORP COM 594918104 214 1,813 SH   DFND 1,2 1,813 0 0
MODERN MEDIA ACQUISITION COM 60765P103 19,355 1,868,282 SH   DFND 1,2 1,868,282 0 0
MONTAGE RESOURCES CORP COM 61179L100 542 36,013 SH   DFND 1,2 36,013 0 0
MORGAN STANLEY ASIA PAC FD I COM 61744U106 5,809 355,316 SH   DFND 1,2 355,316 0 0
MOSAIC ACQUISITION CORP COM CL A 61946M100 2,056 204,010 SH   DFND 1,2 204,010 0 0
MR COOPER GROUP INC COM 62482R107 377 39,264 SH   DFND 1,2 39,264 0 0
NATIONAL CINEMEDIA INC COM 635309107 93 13,193 SH   DFND 1,2 13,193 0 0
NAVIENT CORPORATION COM 63938C108 153 13,196 SH   DFND 1,2 13,196 0 0
NEW FRONTIER CORP COM CL A G6485P108 7,769 784,700 SH   DFND 1,2 784,700 0 0
NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 356 750,000 SH   DFND 1,2 750,000 0 0
NII HLDGS INC COM PAR 62913F508 41 21,126 SH   DFND 1,2 21,126 0 0
NIKE INC CL B 654106103 203 2,407 SH   DFND 1,2 2,407 0 0
NORBORD INC COM NEW 65548P403 245 8,870 SH   DFND 1,2 8,870 0 0
NUTRIEN LTD COM 67077M108 237 4,488 SH   DFND 1,2 4,488 0 0
NUVEEN CORE EQUITY ALPHA FUN COM 67090X107 141 10,049 SH   DFND 1,2 10,049 0 0
NUVEEN FLOATING RATE INCOME COM 67072T108 460 48,100 SH   DFND 1,2 48,100 0 0
NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 466 48,862 SH   DFND 1,2 48,862 0 0
NUVEEN QUALITY MUNCP INCOME COM 67066V101 445 32,925 SH   DFND 1,2 32,925 0 0
NUVEEN SR INCOME FD COM 67067Y104 202 35,092 SH   DFND 1,2 35,092 0 0
ON DECK CAP INC COM 682163100 93 17,151 SH   DFND 1,2 17,151 0 0
ONE GAS INC COM 68235P108 208 2,333 SH   DFND 1,2 2,333 0 0
ONE MADISON CORP COM CL A G6772P100 19,377 1,890,424 SH   DFND 1,2 1,890,424 0 0
OPES ACQUISITION CORP COM 68373P100 1,207 118,910 SH   DFND 1,2 118,910 0 0
ORACLE CORP COM 68389X105 207 3,869 SH   DFND 1,2 3,869 0 0
ORGANOGENESIS HLDGS INC *W EXP 10/07/202 68621F110 29 100,000 SH   DFND 1,2 100,000 0 0
PACCAR INC COM 693718108 204 2,988 SH   DFND 1,2 2,988 0 0
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 104 14,356 SH   DFND 1,2 14,356 0 0
PARTY CITY HOLDCO INC COM 702149105 128 16,058 SH   DFND 1,2 16,058 0 0
PENNYMAC FINL SVCS INC COM 70932M107 1,730 77,791 SH   DFND 1,2 77,791 0 0
PENSARE ACQUISITION CORP COM 70957E105 33,743 3,285,546 SH   DFND 1,2 3,285,546 0 0
PEPSICO INC COM 713448108 213 1,734 SH   DFND 1,2 1,734 0 0
PFENEX INC COM 717071104 81 13,093 SH   DFND 1,2 13,093 0 0
PFIZER INC COM 717081103 201 4,723 SH   DFND 1,2 4,723 0 0
PHILIP MORRIS INTL INC COM 718172109 206 2,329 SH   DFND 1,2 2,329 0 0
PIONEER FLOATING RATE TR COM 72369J102 273 26,400 SH   DFND 1,2 26,400 0 0
PITNEY BOWES INC COM 724479100 239 34,802 SH   DFND 1,2 34,802 0 0
PLURALSIGHT INC COM CL A 72941B106 4,888 154,000 SH   DFND 1,2 154,000 0 0
PROCTER AND GAMBLE CO COM 742718109 213 2,063 SH   DFND 1,2 2,063 0 0
PROGRESSIVE CORP OHIO COM 743315103 201 2,794 SH   DFND 1,2 2,794 0 0
PROSPECT CAPITAL CORP NOTE 6.375% 3/0 74348TAT9 7,388 7,500,000 PRN   DFND 1,2 7,500,000 0 0
PUBLIC STORAGE COM 74460D109 212 972 SH   DFND 1,2 972 0 0
PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 116 104,505 SH   DFND 1,2 104,505 0 0
QUAD / GRAPHICS INC COM CL A 747301109 2,656 223,203 SH   DFND 1,2 223,203 0 0
RAYTHEON CO COM NEW 755111507 201 1,109 SH   DFND 1,2 1,109 0 0
READY CAP CORP COM 75574U101 4,235 288,655 SH   DFND 1,2 288,655 0 0
REALOGY HLDGS CORP COM 75605Y106 135 11,830 SH   DFND 1,2 11,830 0 0
RED HAT INC NOTE 0.250%10/0 756577AD4 4,809 1,946,000 PRN   DFND 1,2 0 0 0
REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 15,466 1,531,280 SH   DFND 1,2 1,531,280 0 0
REGIONS FINL CORP NEW COM 7591EP100 145 10,259 SH   DFND 1,2 10,259 0 0
RESOURCE CAP CORP NOTE 4.500% 8/1 76120WAC8 10,241 10,299,000 PRN   DFND 1,2 0 0 0
RESTORATION HARDWARE HLDGS I NOTE 6/1 761283AD2 4,115 4,100,000 PRN   DFND 1,2 0 0 0
RH COM 74967X103 4,828 46,900 SH Put DFND 1,2 0 0 0
RLJ LODGING TR CUM CONV PFD A 74965L200 1,647 65,467 SH   DFND 1,2 65,467 0 0
ROKU INC COM CL A 77543R102 246 3,820 SH   DFND 1,2 3,820 0 0
ROYCE MICRO-CAP TR INC COM 780915104 347 41,600 SH   DFND 1,2 41,600 0 0
RUBICON PROJ INC COM 78112V102 128 21,122 SH   DFND 1,2 21,122 0 0
SABAN CAP ACQUISITION CORP COM CL A 78516C106 19,265 1,874,000 SH   DFND 1,2 1,874,000 0 0
SEABRIDGE GOLD INC COM 811916105 13,847 1,117,584 SH   DFND 1,2 1,117,584 0 0
SELECT SECTOR SPDR TR ENERGY 81369Y506 5,924 89,600 SH   DFND 1,2 89,600 0 0
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2,375 32,100 SH   DFND 1,2 32,100 0 0
SEMGROUP CORP CL A 81663A105 156 10,571 SH   DFND 1,2 10,571 0 0
SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 38 56,181 SH   DFND 1,2 56,181 0 0
SENTINEL ENERGY SVCS INC CL A 81728P105 20,554 2,039,045 SH   DFND 1,2 2,039,045 0 0
SESEN BIO INC COM 817763105 54 52,356 SH   DFND 1,2 52,356 0 0
SIMON PPTY GROUP INC NEW COM 828806109 209 1,148 SH   DFND 1,2 1,148 0 0
SITE CENTERS CORP COM 82981J109 174 12,755 SH   DFND 1,2 12,755 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 3,305 324,314 SH   DFND 1,2 324,314 0 0
SOUTHWESTERN ENERGY CO COM 845467109 116 24,718 SH   DFND 1,2 24,718 0 0
SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 95 86,666 SH   DFND 1,2 86,666 0 0
SPARTAN ENERGY ACQUISITON CO CL A COM STK 846784106 3,932 400,000 SH   DFND 1,2 400,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 22,598 80,000 SH Put DFND 1,2 0 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 26,101 2,104,907 SH   DFND 1,2 2,104,907 0 0
SPROTT PHYSICAL PLAT PALLAD UNIT 85207Q104 3,873 365,013 SH   DFND 1,2 365,013 0 0
STANLEY BLACK & DECKER INC COM 854502101 206 1,510 SH   DFND 1,2 1,510 0 0
STARWOOD WAYPOINT RESIDENTL NOTE 3.000% 7/0 85571WAB5 44,544 33,562,000 PRN   DFND 1,2 0 0 0
STEIN MART INC COM 858375108 38 38,416 SH   DFND 1,2 38,416 0 0
STRYKER CORP COM 863667101 211 1,067 SH   DFND 1,2 1,067 0 0
T MOBILE US INC COM 872590104 7,709 111,561 SH   DFND 1,2 111,561 0 0
TARGET CORP COM 87612E106 214 2,665 SH   DFND 1,2 2,665 0 0
TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 493 318,098 SH   DFND 1,2 318,098 0 0
TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 396 23,143 SH   DFND 1,2 23,143 0 0
TENZING ACQUISITION CORP ORD SHS G8708A116 3,342 331,898 SH   DFND 1,2 331,898 0 0
TEXAS INSTRS INC COM 882508104 200 1,901 SH   DFND 1,2 1,901 0 0
THIRD PT REINS LTD COM G8827U100 148 14,216 SH   DFND 1,2 14,216 0 0
THOMSON REUTERS CORP COM NEW 884903709 252 4,249 SH   DFND 1,2 4,249 0 0
THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 22 30,000 SH   DFND 1,2 30,000 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 13,760 1,349,000 SH   DFND 1,2 1,349,000 0 0
TIBERIUS ACQUISITION CORP *W EXP 02/28/202 88633A115 33 75,000 SH   DFND 1,2 75,000 0 0
TJX COS INC NEW COM 872540109 209 3,921 SH   DFND 1,2 3,921 0 0
TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 26,149 2,636,010 SH   DFND 1,2 2,636,010 0 0
TORCHMARK CORP COM 891027104 206 2,514 SH   DFND 1,2 2,514 0 0
TPG PACE HLDGS CORP CL A G89827128 1,541 150,450 SH   DFND 1,2 150,450 0 0
TRANSALTA CORP COM 89346D107 2,241 304,600 SH   DFND 1,2 304,600 0 0
TRAVELERS COMPANIES INC COM 89417E109 209 1,527 SH   DFND 1,2 1,527 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 10,670 1,047,138 SH   DFND 1,2 1,047,138 0 0
TRINITY MERGER CORP COM CL A 89653L106 3,429 335,499 SH   DFND 1,2 335,499 0 0
TWELVE SEAS INVESTMENT COMPA SHS G9145A107 23,207 2,316,048 SH   DFND 1,2 2,316,048 0 0
UBS AG LONDON BRH ETRACS MTH2XRE 90269A302 268 18,383 SH   DFND 1,2 18,383 0 0
UNITED PARCEL SERVICE INC CL B 911312106 206 1,842 SH   DFND 1,2 1,842 0 0
UNITEDHEALTH GROUP INC COM 91324P102 207 839 SH   DFND 1,2 839 0 0
V F CORP COM 918204108 208 2,394 SH   DFND 1,2 2,394 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 6,614 295,000 SH   DFND 1,2 295,000 0 0
VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 5,743 181,000 SH   DFND 1,2 181,000 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 40,203 3,933,795 SH   DFND 1,2 3,933,795 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 5,475 548,051 SH   DFND 1,2 548,051 0 0
VECTOR GROUP LTD COM 92240M108 158 14,635 SH   DFND 1,2 14,635 0 0
VERASTEM INC NOTE 5.000%11/0 92337CAA2 6,708 8,250,000 PRN   DFND 1,2 0 0 0
VIRNETX HLDG CORP COM 92823T108 128 20,290 SH   DFND 1,2 20,290 0 0
VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 890 10,000 SH   DFND 1,2 10,000 0 0
VISA INC COM CL A 92826C839 214 1,369 SH   DFND 1,2 1,369 0 0
VISTRA ENERGY CORP COM 92840M102 5,206 200,000 SH Put DFND 1,2 0 0 0
VISTRA ENERGY CORP UNIT 02/02/2024 92840M300 9,117 92,500 SH   DFND 1,2 92,500 0 0
VISTRA ENERGY CORP COM 92840M102 2,759 106,000 SH   DFND 1,2 106,000 0 0
VITAMIN SHOPPE INC COM 92849E101 131 18,609 SH   DFND 1,2 18,609 0 0
VIVINT SOLAR INC COM 92854Q106 102 20,574 SH   DFND 1,2 20,574 0 0
VOYA ASIA PAC DIVID EQUITY I COM 92912J102 130 14,221 SH   DFND 1,2 14,221 0 0
VOYA RISK MANAGED NAT RES FD COM 92913C106 98 18,741 SH   DFND 1,2 18,741 0 0
WALMART INC COM 931142103 201 2,060 SH   DFND 1,2 2,060 0 0
WASHINGTON PRIME GROUP NEW COM 93964W108 168 29,714 SH   DFND 1,2 29,714 0 0
WELLS FARGO MULTI SECTOR INC COM 94987D101 153 12,743 SH   DFND 1,2 12,743 0 0