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 | 12 | 543 | SH | Call | DFND | 1 | 0 | 543 | 0 |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W956 | 1,582 | 2,143 | SH | Put | DFND | 1 | 0 | 2,143 | 0 |
ADITXT INC | COM | 007025505 | 588 | 173,409 | SH | DFND | 1 | 0 | 173,409 | 0 | |
AGILE THERAPEUTICS INC | COM | 00847L209 | 15 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
AGM GROUP HOLDINGS INC | CL A | G0132V105 | 481 | 299,000 | SH | DFND | 1 | 0 | 299,000 | 0 | |
AKARI THERAPEUTICS PLC | ADR | 00972G108 | 2,585 | 4,103,098 | SH | DFND | 1 | 0 | 4,103,098 | 0 | |
AMPLITECH GROUP INC | COM | 03211Q200 | 251 | 136,382 | SH | DFND | 1 | 0 | 136,382 | 0 | |
AMPLITECH GROUP INC | *W | 03211Q119 | 145 | 454,246 | SH | DFND | 1 | 0 | 454,246 | 0 | |
APPLIED DNA SCIENCES INC | COM | 03815U300 | 150 | 132,694 | SH | DFND | 1 | 0 | 132,694 | 0 | |
APPLIED DNA SCIENCES INC | COM | 03815U950 | 158 | 1,397 | SH | Put | DFND | 1 | 0 | 1,397 | 0 |
ASLAN PHARMACEUTICALS LTD | ADS | 04522R101 | 299 | 499,045 | SH | DFND | 1 | 0 | 499,045 | 0 | |
ASPIRA WOMENS HEALTH INC | COM | 04537Y109 | 584 | 1,569,782 | SH | DFND | 1 | 0 | 1,569,782 | 0 | |
ASSURE HOLDINGS CORP | COM | 04625J204 | 496 | 775,001 | SH | DFND | 1 | 0 | 775,001 | 0 | |
ATOSSA THERAPEUTICS INC | COM | 04962H506 | 343 | 411,896 | SH | DFND | 1 | 0 | 411,896 | 0 | |
ATOSSA THERAPEUTICS INC | COM | 04962H906 | 55 | 661 | SH | Call | DFND | 1 | 0 | 661 | 0 |
ATOSSA THERAPEUTICS INC | COM | 04962H956 | 391 | 4,696 | SH | Put | DFND | 1 | 0 | 4,696 | 0 |
AYTU BIOPHARMA INC | COM | 054754874 | 234 | 1,262,516 | SH | DFND | 1 | 0 | 1,262,516 | 0 | |
BAUDAX BIO INC | COM | 07160F206 | 108 | 439,220 | SH | DFND | 1 | 0 | 439,220 | 0 | |
BIOCEPT INC | COM | 09072V501 | 28 | 30,502 | SH | DFND | 1 | 0 | 30,502 | 0 | |
BIOLINERX LTD | ADS | 09071M205 | 2,807 | 3,034,107 | SH | DFND | 1 | 0 | 3,034,107 | 0 | |
BIORA THERAPEUTICS INC | COM | 74319F107 | 139 | 287,641 | SH | DFND | 1 | 0 | 287,641 | 0 | |
BIORA THERAPEUTICS INC | COM | 74319F957 | 158 | 3,257 | SH | Put | DFND | 1 | 0 | 3,257 | 0 |
BIOVIE INC | CL A | 09074F207 | 244 | 98,048 | SH | DFND | 1 | 0 | 98,048 | 0 | |
BIT DIGITAL INC | COM | G1144A955 | 309 | 2,571 | SH | Put | DFND | 1 | 0 | 2,571 | 0 |
BLUE WATER VACCINES INC | COM | 09610B108 | 944 | 552,249 | SH | DFND | 1 | 0 | 552,249 | 0 | |
BLUEJAY DIAGNOSTICS INC | COM | 095633103 | 20 | 26,091 | SH | DFND | 1 | 0 | 26,091 | 0 | |
BONE BIOLOGICS CORP | *W | 098070113 | 9 | 108,476 | SH | DFND | 1 | 0 | 108,476 | 0 | |
BRIACELL THERAPEUTICS CORP | COM | 10778Y302 | 528 | 94,005 | SH | DFND | 1 | 0 | 94,005 | 0 | |
BRIACELL THERAPEUTICS CORP | COM | 10778Y952 | 3,181 | 5,661 | SH | Put | DFND | 1 | 0 | 5,661 | 0 |
BRIGHT GREEN CORP | COM | 10920G100 | 5,143 | 4,761,905 | SH | DFND | 1 | 0 | 4,761,905 | 0 | |
BRIGHT GREEN CORP | COM | 10920G950 | 43 | 398 | SH | Put | DFND | 1 | 0 | 398 | 0 |
BRUUSH ORAL CARE INC | COM | 11750K203 | 10 | 10,234 | SH | DFND | 1 | 0 | 10,234 | 0 | |
BRUUSH ORAL CARE INC | *W | 11750K120 | 372 | 365,752 | SH | DFND | 1 | 0 | 365,752 | 0 | |
CANAAN INC | ADS | 134748102 | 730 | 222,559 | SH | DFND | 1 | 0 | 222,559 | 0 | |
CANAAN INC | ADS | 134748902 | 46 | 141 | SH | Call | DFND | 1 | 0 | 141 | 0 |
CANAAN INC | ADS | 134748952 | 730 | 2,225 | SH | Put | DFND | 1 | 0 | 2,225 | 0 |
CASTOR MARITIME INC | SHS | Y1146L125 | 62 | 55,511 | SH | DFND | 1 | 0 | 55,511 | 0 | |
CASTOR MARITIME INC | SHS | Y1146L955 | 92 | 824 | SH | Put | DFND | 1 | 0 | 824 | 0 |
CBAK ENERGY TECHNOLOGY INC | COM | 14986C952 | 70 | 605 | SH | Put | DFND | 1 | 0 | 605 | 0 |
CEA INDUSTRIES INC | COM | 86887P200 | 121 | 115,000 | SH | DFND | 1 | 0 | 115,000 | 0 | |
CINGULATE INC | COM | 17248W105 | 126 | 117,793 | SH | DFND | 1 | 0 | 117,793 | 0 | |
CINGULATE INC | *W | 17248W113 | 122 | 611,295 | SH | DFND | 1 | 0 | 611,295 | 0 | |
CLARUS THERAPEUTICS HLDNGS INC | COM | 18271L107 | 5 | 146,900 | SH | DFND | 1 | 0 | 146,900 | 0 | |
COCRYSTAL PHARMA INC | COM | 19188J300 | 1,538 | 5,284,256 | SH | DFND | 1 | 0 | 5,284,256 | 0 | |
CURIS INC | COM | 231269200 | 350 | 500,000 | SH | DFND | 1 | 0 | 500,000 | 0 | |
CYNGN INC | COM | 23257B107 | 69 | 69,440 | SH | DFND | 1 | 0 | 69,440 | 0 | |
DIGITAL ALLY INC | COM | 25382T101 | 509 | 1,114,646 | SH | DFND | 1 | 0 | 1,114,646 | 0 | |
DIGITAL ALLY INC | COM | 25382T951 | 38 | 829 | SH | Put | DFND | 1 | 0 | 829 | 0 |
DOGNESS INTL CORP | CL A | G2788T103 | 2,844 | 2,430,345 | SH | DFND | 1 | 0 | 2,430,345 | 0 | |
EKSO BIONICS HOLDINGS INC | COM | 282644301 | 160 | 102,400 | SH | DFND | 1 | 0 | 102,400 | 0 | |
EQONEX LTD | SHS | Y2074E109 | 10 | 23,854 | SH | DFND | 1 | 0 | 23,854 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W955 | 121 | 180 | SH | Put | DFND | 1 | 0 | 180 | 0 |
ESPORTS ENTERTAINMENT GROUP | COM | 29667K306 | 142 | 1,154,302 | SH | DFND | 1 | 0 | 1,154,302 | 0 | |
ESPORTS ENTERTAINMENT GROUP | *W | 29667K132 | 458 | 3,723,748 | SH | DFND | 1 | 0 | 3,723,748 | 0 | |
ESPORTS ENTERTAINMENT GROUP | COM | 29667K956 | 2 | 200 | SH | Put | DFND | 1 | 0 | 200 | 0 |
GEVO INC | COM | 374396956 | 148 | 650 | SH | Put | DFND | 1 | 0 | 650 | 0 |
GLOBUS MARITIME LIMITED | COM | Y27265126 | 638 | 506,659 | SH | DFND | 1 | 0 | 506,659 | 0 | |
GLOBUS MARITIME LIMITED | COM | Y27265956 | 106 | 842 | SH | Put | DFND | 1 | 0 | 842 | 0 |
GREENWAVE TECHNOLOGY SOLUTION | COM | 57630J304 | 544 | 314,674 | SH | DFND | 1 | 0 | 314,674 | 0 | |
GROM SOCIAL ENTERPRISES INC | *W | 39878L118 | 1 | 12,737 | SH | DFND | 1 | 0 | 12,737 | 0 | |
GUARDFORCE AI CO LTD | *W | G4236L120 | 47 | 388,000 | SH | DFND | 1 | 0 | 388,000 | 0 | |
HARBOR CUSTOM DEVELOPMENT INC | *W | 41150T124 | 1,267 | 1,439,795 | SH | DFND | 1 | 0 | 1,439,795 | 0 | |
HEARTBEAM INC | *W | 42238H116 | 235 | 399,150 | SH | DFND | 1 | 0 | 399,150 | 0 | |
HUMANCO ACQUISITION CORP | *W | 44487N117 | 44 | 400,314 | SH | DFND | 1 | 0 | 400,314 | 0 | |
IMPERIAL PETROLEUM INC | COM | Y3894J954 | 250 | 7,680 | SH | Put | DFND | 1 | 0 | 7,680 | 0 |
INMED PHARMACEUTICALS INC | COM | 457637601 | 101 | 15,284 | SH | DFND | 1 | 0 | 15,284 | 0 | |
INNOVATIVE EYEWEAR INC | COM | 45791D109 | 208 | 149,528 | SH | DFND | 1 | 0 | 149,528 | 0 | |
INNOVATIVE EYEWEAR INC | *W | 45791D117 | 530 | 381,640 | SH | DFND | 1 | 0 | 381,640 | 0 | |
ISHARES TR | ETF | 464287955 | 6,415 | 389 | SH | Put | DFND | 1 | 0 | 389 | 0 |
IVEDA SOLUTIONS INC | COM | 46583A204 | 413 | 635,443 | SH | DFND | 1 | 0 | 635,443 | 0 | |
JEFFS BRANDS LTD | *W | M61472110 | 13 | 77,282 | SH | DFND | 1 | 0 | 77,282 | 0 | |
KEMPHARM INC | COM | 488445206 | 1,551 | 248,592 | SH | DFND | 1 | 0 | 248,592 | 0 | |
KEMPHARM INC | COM | 488445956 | 2,583 | 4,140 | SH | Put | DFND | 1 | 0 | 4,140 | 0 |
LEXARIA BIOSCIENCE CORP | *W | 52886N117 | 699 | 285,360 | SH | DFND | 1 | 0 | 285,360 | 0 | |
LISATA THERAPEUTICS INC | COM | 128058302 | 294 | 63,508 | SH | DFND | 1 | 0 | 63,508 | 0 | |
LIXTE BIOTECHNOLOGY HOLDINGS | COM | 539319202 | 56 | 99,644 | SH | DFND | 1 | 0 | 99,644 | 0 | |
META MATERIALS INC | COM | 59134N104 | 891 | 1,372,752 | SH | DFND | 1 | 0 | 1,372,752 | 0 | |
META MATERIALS INC | COM | 59134N954 | 254 | 3,916 | SH | Put | DFND | 1 | 0 | 3,916 | 0 |
METEN HOLDING GROUP LTD | COM | G6055H148 | 119 | 330,504 | SH | DFND | 1 | 0 | 330,504 | 0 | |
MOLECULAR DATA INC | COM | 60852L205 | 2 | 178,972 | SH | DFND | 1 | 0 | 178,972 | 0 | |
NANOVIBRONIX INC | COM | 63008J108 | 5 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
NEWAGE INC | COM | 650194103 | 13 | 1,266,800 | SH | DFND | 1 | 0 | 1,266,800 | 0 | |
NISUN INTL ENT DVPMT GP CO LTD | CL A | G6593L106 | 1,132 | 2,177,039 | SH | DFND | 1 | 0 | 2,177,039 | 0 | |
NOCERA INC | COM | 655186500 | 318 | 227,440 | SH | DFND | 1 | 0 | 227,440 | 0 | |
NUVECTIS PHARMA INC | COM | 67080T108 | 4,488 | 632,979 | SH | DFND | 1 | 0 | 632,979 | 0 | |
OCEAN POWER TECHNOLOGIES INC | COM | 674870506 | 66 | 80,163 | SH | DFND | 1 | 0 | 80,163 | 0 | |
OCEAN POWER TECHNOLOGIES INC | COM | 674870956 | 49 | 596 | SH | Put | DFND | 1 | 0 | 596 | 0 |
ONFOLIO HOLDINGS INC | COM | 68277K207 | 108 | 93,500 | SH | DFND | 1 | 0 | 93,500 | 0 | |
ONION GLOBAL LTD | ADS | 68277G107 | 578 | 1,713,689 | SH | DFND | 1 | 0 | 1,713,689 | 0 | |
PALISADE BIO INC | COM | 696389105 | 44 | 445,899 | SH | DFND | 1 | 0 | 445,899 | 0 | |
PHARMACYTE BIOTECH INC | COM | 71715X203 | 1,362 | 567,600 | SH | DFND | 1 | 0 | 567,600 | 0 | |
PHARMACYTE BIOTECH INC | COM | 71715X953 | 414 | 1,723 | SH | Put | DFND | 1 | 0 | 1,723 | 0 |
PINEAPPLE ENERGY INC | COM | 72303P107 | 168 | 192,906 | SH | DFND | 1 | 0 | 192,906 | 0 | |
PULMATRIX INC | COM | 74584P301 | 1,114 | 312,000 | SH | DFND | 1 | 0 | 312,000 | 0 | |
RECON TECHNOLOGY LTD | CL A | G7415M124 | 1,123 | 1,973,609 | SH | DFND | 1 | 0 | 1,973,609 | 0 | |
REVIVA PHARMACEUTICALS HOLDINGS | COM | 76152G100 | 48 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
REVIVA PHARMACEUTICALS HOLDINGS | COM | 76152G950 | 48 | 300 | SH | Put | DFND | 1 | 0 | 300 | 0 |
REWALK ROBOTICS LIMITED | SHS | M8216Q200 | 782 | 880,446 | SH | DFND | 1 | 0 | 880,446 | 0 | |
REWALK ROBOTICS LIMITED | SHS | M8216Q950 | 64 | 722 | SH | Put | DFND | 1 | 0 | 722 | 0 |
SPDR S&P 500 | ETF | 78462F953 | 199 | 1,518 | SH | Put | DFND | 1 | 0 | 1,518 | 0 |
SPDR SER TR | ETF | 78464A950 | 10,113 | 1,275 | SH | Put | DFND | 1 | 0 | 1,275 | 0 |
SPHERE 3D CORP | COM | 84841L908 | 25 | 565 | SH | Call | DFND | 1 | 0 | 565 | 0 |
SPI ENERGY CO LTD | SHS | G8651P110 | 13 | 10,226 | SH | DFND | 1 | 0 | 10,226 | 0 | |
SPI ENERGY CO LTD | SHS | G8651P950 | 13 | 100 | SH | Put | DFND | 1 | 0 | 100 | 0 |
SPLASH BEVERAGE GROUP INC | COM | 84862C203 | 29 | 21,255 | SH | DFND | 1 | 0 | 21,255 | 0 | |
SPLASH BEVERAGE GROUP INC | *W | 84862C112 | 370 | 270,163 | SH | DFND | 1 | 0 | 270,163 | 0 | |
TANTECH HOLDINGS LTD | COM | G8675X123 | 212 | 1,200,000 | SH | DFND | 1 | 0 | 1,200,000 | 0 | |
THE9 LTD | ADS | 88337K302 | 14 | 14,453 | SH | DFND | 1 | 0 | 14,453 | 0 | |
TOUGHBUILT INDUSTRIES INC | COM | 89157G884 | 887 | 434,730 | SH | DFND | 1 | 0 | 434,730 | 0 | |
TRICIDA INC | COM | 89610F901 | 3,000 | 2,863 | SH | Call | DFND | 1 | 0 | 2,863 | 0 |
TRICIDA INC | COM | 89610F951 | 796 | 760 | SH | Put | DFND | 1 | 0 | 760 | 0 |
VINCERX PHARMA INC | COM | 92731L106 | 698 | 505,559 | SH | DFND | 1 | 0 | 505,559 | 0 | |
VIRPAX PHARMACEUTICALS INC | COM | 928251107 | 1,255 | 1,054,400 | SH | DFND | 1 | 0 | 1,054,400 | 0 | |
WEARABLE DEVICES LTD | SHS | M97838102 | 654 | 743,641 | SH | DFND | 1 | 0 | 743,641 | 0 | |
WEARABLE DEVICES LTD | *W | M97838110 | 515 | 2,464,241 | SH | DFND | 1 | 0 | 2,464,241 | 0 | |
XPRESSPA GROUP INC | COM | 98420U953 | 377 | 4,928 | SH | Put | DFND | 1 | 0 | 4,928 | 0 |