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 |
9 METERS BIOPHARMA INC | COM | 654405909 | 687 | 1,573 | SH | Call | DFND | 1 | 0 | 1,573 | 0 |
9 METERS BIOPHARMA INC | COM | 654405959 | 50 | 115 | SH | Put | DFND | 1 | 0 | 115 | 0 |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W906 | 868 | 1,699 | SH | Call | DFND | 1 | 0 | 1,699 | 0 |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W956 | 752 | 1,471 | SH | Put | DFND | 1 | 0 | 1,471 | 0 |
ACUTUS MEDICAL INC | COM | 005111109 | 1,416 | 1,018,950 | SH | DFND | 1 | 0 | 1,018,950 | 0 | |
ADITXT INC | COM | 007025959 | 86 | 1,890 | SH | Put | DFND | 1 | 0 | 1,890 | 0 |
ADITXT INC | COM | 007025109 | 264 | 577,727 | SH | DFND | 1 | 0 | 577,727 | 0 | |
AGM GROUP HOLDINGS INC | COM | G0132V105 | 2,450 | 1,178,012 | SH | DFND | 1 | 0 | 1,178,012 | 0 | |
ALPINE 4 HOLDINGS INC | COM | 02083E955 | 77 | 735 | SH | Put | DFND | 1 | 0 | 735 | 0 |
AMPLITECH GROUP INC | COM | 03211Q200 | 411 | 122,400 | SH | DFND | 1 | 0 | 122,400 | 0 | |
AMPLITECH GROUP INC | *W | 03211Q119 | 438 | 455,920 | SH | DFND | 1 | 0 | 455,920 | 0 | |
APPLIED GENETIC TECHNOLOGIES | COM | 03820J900 | 15 | 140 | SH | Call | DFND | 1 | 0 | 140 | 0 |
APPLIED GENETIC TECHNOLOGIES | COM | 03820J950 | 293 | 2,737 | SH | Put | DFND | 1 | 0 | 2,737 | 0 |
APPLIED GENETIC TECHNOLOGIES | COM | 03820J100 | 1,038 | 970,057 | SH | DFND | 1 | 0 | 970,057 | 0 | |
ARCADIA BIOSCIENCES INC | COM | 039014954 | 77 | 553 | SH | Put | DFND | 1 | 0 | 553 | 0 |
ASLAN PHARMACEUTICALS LIMITED | ADS | 04522R101 | 839 | 932,399 | SH | DFND | 1 | 0 | 932,399 | 0 | |
ATHERSYS INC | COM | 04744L956 | 86 | 307 | SH | Put | DFND | 1 | 0 | 307 | 0 |
ATHERSYS INC | COM | 04744L106 | 816 | 291,444 | SH | DFND | 1 | 0 | 291,444 | 0 | |
ATOSSA THERAPEUTICS INC | COM | 04962H906 | 120 | 958 | SH | Call | DFND | 1 | 0 | 958 | 0 |
ATOSSA THERAPEUTICS INC | COM | 04962H956 | 1,431 | 11,448 | SH | Put | DFND | 1 | 0 | 11,448 | 0 |
ATOSSA THERAPEUTICS INC | COM | 04962H506 | 453 | 362,072 | SH | DFND | 1 | 0 | 362,072 | 0 | |
BARCLAYS BANK PLC | IPTH | 06747R907 | 10,781 | 4,195 | SH | Call | DFND | 1 | 0 | 4,195 | 0 |
BAUDAX BIO INC | COM | 07160F206 | 33 | 18,900 | SH | DFND | 1 | 0 | 18,900 | 0 | |
BIOCEPT INC | COM | 09072V501 | 71 | 30,502 | SH | DFND | 1 | 0 | 30,502 | 0 | |
BIO-KEY INTERNATIONAL INC | COM | 09060C958 | 253 | 1,056 | SH | Put | DFND | 1 | 0 | 1,056 | 0 |
BIO-KEY INTERNATIONAL INC | COM | 09060C408 | 105 | 43,652 | SH | DFND | 1 | 0 | 43,652 | 0 | |
BIOPHYTIS SA | ADS | 09076G104 | 196 | 77,819 | SH | DFND | 1 | 0 | 77,819 | 0 | |
BIOVIE INC | CL A | 09074F207 | 2,893 | 612,914 | SH | DFND | 1 | 0 | 612,914 | 0 | |
BIT BROTHER LIMITED | CL A | G1144D109 | 170 | 500,000 | SH | DFND | 1 | 0 | 500,000 | 0 | |
BIT DIGITAL INC | SHS | G1144A955 | 1,232 | 3,422 | SH | Put | DFND | 1 | 0 | 3,422 | 0 |
BIT MINING LIMITED | ADR | 055474950 | 321 | 1,152 | SH | Put | DFND | 1 | 0 | 1,152 | 0 |
BIT MINING LIMITED | ADR | 055474100 | 969 | 347,299 | SH | DFND | 1 | 0 | 347,299 | 0 | |
BONE BIOLOGICS CORP | *W | 098070113 | 37 | 108,476 | SH | DFND | 1 | 0 | 108,476 | 0 | |
BRIACELL THERAPEUTICS CORP | COM | 10778Y952 | 6,610 | 6,519 | SH | Put | DFND | 1 | 0 | 6,519 | 0 |
BRIACELL THERAPEUTICS CORP | COM | 10778Y302 | 304 | 29,962 | SH | DFND | 1 | 0 | 29,962 | 0 | |
CALADRIUS BIOSCIENCES INC | COM | 128058203 | 1,483 | 2,371,525 | SH | DFND | 1 | 0 | 2,371,525 | 0 | |
CANAAN INC | ADS | 134748102 | 266 | 49,058 | SH | DFND | 1 | 0 | 49,058 | 0 | |
CANAAN INC | ADS | 134748952 | 2,400 | 4,420 | SH | Put | DFND | 1 | 0 | 4,420 | 0 |
CASTOR MARITIME INC | SHS | Y1146L955 | 152 | 824 | SH | Put | DFND | 1 | 0 | 824 | 0 |
CASTOR MARITIME INC | SHS | Y1146L125 | 126 | 68,419 | SH | DFND | 1 | 0 | 68,419 | 0 | |
CATALYST BIOSCIENCES INC | COM | 14888D208 | 871 | 1,320,000 | SH | DFND | 1 | 0 | 1,320,000 | 0 | |
CBAK ENERGY TECHNOLOGY INC | COM | 14986C952 | 319 | 2,492 | SH | Put | DFND | 1 | 0 | 2,492 | 0 |
CBAK ENERGY TECHNOLOGY INC | COM | 14986C102 | 256 | 200,025 | SH | DFND | 1 | 0 | 200,025 | 0 | |
CEA INDUSTRIES INC | COM | 86887P200 | 334 | 133,081 | SH | DFND | 1 | 0 | 133,081 | 0 | |
CHECK CAP LTD | SHS | M2361E203 | 340 | 875,057 | SH | DFND | 1 | 0 | 875,057 | 0 | |
CINGULATE INC | *W | 17248W113 | 156 | 555,754 | SH | DFND | 1 | 0 | 555,754 | 0 | |
CINGULATE INC | COM | 17248W105 | 1,486 | 754,130 | SH | DFND | 1 | 0 | 754,130 | 0 | |
COCRYSTAL PHARMA INC | COM | 19188J300 | 3,087 | 5,612,037 | SH | DFND | 1 | 0 | 5,612,037 | 0 | |
CONTEXT THERAPEUTICS INC | COM | 21077P108 | 2,528 | 1,165,100 | SH | DFND | 1 | 0 | 1,165,100 | 0 | |
CONTRAFECT CORP | COM | 212326900 | 414 | 1,135 | SH | Call | DFND | 1 | 0 | 1,135 | 0 |
CONTRAFECT CORP | COM | 212326300 | 343 | 94,020 | SH | DFND | 1 | 0 | 94,020 | 0 | |
CORE SCIENTIFIC INC | COM | 21873J908 | 1,067 | 1,296 | SH | Call | DFND | 1 | 0 | 1,296 | 0 |
CURIS INC | COM | 231269200 | 823 | 345,905 | SH | DFND | 1 | 0 | 345,905 | 0 | |
CYREN LTD | COM | M26895132 | 290 | 57,493 | SH | DFND | 1 | 0 | 57,493 | 0 | |
DIGITAL ALLY INC | COM | 25382P958 | 357 | 3,277 | SH | Put | DFND | 1 | 0 | 3,277 | 0 |
DIGITAL ALLY INC | COM | 25382P208 | 434 | 398,187 | SH | DFND | 1 | 0 | 398,187 | 0 | |
DIGITAL WORLD ACQUISITION CO | CL A | 25400Q905 | 34,268 | 5,312 | SH | Call | DFND | 1 | 0 | 5,312 | 0 |
DIGITAL WORLD ACQUISITION CO | CL A | 25400Q955 | 66,516 | 10,311 | SH | Put | DFND | 1 | 0 | 10,311 | 0 |
EKSO BIONICS HOLDINGS INC | COM | 282644301 | 1,153 | 398,800 | SH | DFND | 1 | 0 | 398,800 | 0 | |
EQONEX LTD | SHS | Y2074E959 | 28 | 125 | SH | Put | DFND | 1 | 0 | 125 | 0 |
EQONEX LTD | SHS | Y2074E109 | 76 | 33,887 | SH | DFND | 1 | 0 | 33,887 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W905 | 46 | 100 | SH | Call | DFND | 1 | 0 | 100 | 0 |
ESPORTS ENTERTAINMENT GROUP | COM | 29667K956 | 7 | 100 | SH | Put | DFND | 1 | 0 | 100 | 0 |
ESPORTS ENTERTAINMENT GROUP | *W | 29667K132 | 270 | 1,000,000 | SH | DFND | 1 | 0 | 1,000,000 | 0 | |
EVOFEM BIOSCIENCES INC | COM | 30048L954 | 16 | 476 | SH | Put | DFND | 1 | 0 | 476 | 0 |
EXELA TECHNOLOGIES INC | COM | 30162V959 | 38 | 903 | SH | Put | DFND | 1 | 0 | 903 | 0 |
EXELA TECHNOLOGIES INC | COM | 30162V409 | 29 | 70,579 | SH | DFND | 1 | 0 | 70,579 | 0 | |
FLUX POWER HOLDINGS INC | COM | 344057302 | 208 | 77,833 | SH | DFND | 1 | 0 | 77,833 | 0 | |
GLOBUS MARITIME LIMITED | COM | Y27265956 | 189 | 819 | SH | Put | DFND | 1 | 0 | 819 | 0 |
GLOBUS MARITIME LIMITED | COM | Y27265126 | 1,650 | 714,163 | SH | DFND | 1 | 0 | 714,163 | 0 | |
GROM SOCIAL ENTERPRISES INC | *W | 39878L118 | 3 | 12,737 | SH | DFND | 1 | 0 | 12,737 | 0 | |
GUARDFORCE AI CO LTD | *W | G4236L120 | 443 | 1,163,566 | SH | DFND | 1 | 0 | 1,163,566 | 0 | |
HARBOR CUSTOM DEV INC | PFD SR A | 41150T207 | 5 | 319 | PRN | DFND | 1 | 0 | 319 | 0 | |
HARBOR CUSTOM DEV INC | *W | 41150T124 | 730 | 1,973,494 | SH | DFND | 1 | 0 | 1,973,494 | 0 | |
HEARTBEAM INC | COM | 42238H108 | 762 | 413,089 | SH | DFND | 1 | 0 | 413,089 | 0 | |
HEARTBEAM INC | *W | 42238H116 | 133 | 360,458 | SH | DFND | 1 | 0 | 360,458 | 0 | |
HUMANCO ACQUISITION CORP | *W | 44487N117 | 64 | 200,314 | SH | DFND | 1 | 0 | 200,314 | 0 | |
HUMANCO ACQUISITION CORP | CL A | 44487N109 | 2,403 | 244,684 | SH | DFND | 1 | 0 | 244,684 | 0 | |
IMPERIAL PETE INC | COM | Y3894J954 | 604 | 4,168 | SH | Put | DFND | 1 | 0 | 4,168 | 0 |
IMPERIAL PETE INC | COM | Y3894J104 | 125 | 86,466 | SH | DFND | 1 | 0 | 86,466 | 0 | |
INHIBIKASE THERAPEUTICS INC | COM | 45719W106 | 147 | 99,000 | SH | DFND | 1 | 0 | 99,000 | 0 | |
ION GEOPHYSICAL | COM | 462044957 | 267 | 3,059 | SH | Put | DFND | 1 | 0 | 3,059 | 0 |
ION GEOPHYSICAL CORP | NOTE | 462044AJ7 | 172,009 | 3,150,000 | PRN | DFND | 1 | 0 | 3,150,000 | 0 | |
ISHARES RUSSELL 2000 | ETF | 464287905 | 63,141 | 3,076 | SH | Call | DFND | 1 | 0 | 3,076 | 0 |
ISHARES RUSSELL 2000 | ETF | 464287955 | 56,244 | 2,740 | SH | Put | DFND | 1 | 0 | 2,740 | 0 |
KANDI TECHNOLGIES INC | COM | 483709951 | 1,128 | 3,524 | SH | Put | DFND | 1 | 0 | 3,524 | 0 |
KANDI TECHNOLGIES INC | COM | 483709101 | 858 | 268,052 | SH | DFND | 1 | 0 | 268,052 | 0 | |
KEMPHARM INC | COM | 488445956 | 1,836 | 3,651 | SH | Put | DFND | 1 | 0 | 3,651 | 0 |
KEMPHARM INC | COM | 488445206 | 1,302 | 258,780 | SH | DFND | 1 | 0 | 258,780 | 0 | |
KIROMIC BIOPHARMA INC | COM | 497634105 | 91 | 106,758 | SH | DFND | 1 | 0 | 106,758 | 0 | |
LEXARIA BIOSCIENCE CORP | *W | 52886N117 | 383 | 425,883 | SH | DFND | 1 | 0 | 425,883 | 0 | |
MMTEC INC | COM | G6181K106 | 114 | 184,633 | SH | DFND | 1 | 0 | 184,633 | 0 | |
MODULAR MEDICAL INC | COM | 60785L207 | 133 | 30,285 | SH | DFND | 1 | 0 | 30,285 | 0 | |
MOGO INC | COM | 60800C959 | 145 | 497 | SH | Put | DFND | 1 | 0 | 497 | 0 |
MOGO INC | COM | 60800C109 | 197 | 67,651 | SH | DFND | 1 | 0 | 67,651 | 0 | |
NANOVIBRONIX INC | COM | 63008J108 | 12 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
NEUROBO PHARMACEUTICALS INC | COM | 64132R107 | 337 | 373,111 | SH | DFND | 1 | 0 | 373,111 | 0 | |
NEWAGE INC | COM | 650194103 | 2,299 | 3,956,726 | SH | DFND | 1 | 0 | 3,956,726 | 0 | |
NISUN INTL ENT DVPMT GP CO LTD | COM | G6593L106 | 2,814 | 2,876,526 | SH | DFND | 1 | 0 | 2,876,526 | 0 | |
NOVAN INC | COM | 66988N205 | 114 | 28,838 | SH | DFND | 1 | 0 | 28,838 | 0 | |
NRX PHARMACEUTICALS INC | COM | 629444950 | 444 | 1,813 | SH | Put | DFND | 1 | 0 | 1,813 | 0 |
NRX PHARMACEUTICALS INC | COM | 629444100 | 1,917 | 782,473 | SH | DFND | 1 | 0 | 782,473 | 0 | |
NUZEE INC | COM | 67073S958 | 42 | 193 | SH | Put | DFND | 1 | 0 | 193 | 0 |
OCEAN POWER TECHNOLOGIES INC | COM | 674870956 | 195 | 1,382 | SH | Put | DFND | 1 | 0 | 1,382 | 0 |
OLB GROUP INC | COM | 67086U307 | 498 | 284,600 | SH | DFND | 1 | 0 | 284,600 | 0 | |
ONION GLOBAL LIMITED | ADS | 68277G107 | 2,140 | 1,320,750 | SH | DFND | 1 | 0 | 1,320,750 | 0 | |
PERSHING SQUARE TONTINE HLDG | COM | 71531R909 | 3,992 | 2,007 | SH | Call | DFND | 1 | 0 | 2,007 | 0 |
PHARMACYTE BIOTECH INC | COM | 71715X953 | 158 | 687 | SH | Put | DFND | 1 | 0 | 687 | 0 |
PHARMACYTE BIOTECH INC | COM | 71715X203 | 2,934 | 1,275,468 | SH | DFND | 1 | 0 | 1,275,468 | 0 | |
PROGENITY INC | COM | 74319F907 | 235 | 2,027 | SH | Call | DFND | 1 | 0 | 2,027 | 0 |
PROGENITY INC | COM | 74319F957 | 599 | 5,161 | SH | Put | DFND | 1 | 0 | 5,161 | 0 |
PROGENITY INC | COM | 74319F107 | 579 | 499,357 | SH | DFND | 1 | 0 | 499,357 | 0 | |
PROSHARES TR | ETF | 74347G950 | 2,753 | 964 | SH | Put | DFND | 1 | 0 | 964 | 0 |
PULMATRIX INC | COM | 74584P301 | 1,625 | 237,958 | SH | DFND | 1 | 0 | 237,958 | 0 | |
PURPLE BIOTECH LTD | ADS | 74638P959 | 138 | 352 | SH | Put | DFND | 1 | 0 | 352 | 0 |
PURPLE BIOTECH LTD | ADS | 74638P109 | 105 | 26,672 | SH | DFND | 1 | 0 | 26,672 | 0 | |
RECON TECHNOLOGY LTD | CL A | G7415M124 | 1,816 | 1,681,766 | SH | DFND | 1 | 0 | 1,681,766 | 0 | |
REWALK ROBOTICS LIMITED | SHS | M8216Q950 | 493 | 4,254 | SH | Put | DFND | 1 | 0 | 4,254 | 0 |
REWALK ROBOTICS LIMITED | SHS | M8216Q200 | 1,474 | 1,271,062 | SH | DFND | 1 | 0 | 1,271,062 | 0 | |
SIYATA MOBILE INC | COM | 83013Q509 | 13 | 10,184 | SH | DFND | 1 | 0 | 10,184 | 0 | |
SMART FOR LIFE INC | COM | 83204U103 | 369 | 329,537 | SH | DFND | 1 | 0 | 329,537 | 0 | |
SPDR S&P 500 ETF TR | ETF | 78462F903 | 99,993 | 2,214 | SH | Call | DFND | 1 | 0 | 2,214 | 0 |
SPDR S&P 500 ETF TR | ETF | 78464F950 | 50,934 | 1,642 | SH | Put | DFND | 1 | 0 | 1,642 | 0 |
SPHERE 3D CORP | COM | 84841L908 | 37 | 178 | SH | Call | DFND | 1 | 0 | 178 | 0 |
SPHERE 3D CORP | COM | 84841L958 | 1,340 | 6,379 | SH | Put | DFND | 1 | 0 | 6,379 | 0 |
SPHERE 3D CORP | COM | 84841L308 | 909 | 432,840 | SH | DFND | 1 | 0 | 432,840 | 0 | |
SPI ENERGY CO LTD | SHS | G8651P950 | 796 | 2,774 | SH | Put | DFND | 1 | 0 | 2,774 | 0 |
SPI ENERGY CO LTD | SHS | G8651P110 | 550 | 191,624 | SH | DFND | 1 | 0 | 191,624 | 0 | |
SPLASH BEVERAGE GROUP INC | COM | 84862C953 | 733 | 2,581 | SH | Put | DFND | 1 | 0 | 2,581 | 0 |
SPLASH BEVERAGE GROUP INC | COM | 84862C203 | 348 | 122,698 | SH | DFND | 1 | 0 | 122,698 | 0 | |
SPLASH BEVERAGE GROUP INC | *W | 84862C112 | 317 | 317,185 | SH | DFND | 1 | 0 | 317,185 | 0 | |
STATERA BIOPHARMA INC | COM | 857561104 | 22 | 69,103 | SH | DFND | 1 | 0 | 69,103 | 0 | |
SURGALIGN HOLDINGS INC | COM | 86882C955 | 4 | 120 | SH | Put | DFND | 1 | 0 | 120 | 0 |
TANTECH HOLDINGS LTD | SHS | G8675X123 | 734 | 1,541,060 | SH | DFND | 1 | 0 | 1,541,060 | 0 | |
THE9 LIMITED | ADS | 88337K952 | 194 | 652 | SH | Put | DFND | 1 | 0 | 652 | 0 |
THE9 LIMITED | ADS | 88337K302 | 237 | 79,653 | SH | DFND | 1 | 0 | 79,653 | 0 | |
TRICIDA INC | COM | 89610F901 | 226 | 4,738 | SH | Call | DFND | 1 | 0 | 4,738 | 0 |
TRICIDA INC | COM | 89610F951 | 59 | 1,229 | SH | Put | DFND | 1 | 0 | 1,229 | 0 |
TWIN VEE POWERCATS CO | COM | 90177C101 | 378 | 90,656 | SH | DFND | 1 | 0 | 90,656 | 0 | |
US WELL SERVICES INC | CL A | 91274U200 | 1,072 | 974,275 | SH | DFND | 1 | 0 | 974,275 | 0 | |
VINCERX PHARMA INC | COM | 92731L106 | 1,138 | 284,572 | SH | DFND | 1 | 0 | 284,572 | 0 | |
VINCERX PHARMACEUTICALS INC | COM | 92731L106 | 171 | 42,664 | SH | DFND | 1 | 0 | 42,664 | 0 | |
VIRPAX PHARMACEUTICALS INC | COM | 928251107 | 18,339 | 1,005,156 | SH | DFND | 1 | 0 | 1,005,156 | 0 | |
VISTAGEN THERAPEUTICS INC | COM | 92840H952 | 389 | 3,135 | SH | Put | DFND | 1 | 0 | 3,135 | 0 |
WIMI HOLOGRAM CLOUD INC | ADS | 97264L950 | 89 | 334 | SH | Put | DFND | 1 | 0 | 334 | 0 |
WIMI HOLOGRAM CLOUD INC | ADS | 97264L100 | 89 | 33,400 | SH | DFND | 1 | 0 | 33,400 | 0 | |
XPRESSPA GROUP INC | COM | 98420U953 | 557 | 4,928 | SH | Put | DFND | 1 | 0 | 4,928 | 0 |