B. Riley Financial
B. Riley Financial, Inc. (Form: 13F-HR/A, Received: 08/25/2017 06:03:24)

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 OMB APPROVAL
  Washington, D.C. 20549
FORM 13F
OMB Number:   3235-0006
Expires:          July 31, 2015
Estimated average burden
hours per response:       23.8


FORM 13F COVER PAGE


Report for the Calendar Year or Quarter Ended:
06-30-2017
 
Check here if Amendment: Amendment Number:
1
 
This Amendment (Check only one.):      is a restatement.
  adds new holdings entries.

Institutional Investment Manager Filing this Report:

Name: B. Riley Financial, Inc. 
Address: 21255 Burbank Blvd. 
  Suite 400 
  Woodland Hills  CA  91367 

Form 13F File Number:   028-17148 


The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:

Name: Michael Markunas 
Title: Chief Compliance Officer 
Phone: 310-689-2220 

Signature, Place, and Date of Signing:

/s/ Michael Markunas  Los Angeles,  CALIFORNIA 08-24-2017 
[Signature] [City, State] [Date]

Do you wish to provide information pursuant to Special Instruction 5?          Yes      X  No

Report Type (Check only one.):

X  13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)

      13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)

      13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)


Form 13F Summary Page

Report Summary:

Number of Other Included Managers:
Form 13F Information table Entry Total: 223 
Form 13F Information table Value Total: 367,819 
  (thousands)

List of Other Included Managers:

Provide a numbered list of the name(s) and Form 13F number(s) of all institutional investement managers with respect to which this report is filed, other than the manager filing this report.

   No. Form 13F File Number Name CIK
028-17147  B. RILEY CAPITAL MANAGEMENT, LLC  0001658704 

FORM 13F INFORMATION TABLE

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE
(x$1000)
SHRS OR
PRN AMT
SH /
PRN
PUT /
CALL
INVESTMENT
DISCRETION
OTHER
MANAGER
VOTING AUTHORITY
SOLE SHARED NONE
APOLLO SR FLOATING RATE FD I COM 037636107 709 42,018 SH - DFND 1 0 42,018 0
APOLLO TACTICAL INCOME FD IN COM 037638103 385 23,648 SH - DFND 1 0 23,648 0
APPLE INC COM 037833100 1,535 10,661 SH - DFND 1 0 10,661 0
ARISTA NETWORKS INC COM 040413106 7,490 50,000 SH Put DFND 1 0 50,000 0
AUTOLIV INC COM 052800109 1,255 11,426 SH - DFND 1 0 11,426 0
BRT RLTY TR SH BEN INT NEW 055645303 99 82,512 SH - DFND 1 0 82,512 0
BAZAARVOICE INC COM 073271108 658 132,918 SH - DFND 1 0 132,918 0
BERKSHIRE HATHAWAY INC DEL CL A 084670108 255 1 SH - DFND 1 0 1 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 474 2,800 SH - DFND 1 0 2,800 0
BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 254 10,938 SH - DFND 1 0 10,938 0
BRUNSWICK CORP COM 117043109 610 9,729 SH - DFND 1 0 9,729 0
CADIZ INC COM NEW 127537207 107 7,900 SH - DFND 1 0 7,900 0
CADIZ INC COM NEW 127537207 1,028 76,142 SH - DFND - 0 76,142 0
CALAMP CORP COM 128126109 653 32,133 SH - DFND 1 0 32,133 0
CDN IMPERIAL BK COMM TORONTO COM 136069101 1,217 15,000 SH Put DFND 1 0 15,000 0
CARBONITE INC COM 141337105 603 27,670 SH - DFND 1 0 27,670 0
CARVANA CO CL A 146869102 1,100 53,758 SH - DFND 1 0 53,758 0
CREDIT ACCEP CORP MICH COM 225310101 1,337 5,200 SH - DFND 1 0 5,200 0
CRYOLIFE INC COM 228903100 579 29,000 SH - DFND 1 0 29,000 0
DISNEY WALT CO COM DISNEY 254687106 265 2,490 SH - DFND 1 0 2,490 0
DORMAN PRODUCTS INC COM 258278100 1,242 15,000 SH Put DFND 1 0 15,000 0
DOUBLELINE INCOME SOLUTIONS COM 258622109 1,767 85,546 SH - DFND 1 0 85,546 0
FIRST BANCORP N C COM 318910106 625 20,000 SH - DFND 1 0 20,000 0
FORD MTR CO DEL COM PAR $0.01 345370860 4,476 400,000 SH Put DFND 1 0 400,000 0
FORMFACTOR INC COM 346375108 362 29,189 SH - DFND 1 0 29,189 0
GARRISON CAP INC COM 366554103 483 58,435 SH - DFND 1 0 58,435 0
GORES HLDGS II INC COM CL A 382867109 1,505 150,000 SH - DFND 1 0 150,000 0
GORES HLDGS II INC *W EXP 03/06/202 382867117 75 50,000 SH - DFND 1 0 50,000 0
HC2 HLDGS INC COM 404139107 8,286 1,409,209 SH - DFND 1 0 1,409,209 0
HC2 HLDGS INC COM 404139107 149 25,302 SH - DFND - 0 25,302 0
HANESBRANDS INC COM 410345102 892 38,500 SH Put DFND 1 0 38,500 0
HEXCEL CORP NEW COM 428291108 944 17,885 SH - DFND 1 0 17,885 0
HOME DEPOT INC COM 437076102 209 1,360 SH - DFND 1 0 1,360 0
IMMERSION CORP COM 452521107 758 83,440 SH - DFND 1 0 83,440 0
ISHARES MSCI BRZ CAP ETF 464286400 278 8,130 SH - DFND 1 0 8,130 0
ISHARES MIN VOL GBL ETF 464286525 1,129 14,269 SH - DFND 1 0 14,269 0
ISHARES MSCI TURKEY ETF 464286715 955 23,000 SH - DFND 1 0 23,000 0
ISHARES TR SELECT DIVID ETF 464287168 1,023 11,093 SH - DFND 1 0 11,093 0
ISHARES TR MSCI EMG MKT ETF 464287234 374 9,048 SH - DFND 1 0 9,048 0
ISHARES TR IBOXX INV CP ETF 464287242 1,274 10,572 SH - DFND 1 0 10,572 0
ISHARES TR MSCI EAFE ETF 464287465 1,420 21,782 SH - DFND 1 0 21,782 0
ISHARES TR RUS MID CAP ETF 464287499 3,418 17,793 SH - DFND 1 0 17,793 0
ISHARES TR CORE S&P MCP ETF 464287507 528 3,033 SH - DFND 1 0 3,033 0
ISHARES TR NASDQ BIOTEC ETF 464287556 656 2,114 SH - DFND 1 0 2,114 0
ISHARES TR RUS 1000 GRW ETF 464287614 244 2,053 SH - DFND 1 0 2,053 0
ISHARES TR RUS 2000 GRW ETF 464287648 408 2,416 SH - DFND 1 0 2,416 0
ISHARES TR RUSSELL 2000 ETF 464287655 26,775 190,000 SH Put DFND 1 0 190,000 0
ISHARES TR CORE S&P SCP ETF 464287804 240 3,422 SH - DFND 1 0 3,422 0
ISHARES TR MSCI ACWI EX US 464288240 511 11,203 SH - DFND 1 0 11,203 0
ISHARES TR JP MOR EM MK ETF 464288281 1,132 9,899 SH - DFND 1 0 9,899 0
ISHARES TR NEW YORK MUN ETF 464288323 1,500 13,446 SH - DFND 1 0 13,446 0
ISHARES TR NATIONAL MUN ETF 464288414 964 8,758 SH - DFND 1 0 8,758 0
ISHARES TR INTL SEL DIV ETF 464288448 1,801 55,056 SH - DFND 1 0 55,056 0
ISHARES TR 1-3 YR CR BD ETF 464288646 1,669 15,852 SH - DFND 1 0 15,852 0
ISHARES TR GLOBAL MATER ETF 464288695 326 5,448 SH - DFND 1 0 5,448 0
KEMET CORP COM NEW 488360207 5,373 419,756 SH - DFND 1 0 419,756 0
KEMET CORP COM NEW 488360207 135 10,540 SH - DFND - 0 10,540 0
KULICKE & SOFFA INDS INC COM 501242101 339 17,820 SH - DFND 1 0 17,820 0
LINDBLAD EXPEDITIONS HLDGS I COM 535219109 162 15,420 SH - DFND 1 0 15,420 0
MADDEN STEVEN LTD COM 556269108 656 16,429 SH - DFND 1 0 16,429 0
MICROSOFT CORP COM 594918104 3,195 46,355 SH - DFND 1 0 46,355 0
MICRON TECHNOLOGY INC COM 595112103 1,761 58,962 SH - DFND 1 0 58,962 0
MIMEDX GROUP INC COM 602496101 897 59,900 SH - DFND 1 0 59,900 0
MIMEDX GROUP INC COM 602496101 1,198 80,000 SH Call DFND 1 0 80,000 0
NMI HLDGS INC CL A 629209305 1,229 313,870 SH - DFND - 0 313,870 0
NEW MTN FIN CORP COM 647551100 437 30,000 SH - DFND 1 0 30,000 0
NOKIA CORP SPONSORED ADR 654902204 609 98,792 SH - DFND 1 0 98,792 0
NOVAVAX INC COM 670002104 12 10,500 SH - DFND 1 0 10,500 0
NUVEEN MTG OPPORTUNITY TERM COM 670735109 240 9,383 SH - DFND 1 0 9,383 0
OCCIDENTAL PETE CORP DEL COM 674599105 4,490 75,000 SH Call DFND 1 0 75,000 0
ON SEMICONDUCTOR CORP COM 682189105 777 55,311 SH - DFND 1 0 55,311 0
ONE LIBERTY PPTYS INC COM 682406103 293 22,849 SH - DFND 1 0 22,849 0
OOMA INC COM 683416101 927 115,845 SH - DFND 1 0 115,845 0
PAPA MURPHYS HLDGS INC COM 698814100 437 100,000 SH - DFND - 0 100,000 0
PENNANTPARK INVT CORP COM 708062104 2,559 346,270 SH - DFND 1 0 346,270 0
RIGEL PHARMACEUTICALS INC COM NEW 766559603 554 203,000 SH - DFND 1 0 203,000 0
ROYAL BK CDA MONTREAL QUE COM 780087102 7,252 100,000 SH Put DFND 1 0 100,000 0
S&W SEED CO COM 785135104 656 158,054 SH - DFND 1 0 158,054 0
SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323108 841 254,000 SH - DFND 1 0 254,000 0
SNAP ON INC COM 833034101 2,370 15,000 SH Put DFND 1 0 15,000 0
SPLUNK INC COM 848637104 431 7,579 SH - DFND 1 0 7,579 0
STAMPS COM INC COM NEW 852857200 581 3,751 SH - DFND 1 0 3,751 0
STURM RUGER & CO INC COM 864159108 1,243 20,000 SH Put DFND 1 0 20,000 0
SUPERIOR INDS INTL INC COM 868168105 647 31,491 SH - DFND 1 0 31,491 0
THL CR INC COM 872438106 199 20,000 SH - DFND 1 0 20,000 0
TELENAV INC COM 879455103 3,041 375,393 SH - DFND 1 0 375,393 0
TERADYNE INC COM 880770102 297 9,904 SH - DFND 1 0 9,904 0
TONIX PHARMACEUTICALS HLDG C COM 890260409 1,637 378,138 SH - DFND 1 0 378,138 0
TRANSACT TECHNOLOGIES INC COM 892918103 622 73,254 SH - DFND 1 0 73,254 0
VANGUARD SPECIALIZED PORTFOLIO DIV APP ETF 921908844 1,500 16,183 SH - DFND 1 0 16,183 0
VANGUARD STAR FD VG TL INTL STK F 921909768 507 9,756 SH - DFND 1 0 9,756 0
VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2,609 52,996 SH - DFND 1 0 52,996 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 339 6,784 SH - DFND 1 0 6,784 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2,146 52,553 SH - DFND 1 0 52,553 0
VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 628 9,546 SH - DFND 1 0 9,546 0
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 473 8,572 SH - DFND 1 0 8,572 0
VANGUARD INDEX FDS MID CAP ETF 922908629 3,305 23,191 SH - DFND 1 0 23,191 0
VANGUARD INDEX FDS LARGE CAP ETF 922908637 8,681 78,189 SH - DFND 1 0 78,189 0
VANGUARD INDEX FDS GROWTH ETF 922908736 328 2,578 SH - DFND 1 0 2,578 0
VANGUARD INDEX FDS TOTAL STK MKT 922908769 1,953 15,697 SH - DFND 1 0 15,697 0
ZION OIL & GAS INC COM 989696109 261 76,070 SH - DFND 1 0 76,070 0
IMAX CORP COM 45245E109 506 23,004 SH - DFND 1 0 23,004 0
ALPS ETF TR ALERIAN MLP 00162Q866 316 26,420 SH - DFND 1 0 26,420 0
AMC ENTMT HLDGS INC CL A COM 00165C104 591 25,985 SH - DFND 1 0 25,985 0
AEHR TEST SYSTEMS COM 00760J108 1,889 503,838 SH - DFND 1 0 503,838 0
AMERICAN OUTDOOR BRANDS CORP COM 02874P103 1,662 75,000 SH Put DFND 1 0 75,000 0
APOLLO INVT CORP COM 03761U106 308 48,206 SH - DFND 1 0 48,206 0
ARES CAP CORP COM 04010L103 1,257 76,733 SH - DFND 1 0 76,733 0
ARES DYNAMIC CR ALLOCATION F COM 04014F102 229 13,989 SH - DFND 1 0 13,989 0
AXON ENTERPRISE INC COM 05464C101 622 24,725 SH - DFND 1 0 24,725 0
BLACKSTONE GSO FLTING RTE FU COM 09256U105 179 10,000 SH - DFND 1 0 10,000 0
BOULEVARD ACQUISITION CL A 10157Q102 2,776 277,048 SH - DFND 1 0 277,048 0
BROOKLINE BANCORP INC DEL COM 11373M107 835 57,206 SH - DFND 1 0 57,206 0
C H ROBINSON WORLDWIDE INC COM NEW 12541W209 5,494 80,000 SH Put DFND 1 0 80,000 0
C&J ENERGY SVCS INC NEW COM 12674R100 1,969 57,465 SH - DFND 1 0 57,465 0
CLIPPER RLTY INC COM 18885T306 4,376 354,604 SH - DFND - 0 354,604 0
CLOUDERA INC COM 18914U100 504 31,490 SH - DFND 1 0 31,490 0
COHEN & STEERS LTD DUR PFD I COM 19248C105 748 28,006 SH - DFND 1 0 28,006 0
COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 97 126,598 PRN - DFND - 0 126,598 0
COSTCO WHSL CORP NEW COM 22160K105 217 1,355 SH - DFND 1 0 1,355 0
COVISINT CORP COM 22357R103 7,696 3,141,213 SH - DFND 1 0 3,141,213 0
DXC TECHNOLOGY CO COM 23355L106 364 4,751 SH - DFND 1 0 4,751 0
DIGITAL TURBINE INC COM NEW 25400W102 1,428 1,386,481 SH - DFND 1 0 1,386,481 0
DIGITAL TURBINE INC COM NEW 25400W102 305 295,918 SH - DFND - 0 295,918 0
EHEALTH INC COM 28238P109 705 37,500 SH - DFND 1 0 37,500 0
ENERGOUS CORP COM 29272C103 813 50,000 SH Put DFND 1 0 50,000 0
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 226 12,590 SH - DFND 1 0 12,590 0
EVERSPIN TECHNOLOGIES INC COM 30041T104 346 17,312 SH - DFND 1 0 17,312 0
FACEBOOK INC CL A 30303M102 535 3,544 SH - DFND 1 0 3,544 0
FINISAR CORP COM NEW 31787A507 1,449 55,768 SH - DFND 1 0 55,768 0
FINJAN HLDGS INC COM NEW 31788H303 3,936 1,200,000 SH - DFND 1 0 1,200,000 0
FINJAN HLDGS INC COM NEW 31788H303 1,523 464,319 SH - DFND - 0 464,319 0
FINTECH ACQUISITION CORP II COM 31810G109 980 100,000 SH - DFND 1 0 100,000 0
FINTECH ACQUISITION CORP II *W EXP 01/19/202 31810G117 38 50,000 SH - DFND 1 0 50,000 0
FUSION TELECOMM INTL INC COM NEW 36113B400 145 100,000 SH - DFND - 0 100,000 0
GW PHARMACEUTICALS PLC ADS 36197T103 1,163 11,600 SH Put DFND 1 0 11,600 0
GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 745 77,344 SH - DFND 1 0 77,344 0
HP INC COM 40434L105 2,343 134,048 SH - DFND 1 0 134,048 0
HEALTH INS INNOVATIONS INC COM CL A 42225K106 5,875 250,000 SH - DFND 1 0 250,000 0
HEWLETT PACKARD ENTERPRISE C COM 42824C109 918 55,312 SH - DFND 1 0 55,312 0
HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 163 225,000 PRN - DFND - 0 225,000 0
ISTAR INC COM 45031U101 518 43,000 SH - DFND 1 0 43,000 0
INSEEGO CORP NOTE 5.500% 6/1 45782BAA2 647 900,000 PRN - DFND - 0 900,000 0
INTUITIVE SURGICAL INC COM NEW 46120E602 2,806 3,000 SH Put DFND 1 0 3,000 0
INVUITY INC COM NEW 46187J205 3,625 500,000 SH - DFND 1 0 500,000 0
ISHARES TR FLTG RATE BD ETF 46429B655 3,036 59,625 SH - DFND 1 0 59,625 0
ISHARES TR MIN VOL EAFE ETF 46429B689 611 8,819 SH - DFND 1 0 8,819 0
ISHARES TR MIN VOL USA ETF 46429B697 1,041 21,269 SH - DFND 1 0 21,269 0
ISHARES TR CORE MSCI EAFE 46432F842 626 10,275 SH - DFND 1 0 10,275 0
KBL MERGER CORP IV UNIT 01/15/2024 48242A203 408 40,000 SH - DFND 1 0 40,000 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 2,041 209,998 SH - DFND 1 0 209,998 0
KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 52 66,666 SH - DFND 1 0 66,666 0
KRATOS DEFENSE & SEC SOLUTIONS COM NEW 50077B207 602 50,722 SH - DFND 1 0 50,722 0
LADENBURG THALMAN FIN SVCS I COM 50575Q102 6 81,050 SH - DFND 1 0 81,050 0
LONESTAR RES US INC CL A VTG 54240F103 2,744 638,101 SH - DFND 1 0 638,101 0
LUMENTUM HLDGS INC COM 55024U109 1,014 17,775 SH - DFND 1 0 17,775 0
MCBC HLDGS INC COM 55276F107 5,726 292,907 SH - DFND 1 0 292,907 0
MCBC HLDGS INC COM 55276F107 489 25,000 SH - DFND - 0 25,000 0
M I ACQUISITIONS INC COM 55304A104 215 21,500 SH - DFND 1 0 21,500 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 966 100,000 SH - DFND 1 0 100,000 0
MATLIN & PARTNERS ACQUISITIO *W EXP 03/15/202 57682V114 38 100,000 SH - DFND 1 0 100,000 0
MERIDIAN BANCORP INC MD COM 58958U103 389 23,000 SH - DFND 1 0 23,000 0
NETSCOUT SYS INC COM 64115T104 602 17,503 SH - DFND 1 0 17,503 0
NETLIST INC COM 64118P109 1,378 1,351,013 SH - DFND 1 0 1,351,013 0
NEWS CORP NEW CL A 65249B109 704 51,400 SH - DFND 1 0 51,400 0
NUMEREX CORP PA CL A 67053A102 74 15,000 SH - DFND - 0 15,000 0
NUVEEN BUILD AMER BD FD COM 67074C103 529 25,223 SH - DFND 1 0 25,223 0
OCLARO INC COM NEW 67555N206 607 64,940 SH - DFND 1 0 64,940 0
PENNANTPARK FLOATING RATE CA COM 70806A106 2,590 183,585 SH - DFND 1 0 183,585 0
PIMCO ETF TR LOW DURTN AC ETF 72201R718 1,169 11,544 SH - DFND 1 0 11,544 0
PIMCO ETF TR ENHAN SHRT MA AC 72201R833 6,646 65,334 SH - DFND 1 0 65,334 0
PLATFORM SPECIALTY PRODS COR COM 72766Q105 761 60,000 SH - DFND 1 0 60,000 0
POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1,116 8,108 SH - DFND 1 0 8,108 0
POWERSHARES QQQ TRUST UNIT SER 1 73935A104 41,457 301,200 SH Put DFND 1 0 301,200 0
POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 279 6,102 SH - DFND 1 0 6,102 0
POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 209 8,830 SH - DFND 1 0 8,830 0
POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 612 40,527 SH - DFND 1 0 40,527 0
PRIMO WTR CORP COM 74165N105 1,072 84,375 SH - DFND 1 0 84,375 0
REDWOOD TR INC NOTE 4.625% 4/1 758075AB1 10 10,000 PRN - DFND - 0 10,000 0
RENT A CTR INC NEW COM 76009N100 272 23,206 SH - DFND - 0 23,206 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 1,736 7,180 SH - DFND 1 0 7,180 0
SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 824 19,839 SH - DFND 1 0 19,839 0
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 553 2,592 SH - DFND 1 0 2,592 0
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 308 3,440 SH - DFND 1 0 3,440 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 493 20,000 SH Put DFND 1 0 20,000 0
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 5,108 75,000 SH Put DFND 1 0 75,000 0
SELECT ENERGY SVCS INC CL A COM 81617J301 1,763 145,100 SH - DFND 1 0 145,100 0
SELECT ENERGY SVCS INC CL A COM 81617J301 30 2,500 SH - DFND - 0 2,500 0
SENSUS HEATLHCARE INC COM 81728J109 421 104,794 SH - DFND 1 0 104,794 0
SENSUS HEATLHCARE INC *W EXP 06/08/201 81728J117 139 231,256 SH - DFND 1 0 231,256 0
SILVER RUN ACQUISITION COM CL A 82812A103 506 49,998 SH - DFND 1 0 49,998 0
SILVER RUN ACQUISITION *W EXP 03/28/202 82812A111 30 16,666 SH - DFND 1 0 16,666 0
SKYWORKS SOLUTIONS INC COM 83088M102 585 6,100 SH - DFND 1 0 6,100 0
SOLAR CAP LTD COM 83413U100 208 9,530 SH - DFND 1 0 9,530 0
SOLAR SR CAP LTD COM 83416M105 4,651 277,831 SH - DFND 1 0 277,831 0
TEMPUR SEALY INTL INC COM 88023U101 3,737 70,000 SH - DFND 1 0 70,000 0
THESTREET INC COM 88368Q103 218 263,200 SH - DFND - 0 263,200 0
TIVO CORP COM 88870P106 634 34,021 SH - DFND 1 0 34,021 0
TORTOISE MLP FD INC COM 89148B101 890 46,160 SH - DFND 1 0 46,160 0
TRUECAR INC COM 89785L107 680 34,095 SH - DFND 1 0 34,095 0
TWITTER INC COM 90184L102 1,251 70,000 SH Call DFND 1 0 70,000 0
USANA HEALTH SCIENCES INC COM 90328M107 1,923 30,000 SH - DFND 1 0 30,000 0
USANA HEALTH SCIENCES INC COM 90328M107 3,205 50,000 SH Put DFND 1 0 50,000 0
URBAN EDGE PPTYS COM 91704F104 392 16,523 SH - DFND 1 0 16,523 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 4,912 60,000 SH Put DFND 1 0 60,000 0
VANECK VECTORS ETF TR BIOTECH ETF 92189F726 203 1,619 SH - DFND 1 0 1,619 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3,381 42,247 SH - DFND 1 0 42,247 0
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 783 8,396 SH - DFND 1 0 8,396 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3,027 34,584 SH - DFND 1 0 34,584 0
VERITONE INC COM 92347M100 2,022 172,643 SH - DFND 1 0 172,643 0
VERSO CORP CL A 92531L207 1,853 395,000 SH - DFND 1 0 395,000 0
VIASAT INC COM 92552V100 624 9,424 SH - DFND 1 0 9,424 0
VONAGE HLDGS CORP COM 92886T201 2,011 307,500 SH - DFND 1 0 307,500 0
WILDHORSE RESOURCE DEV CORP COM 96812T102 622 50,247 SH - DFND 1 0 50,247 0
WISDOMTREE TR GLB US QTLY DIV 97717W844 651 12,222 SH - DFND 1 0 12,222 0
ATLANTIC ALLIANCE PARTNER CO SHS G04897107 1,254 122,381 SH - DFND 1 0 122,381 0
AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 985 100,000 SH - DFND 1 0 100,000 0
BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 1,828 44,675 SH - DFND 1 0 44,675 0
FERROGLOBE PLC SHS G33856108 6,788 568,035 SH - DFND 1 0 568,035 0
GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2,526 250,099 SH - DFND 1 0 250,099 0
GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 64 58,333 SH - DFND 1 0 58,333 0
JINKOSOLAR HLDG CO LTD DEBT 4.000% 2/0 G51385AA3 458 22,000 SH - DFND 1 0 22,000 0
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 1,750 105,948 SH - DFND 1 0 105,948 0