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 |
9 METERS BIOPHARMA INC | COM | 654405109 | 661 | 564,527 | SH | | DFND | 1 | 0 | 564,527 | 0 |
9 METERS BIOPHARMA INC | COM | 654405959 | 3,065 | 26,197 | SH | Put | DFND | 1 | 0 | 26,197 | 0 |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W956 | 76 | 100 | SH | Put | DFND | 1 | 0 | 100 | 0 |
ACUTUS MEDICAL INC | COM | 005111109 | 1,772 | 132,522 | SH | | DFND | 1 | 0 | 132,522 | 0 |
ADAMIS PHARMACEUTICALS CORP | COM | 00547W958 | 285 | 3,034 | SH | Put | DFND | 1 | 0 | 3,034 | 0 |
ADITX THERAPEUTICS INC | COM | 007025109 | 424 | 166,363 | SH | | DFND | 1 | 0 | 166,363 | 0 |
ADITX THERAPEUTICS INC | COM | 007025959 | 1,383 | 5,423 | SH | Put | DFND | 1 | 0 | 5,423 | 0 |
AETERNA ZENTARIS INC | COM | 007975902 | 53 | 462 | SH | Call | DFND | 1 | 0 | 462 | 0 |
AETERNA ZENTARIS INC | COM | 007975952 | 227 | 1,994 | SH | Put | DFND | 1 | 0 | 1,994 | 0 |
AETERNA ZENTARIS INC | COM | 007975402 | 682 | 598,442 | SH | | DFND | 1 | 0 | 598,442 | 0 |
AGRIFY CORP | COM | 00853E107 | 266 | 21,342 | SH | | DFND | 1 | 0 | 21,342 | 0 |
AMARIN CORP PLC | ADR | 023111956 | 200 | 322 | SH | Put | DFND | 1 | 0 | 322 | 0 |
AMARIN CORP PLC | ADR | 023111206 | 1,050 | 169,136 | SH | | DFND | 1 | 0 | 169,136 | 0 |
AMARIN CORP PLC | ADR | 023111906 | 3,436 | 5,533 | SH | Call | DFND | 1 | 0 | 5,533 | 0 |
AMPLITECH GROUP INC | *W | 03211Q119 | 1,500 | 342,425 | SH | | DFND | 1 | 0 | 342,425 | 0 |
APPLIED GENETIC TECHNOLOGIES | COM | 03820J950 | 1,914 | 3,775 | SH | Put | DFND | 1 | 0 | 3,775 | 0 |
ARCADIA BIOSCIENCES INC | COM | 039014204 | 185 | 67,136 | SH | | DFND | 1 | 0 | 67,136 | 0 |
ARCADIA BIOSCIENCES INC | COM | 039014954 | 1,052 | 3,820 | SH | Put | DFND | 1 | 0 | 3,820 | 0 |
ARK | ETF | 00214Q954 | 1,367 | 114 | SH | Put | DFND | 1 | 0 | 114 | 0 |
ASENSUS SURGICAL INC | COM | 04367G903 | 2,131 | 6,556 | SH | Call | DFND | 1 | 0 | 6,556 | 0 |
ASENSUS SURGICAL INC | COM | 04367G953 | 2,262 | 6,959 | SH | Put | DFND | 1 | 0 | 6,959 | 0 |
ASENSUS SURGICAL INC | COM | 04367G103 | 7,478 | 2,301,061 | SH | | DFND | 1 | 0 | 2,301,061 | 0 |
ASLAN PHARMACEUTICALS | ADS | 04522R101 | 2,738 | 817,165 | SH | | DFND | 1 | 0 | 817,165 | 0 |
ATOSSA THERAPEUTICS INC | COM | 04962H506 | 511 | 242,237 | SH | | DFND | 1 | 0 | 242,237 | 0 |
ATOSSA THERAPEUTICS INC | COM | 04962H956 | 2,674 | 12,673 | SH | Put | DFND | 1 | 0 | 12,673 | 0 |
AURINIA PHARMACEUTICALS | COM | 05156V902 | 609 | 469 | SH | Call | DFND | 1 | 0 | 469 | 0 |
AURINIA PHARMACEUTICALS | COM | 05156V102 | 1,112 | 85,625 | SH | | DFND | 1 | 0 | 85,625 | 0 |
AUTOLUS THERAPEUTICS LTD | ADS | 05280R100 | 3,010 | 525,230 | SH | | DFND | 1 | 0 | 525,230 | 0 |
AVEO PHARMACEUTICALS INC | COM | 053588307 | 79 | 10,815 | SH | | DFND | 1 | 0 | 10,815 | 0 |
AVEO PHARMACEUTICALS INC | COM | 053588957 | 454 | 620 | SH | Put | DFND | 1 | 0 | 620 | 0 |
BARCLAYS BANK PLC | ETF | 06746P621 | 5,985 | 525,000 | SH | | DFND | 1 | 0 | 525,000 | 0 |
BARCLAYS BANK PLC | ETF | 06746P901 | 16,343 | 14,336 | SH | Call | DFND | 1 | 0 | 14,336 | 0 |
BIO PATH HLDGS INC | COM | 09057N300 | 505 | 71,920 | SH | | DFND | 1 | 0 | 71,920 | 0 |
BIOCEPT INC | COM | 09072V501 | 313 | 61,464 | SH | | DFND | 1 | 0 | 61,464 | 0 |
BIOCEPT INC | COM | 09072V951 | 528 | 1,037 | SH | Put | DFND | 1 | 0 | 1,037 | 0 |
BIOGEN INC | COM | 09062X953 | 2,798 | 100 | SH | Put | DFND | 1 | 0 | 100 | 0 |
BIOGEN INC | COM | 09062X903 | 42,466 | 1,518 | SH | Call | DFND | 1 | 0 | 1,518 | 0 |
BIO-KEY INTL INC | COM | 09060C408 | 117 | 33,487 | SH | | DFND | 1 | 0 | 33,487 | 0 |
BIO-KEY INTL INC | COM | 09060C958 | 547 | 1,566 | SH | Put | DFND | 1 | 0 | 1,566 | 0 |
BIOPHYTIS SA | ADS | 09076G104 | 1,182 | 92,345 | SH | | DFND | 1 | 0 | 92,345 | 0 |
BRAINSTORM CELL | COM | 10501E201 | 523 | 136,610 | SH | | DFND | 1 | 0 | 136,610 | 0 |
BRAINSTORM CELL | COM | 10501E951 | 1,694 | 4,424 | SH | Put | DFND | 1 | 0 | 4,424 | 0 |
BRIACELL THERAPEUTICS | COM | 10778Y302 | 618 | 160,182 | SH | | DFND | 1 | 0 | 160,182 | 0 |
BUTTERFLY NETWORK INC | COM | 124155102 | 556 | 33,047 | SH | | DFND | 1 | 0 | 33,047 | 0 |
BUTTERFLY NETWORK INC | COM | 124155902 | 668 | 397 | SH | Call | DFND | 1 | 0 | 397 | 0 |
CALADRIUS BIOSCIENCES INC | COM | 128058203 | 936 | 484,970 | SH | | DFND | 1 | 0 | 484,970 | 0 |
CALADRIUS BIOSCIENCES INC | COM | 128058953 | 2,307 | 11,954 | SH | Put | DFND | 1 | 0 | 11,954 | 0 |
CARDIFF ONCOLOGY INC | COM | 14147L958 | 156 | 169 | SH | Put | DFND | 1 | 0 | 169 | 0 |
CARDIFF ONCOLOGY INC | COM | 14147L908 | 255 | 275 | SH | Call | DFND | 1 | 0 | 275 | 0 |
CBAK ENERGY TECHNOLOGY | COM | 14986C952 | 5,932 | 11,632 | SH | Put | DFND | 1 | 0 | 11,632 | 0 |
CELLECTAR BIOSCIENCES INC | COM | 15117F500 | 626 | 389,061 | SH | | DFND | 1 | 0 | 389,061 | 0 |
CEL-SCI CORP | COM | 150837957 | 2,202 | 1,448 | SH | Put | DFND | 1 | 0 | 1,448 | 0 |
CEL-SCI CORP | COM | 150837907 | 2,677 | 1,760 | SH | Call | DFND | 1 | 0 | 1,760 | 0 |
CHINA JO JO DRUGSTORES INC | COM | 16949A206 | 28 | 25,000 | SH | | DFND | 1 | 0 | 25,000 | 0 |
CITIUS PHARMACEUTICALS INC | COM | 17322U207 | 559 | 314,000 | SH | | DFND | 1 | 0 | 314,000 | 0 |
CLEVELAND BIOLABS INC | COM | 185860202 | 2,514 | 478,941 | SH | | DFND | 1 | 0 | 478,941 | 0 |
COLLPLANT BIOTECHNOLOGIES LTD | ADS | 19516R107 | 229 | 17,045 | SH | | DFND | 1 | 0 | 17,045 | 0 |
CONTRAFECT CORP | COM | 212326300 | 798 | 166,175 | SH | | DFND | 1 | 0 | 166,175 | 0 |
CURIS INC | COM | 231269900 | 912 | 985 | SH | Call | DFND | 1 | 0 | 985 | 0 |
DAXOR CORP | COM | 239467103 | 1,437 | 118,736 | SH | | DFND | 1 | 0 | 118,736 | 0 |
DIGINEX LTD | SHS | Y2074E959 | 649 | 592 | SH | Put | DFND | 1 | 0 | 592 | 0 |
DIGITAL ALLY INC | COM | 25382P908 | 50 | 309 | SH | Call | DFND | 1 | 0 | 309 | 0 |
DIGITAL ALLY INC | COM | 25382P208 | 1,129 | 692,350 | SH | | DFND | 1 | 0 | 692,350 | 0 |
DIGITAL ALLY INC | COM | 25382P958 | 1,666 | 10,220 | SH | Put | DFND | 1 | 0 | 10,220 | 0 |
EKSO BIONICS HLDGS INC | COM | 282644301 | 2,612 | 423,360 | SH | | DFND | 1 | 0 | 423,360 | 0 |
EXELA TECHNOLOGIES | COM | 30162V409 | 1,635 | 750,000 | SH | | DFND | 1 | 0 | 750,000 | 0 |
HEPION PHARMACEUTICALS INC | COM | 426897954 | 254 | 1,382 | SH | Put | DFND | 1 | 0 | 1,382 | 0 |
HEPION PHARMACEUTICALS INC | COM | 426897104 | 564 | 306,338 | SH | | DFND | 1 | 0 | 306,338 | 0 |
HUMANCO ACQUISITION CORP | *W | 44487N117 | 183 | 141,136 | SH | | DFND | 1 | 0 | 141,136 | 0 |
HUMANCO ACQUISITION CORP | UNIT | 44487N208 | 717 | 67,974 | SH | | DFND | 1 | 0 | 67,974 | 0 |
HUMANCO ACQUISITION CORP | COM | 44487N109 | 3,345 | 336,211 | SH | | DFND | 1 | 0 | 336,211 | 0 |
INFINITY PHARMACEUTICALS INC | COM | 45665G903 | 219 | 679 | SH | Call | DFND | 1 | 0 | 679 | 0 |
INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 1,712 | 530,000 | SH | | DFND | 1 | 0 | 530,000 | 0 |
INTEC PHARMA LTD | SHS | M53644148 | 164 | 37,501 | SH | | DFND | 1 | 0 | 37,501 | 0 |
IONIS PHARMACEUTICALS | COM | 462222900 | 1,924 | 428 | SH | Call | DFND | 1 | 0 | 428 | 0 |
IONIS PHARMACEUTICALS | COM | 462222100 | 2,459 | 54,688 | SH | | DFND | 1 | 0 | 54,688 | 0 |
IONIS PHARMACEUTICALS | COM | 462222950 | 3,732 | 830 | SH | Put | DFND | 1 | 0 | 830 | 0 |
ISHARES RUSSELL 2000 | ETF | 464287655 | 524 | 2,372 | SH | | DFND | 1 | 0 | 2,372 | 0 |
ISHARES RUSSELL 2000 | ETF | 464287955 | 46,486 | 2,104 | SH | Put | DFND | 1 | 0 | 2,104 | 0 |
IT TECH PACKAGING INC | COM | 46527C950 | 177 | 2,684 | SH | Put | DFND | 1 | 0 | 2,684 | 0 |
KANDI TECHNOLOGIES GROUP INC | COM | 483709951 | 6,711 | 10,737 | SH | Put | DFND | 1 | 0 | 10,737 | 0 |
KEMPHARM INC | COM | 488445906 | 3,858 | 4,193 | SH | Call | DFND | 1 | 0 | 4,193 | 0 |
KEMPHARM INC | COM | 488445956 | 4,621 | 5,023 | SH | Put | DFND | 1 | 0 | 5,023 | 0 |
LEXARIA BIOSCIENCE CORP | *W | 52886N117 | 695 | 291,000 | SH | | DFND | 1 | 0 | 291,000 | 0 |
LIXTE BIOTECHNOLOGY HLDGS INC | COM | 539319202 | 262 | 79,735 | SH | | DFND | 1 | 0 | 79,735 | 0 |
LIXTE BIOTECHNOLOGY HLDGS INC | *W | 539319111 | 128 | 157,374 | SH | | DFND | 1 | 0 | 157,374 | 0 |
MACROGENICS INC | COM | 556099959 | 580 | 182 | SH | Put | DFND | 1 | 0 | 182 | 0 |
MACROGENICS INC | COM | 556099909 | 917 | 288 | SH | Call | DFND | 1 | 0 | 288 | 0 |
MEATECH 3D LTD | ADS | 583435102 | 501 | 53,695 | SH | | DFND | 1 | 0 | 53,695 | 0 |
MIRATI THERAPEUTICS INC | COM | 60468T105 | 1,456 | 8,500 | SH | | DFND | 1 | 0 | 8,500 | 0 |
MIRATI THERAPEUTICS INC | COM | 60468T905 | 2,484 | 145 | SH | Call | DFND | 1 | 0 | 145 | 0 |
MMTEC INC | SHS | G6181K106 | 3,458 | 1,350,870 | SH | | DFND | 1 | 0 | 1,350,870 | 0 |
MOGO INC | COM | 60800C109 | 2,260 | 265,828 | SH | | DFND | 1 | 0 | 265,828 | 0 |
MOGO INC | COM | 60800C959 | 5,357 | 6,302 | SH | Put | DFND | 1 | 0 | 6,302 | 0 |
NABRIVA THERAPEUTICS PLC | SHS | G63637953 | 77 | 463 | SH | Put | DFND | 1 | 0 | 463 | 0 |
NABRIVA THERAPEUTICS PLC | SHS | G63637113 | 272 | 164,007 | SH | | DFND | 1 | 0 | 164,007 | 0 |
NEMAURA MEDICAL INC | COM | 640442958 | 383 | 501 | SH | Put | DFND | 1 | 0 | 501 | 0 |
NEWAGE INC | COM | 650194103 | 6,763 | 2,364,694 | SH | | DFND | 1 | 0 | 2,364,694 | 0 |
NUZEE INC | COM | 67073S208 | 3,368 | 965,139 | SH | | DFND | 1 | 0 | 965,139 | 0 |
OCEAN POWER TECHNOLOGIES INC | COM | 674870956 | 1,375 | 4,153 | SH | Put | DFND | 1 | 0 | 4,153 | 0 |
OCULAR THERAPEUTIX INC | COM | 67576A100 | 152 | 9,250 | SH | | DFND | 1 | 0 | 9,250 | 0 |
OCULAR THERAPEUTIX INC | COM | 67576A900 | 1,585 | 966 | SH | Call | DFND | 1 | 0 | 966 | 0 |
OCULAR THERAPEUTIX INC | COM | 67576A950 | 2,018 | 1,230 | SH | Put | DFND | 1 | 0 | 1,230 | 0 |
ODONATE THERAPEUTICS INC | COM | 676079106 | 2,171 | 634,728 | SH | | DFND | 1 | 0 | 634,728 | 0 |
ORAMED PHARMACEUTICALS INC | COM | 68403P953 | 1,713 | 1,686 | SH | Put | DFND | 1 | 0 | 1,686 | 0 |
PAINREFORM LTD | SHS | M77798102 | 1,459 | 330,000 | SH | | DFND | 1 | 0 | 330,000 | 0 |
PENN NATIONAL GAMING INC | COM | 707569109 | 4,235 | 40,399 | SH | | DFND | 1 | 0 | 40,399 | 0 |
PENN NATIONAL GAMING INC | COM | 707569959 | 7,664 | 731 | SH | Put | DFND | 1 | 0 | 731 | 0 |
PHASEBIO PHARMACEUTICALS INC | COM | 717224109 | 52 | 15,000 | SH | | DFND | 1 | 0 | 15,000 | 0 |
PHIO PHARMACEUTICALS INC | COM | 71880W303 | 62 | 23,007 | SH | | DFND | 1 | 0 | 23,007 | 0 |
PHIO PHARMACEUTICALS INC | COM | 71880W953 | 427 | 1,591 | SH | Put | DFND | 1 | 0 | 1,591 | 0 |
PLURISTEM THERAPEUTICS INC | COM | 72940R300 | 242 | 50,822 | SH | | DFND | 1 | 0 | 50,822 | 0 |
PLURISTEM THERAPEUTICS INC | COM | 72940R950 | 830 | 1,739 | SH | Put | DFND | 1 | 0 | 1,739 | 0 |
POLARITYTE INC | COM | 731094958 | 150 | 1,355 | SH | Put | DFND | 1 | 0 | 1,355 | 0 |
POLARITYTE INC | COM | 731094108 | 234 | 210,562 | SH | | DFND | 1 | 0 | 210,562 | 0 |
PURPLE BIOTECH LTD | ADS | 74638P109 | 78 | 18,847 | SH | | DFND | 1 | 0 | 18,847 | 0 |
PURPLE BIOTECH LTD | ADS | 74638P959 | 805 | 1,948 | SH | Put | DFND | 1 | 0 | 1,948 | 0 |
REDHILL BIOPHARMA LTD | ADS | 757468103 | 4,621 | 631,287 | SH | | DFND | 1 | 0 | 631,287 | 0 |
REVIVA PHARMACEURICALS HLDGS INC | COM | 76152G100 | 2,402 | 418,437 | SH | | DFND | 1 | 0 | 418,437 | 0 |
REVIVA PHARMACEURICALS HLDGS INC | *W | 76152G118 | 161 | 350,000 | SH | | DFND | 1 | 0 | 350,000 | 0 |
REWALK ROBOTICS LTD | SHS | M8216Q950 | 835 | 3,449 | SH | Put | DFND | 1 | 0 | 3,449 | 0 |
REWALK ROBOTICS LTD | SHS | M8216Q200 | 3,126 | 1,291,893 | SH | | DFND | 1 | 0 | 1,291,893 | 0 |
RIOT BLOCKCHAIN INC | COM | 767292105 | 959 | 18,000 | SH | | DFND | 1 | 0 | 18,000 | 0 |
RIOT BLOCKCHAIN INC | COM | 767292955 | 4,794 | 900 | SH | Put | DFND | 1 | 0 | 900 | 0 |
SAGE THERAPEUTICS INC | COM | 78667J958 | 1,243 | 166 | SH | Put | DFND | 1 | 0 | 166 | 0 |
SALARIUS PHARMACEUTICALS INC | COM | 79400X107 | 395 | 266,955 | SH | | DFND | 1 | 0 | 266,955 | 0 |
SEANERGY MARITIME HLDGS CORP | SHS | Y73760194 | 2,114 | 1,994,783 | SH | | DFND | 1 | 0 | 1,994,783 | 0 |
SECOND SIGHT MEDICAL PRODS INC | COM | 81362J209 | 7,608 | 922,193 | SH | | DFND | 1 | 0 | 922,193 | 0 |
SORRENTO THERAPEUTICS INC | COM | 83587F202 | 8,807 | 1,064,933 | SH | | DFND | 1 | 0 | 1,064,933 | 0 |
SORRENTO THERAPEUTICS INC | COM | 83587F952 | 15,139 | 18,306 | SH | Put | DFND | 1 | 0 | 18,306 | 0 |
SPDR GOLD TRUST | SHS | 78463V907 | 15,452 | 966 | SH | Call | DFND | 1 | 0 | 966 | 0 |
SPDR S&P 500 ETF TR | ETF | 78462F953 | 33,054 | 834 | SH | Put | DFND | 1 | 0 | 834 | 0 |
SPDR SERIES TRUST | ETF | 78464A870 | 1,185 | 8,735 | SH | | DFND | 1 | 0 | 8,735 | 0 |
SPDR SERIES TRUST | ETF | 78464A950 | 33,221 | 2,449 | SH | Put | DFND | 1 | 0 | 2,449 | 0 |
SPI ENERGY CO LTD | SHS | G8651P110 | 989 | 131,898 | SH | | DFND | 1 | 0 | 131,898 | 0 |
SPI ENERGY CO LTD | SHS | G8651P950 | 70,355 | 5,568 | SH | Put | DFND | 1 | 0 | 5,568 | 0 |
STEALTH BIOTHERAPEUTICS CORP | ADS | 85789A105 | 473 | 301,575 | SH | | DFND | 1 | 0 | 301,575 | 0 |
TANZANIAN GOLD CORP | COM | 87601A957 | 89 | 1,515 | SH | Put | DFND | 1 | 0 | 1,515 | 0 |
THE9 LTD | ADS | 88337K302 | 259 | 8,293 | SH | | DFND | 1 | 0 | 8,293 | 0 |
THE9 LTD | ADS | 88337K952 | 487 | 156 | SH | Put | DFND | 1 | 0 | 156 | 0 |
THE9 LTD | ADS | 88337K902 | 524 | 168 | SH | Call | DFND | 1 | 0 | 168 | 0 |
THERAPEUTICSMD INC | COM | 88338N107 | 1,072 | 800,000 | SH | | DFND | 1 | 0 | 800,000 | 0 |
TITAN PHARMACEUTICALS INC | COM | 888314956 | 376 | 1,263 | SH | Put | DFND | 1 | 0 | 1,263 | 0 |
TRICIDA INC | COM | 89610F101 | 1,877 | 354,755 | SH | | DFND | 1 | 0 | 354,755 | 0 |
TRILLIUM THERAPEUTICS INC | COM | 89620X956 | 625 | 582 | SH | Put | DFND | 1 | 0 | 582 | 0 |
TRILLIUM THERAPEUTICS INC | COM | 89620X906 | 694 | 646 | SH | Call | DFND | 1 | 0 | 646 | 0 |
TRILLIUM THERAPEUTICS INC | COM | 89620X506 | 2,143 | 199,569 | SH | | DFND | 1 | 0 | 199,569 | 0 |
UCOMMUNE INTL LTD | COM | G9449A100 | 386 | 128,564 | SH | | DFND | 1 | 0 | 128,564 | 0 |
VASCULAR BIOGENICS LTD | COM | M96883959 | 165 | 825 | SH | Put | DFND | 1 | 0 | 825 | 0 |
VAXCYTE INC | COM | 92243G108 | 3,535 | 178,992 | SH | | DFND | 1 | 0 | 178,992 | 0 |
VINCERX PHARMA INC | COM | 92731L106 | 1,601 | 82,948 | SH | | DFND | 1 | 0 | 82,948 | 0 |
VIRPAX PHARMACEUTICALS INC | COM | 928251107 | 942 | 200,000 | SH | | DFND | 1 | 0 | 200,000 | 0 |
VIRTRA INC | COM | 92827K301 | 3,451 | 561,088 | SH | | DFND | 1 | 0 | 561,088 | 0 |
WIMI HOLOGRAM CLOUD INC | ADS | 97264L950 | 1,213 | 1,838 | SH | Put | DFND | 1 | 0 | 1,838 | 0 |
WIMI HOLOGRAM CLOUD INC | ADS | 97264L100 | 6,473 | 980,786 | SH | | DFND | 1 | 0 | 980,786 | 0 |
XPRESSPA GROUP INC | COM | 98420U953 | 2,386 | 12,967 | SH | Put | DFND | 1 | 0 | 12,967 | 0 |