| 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 |
| ABBVIE INC | COM | 00287Y109 | 2,665 | 27,559 | SH | | DFND | 1 | 0 | 27,559 | 0 |
| ABBVIE INC | COM | 00287Y909 | 242 | 25 | SH | Call | DFND | 1 | 0 | 25 | 0 |
| ABBVIE INC | COM | 00287Y959 | 7,505 | 776 | SH | Put | DFND | 1 | 0 | 776 | 0 |
| ACHILLION PHARMACEUTICALS INC | COM | 00448Q201 | 48 | 16,705 | SH | | DFND | 1 | 0 | 16,705 | 0 |
| ACHILLION PHARMACEUTICALS INC | COM | 00448Q901 | 286 | 992 | SH | Call | DFND | 1 | 0 | 992 | 0 |
| ACHILLION PHARMACEUTICALS INC | COM | 00448Q951 | 50 | 174 | SH | Put | DFND | 1 | 0 | 174 | 0 |
| ADVAXIS INC | COM | 007624908 | 77 | 270 | SH | Call | DFND | 1 | 0 | 270 | 0 |
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 1,050 | 300,000 | SH | | DFND | 1 | 0 | 300,000 | 0 |
| AETERNA ZENTARIS INC | COM | 007975902 | 33 | 138 | SH | Call | DFND | 1 | 0 | 138 | 0 |
| AETERNA ZENTARIS INC | COM | 007975952 | 46 | 264 | SH | Put | DFND | 1 | 0 | 264 | 0 |
| AGENUS INC | COM | 00847G905 | 932 | 2,860 | SH | Call | DFND | 1 | 0 | 2,860 | 0 |
| AGENUS INC | COM | 00847G955 | 38 | 116 | SH | Put | DFND | 1 | 0 | 116 | 0 |
| AIMMUNE THERAPEUTICS INC | COM | 00900T107 | 213 | 5,629 | SH | | DFND | 1 | 0 | 5,629 | 0 |
| AIMMUNE THERAPEUTICS INC | COM | 00900T957 | 840 | 222 | SH | Put | DFND | 1 | 0 | 222 | 0 |
| ALEXION PHARMACEUTICALS INC | COM | 015351909 | 2,954 | 247 | SH | Call | DFND | 1 | 0 | 247 | 0 |
| ALEXION PHARMACEUTICALS INC | COM | 015351959 | 1,148 | 96 | SH | Put | DFND | 1 | 0 | 96 | 0 |
| ALKERMES PLC | SHS | G01767905 | 8,751 | 1,599 | SH | Call | DFND | 1 | 0 | 1,599 | 0 |
| ALKERMES PLC | SHS | G01767955 | 1,281 | 234 | SH | Put | DFND | 1 | 0 | 234 | 0 |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 2,446 | 19,250 | SH | | DFND | 1 | 0 | 19,250 | 0 |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q907 | 11,955 | 941 | SH | Call | DFND | 1 | 0 | 941 | 0 |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q957 | 20,366 | 1,603 | SH | Put | DFND | 1 | 0 | 1,603 | 0 |
| AMAG PHARMACEUTICALS INC | COM | 00163U106 | 1,575 | 118,864 | SH | | DFND | 1 | 0 | 118,864 | 0 |
| AMAG PHARMACEUTICALS INC | COM | 00163U906 | 733 | 553 | SH | Call | DFND | 1 | 0 | 553 | 0 |
| AMAG PHARMACEUTICALS INC | COM | 00163U956 | 2,414 | 1,822 | SH | Put | DFND | 1 | 0 | 1,822 | 0 |
| AMARIN CORPORATION PLC | ADR | 023111906 | 970 | 2,418 | SH | Call | DFND | 1 | 0 | 2,418 | 0 |
| AMICUS THERAPEUTICS INC | COM | 03152W909 | 14,924 | 10,371 | SH | Call | DFND | 1 | 0 | 10,371 | 0 |
| AMICUS THERAPEUTICS INC | COM | 03152W959 | 2,878 | 2,000 | SH | Put | DFND | 1 | 0 | 2,000 | 0 |
| AMYRIS INC | COM | 03236M950 | 94 | 250 | SH | Put | DFND | 1 | 0 | 250 | 0 |
| ANTHERA PHARMACEUTICALS INC | COM | 03674U950 | 109 | 658 | SH | Put | DFND | 1 | 0 | 658 | 0 |
| APPLIED DNA SCIENCES INC | *W | 03815U110 | 244 | 642,289 | SH | | DFND | 1 | 0 | 642,289 | 0 |
| APPLIED DNA SCIENCES INC | COM | 03815U201 | 1,482 | 932,350 | SH | | DFND | 1 | 0 | 932,350 | 0 |
| ARCA BIOPHARMA INC | COM | 00211Y407 | 138 | 100,000 | SH | | DFND | 1 | 0 | 100,000 | 0 |
| ASTRAZENECA PLC | ADR | 046353908 | 51,863 | 14,946 | SH | Call | DFND | 1 | 0 | 14,946 | 0 |
| ASTRAZENECA PLC | ADR | 046353958 | 26,063 | 7,511 | SH | Put | DFND | 1 | 0 | 7,511 | 0 |
| AVEO PHARMACEUTICALS INC | COM | 053588909 | 34 | 122 | SH | Call | DFND | 1 | 0 | 122 | 0 |
| AXOVANT SCIENCES LTD | COM | G0750W104 | 608 | 115,462 | SH | | DFND | 1 | 0 | 115,462 | 0 |
| AXOVANT SCIENCES LTD | COM | G0750W904 | 1,131 | 2,146 | SH | Call | DFND | 1 | 0 | 2,146 | 0 |
| AXOVANT SCIENCES LTD | COM | G0750W954 | 974 | 1,848 | SH | Put | DFND | 1 | 0 | 1,848 | 0 |
| BENITEC BIOPHARMA LTD | *W | 082053117 | 36 | 90,193 | SH | | DFND | 1 | 0 | 90,193 | 0 |
| BIO PATH HOLDINGS INC | COM | 09057N102 | 371 | 1,833,449 | SH | | DFND | 1 | 0 | 1,833,449 | 0 |
| BIOAMBER INC | COM | 09072Q106 | 9 | 21,319 | SH | | DFND | 1 | 0 | 21,319 | 0 |
| BIOCEPT INC | COM | 09072V204 | 668 | 962,265 | SH | | DFND | 1 | 0 | 962,265 | 0 |
| BIOGEN INC | COM | 09062X953 | 879 | 230 | SH | Put | DFND | 1 | 0 | 230 | 0 |
| BIOPHARMX CORP | COM | 09072X101 | 740 | 6,713,756 | SH | | DFND | 1 | 0 | 6,713,756 | 0 |
| BLUEBIRD BIO INC | COM | 09609G900 | 75,693 | 4,250 | SH | Call | DFND | 1 | 0 | 4,250 | 0 |
| BLUEBIRD BIO INC | COM | 09609G950 | 8,638 | 485 | SH | Put | DFND | 1 | 0 | 485 | 0 |
| BRISTOL MYERS SQUIBB CO | COM | 110122108 | 57,101 | 931,807 | SH | | DFND | 1 | 0 | 931,807 | 0 |
| BRISTOL MYERS SQUIBB CO | COM | 110122908 | 25,891 | 4,225 | SH | Call | DFND | 1 | 0 | 4,225 | 0 |
| BRISTOL MYERS SQUIBB CO | COM | 110122958 | 212,531 | 34,682 | SH | Put | DFND | 1 | 0 | 34,682 | 0 |
| CAPSTONE TURBINE CORP. | COM | 14067D409 | 758 | 983,787 | SH | | DFND | 1 | 0 | 983,787 | 0 |
| CHECK CAP LTD | SHS | M2361E112 | 876 | 1,007,494 | SH | | DFND | 1 | 0 | 1,007,494 | 0 |
| CHF SOLUTIONS INC | COM | 12542Q508 | 182 | 52,490 | SH | | DFND | 1 | 0 | 52,490 | 0 |
| CIGNA CORP | COM | 125509909 | 13,607 | 670 | SH | Call | DFND | 1 | 0 | 670 | 0 |
| CITIUS PHARMACEUTICALS INC | COM | 17322U207 | 820 | 210,131 | SH | | DFND | 1 | 0 | 210,131 | 0 |
| CLOVIS ONCOLOGY INC | COM | 189464900 | 456 | 67 | SH | Call | DFND | 1 | 0 | 67 | 0 |
| CONTRAFECT CORP. | COM | 212326102 | 35 | 34,333 | SH | | DFND | 1 | 0 | 34,333 | 0 |
| CYTORI THERAPEUTICS INC | *W | 23283K121 | 11 | 1,028,634 | SH | | DFND | 1 | 0 | 1,028,634 | 0 |
| DERMIRA INC | COM | 24983L104 | 1,260 | 45,304 | SH | | DFND | 1 | 0 | 45,304 | 0 |
| DERMIRA INC | COM | 24983L954 | 2,130 | 766 | SH | Put | DFND | 1 | 0 | 766 | 0 |
| EDAP TMS SA | ADR | 268311957 | 413 | 1,440 | SH | Put | DFND | 1 | 0 | 1,440 | 0 |
| EGALET CORP | COM | 28226B104 | 74 | 73,792 | SH | | DFND | 1 | 0 | 73,792 | 0 |
| EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 684 | 49,000 | SH | | DFND | 1 | 0 | 49,000 | 0 |
| ESPERION THERAPEUTICS INC | COM | 29664W105 | 9,361 | 142,185 | SH | | DFND | 1 | 0 | 142,185 | 0 |
| ESPERION THERAPEUTICS INC | COM | 29664W905 | 757 | 115 | SH | Call | DFND | 1 | 0 | 115 | 0 |
| ESPERION THERAPEUTICS INC | COM | 29664W955 | 10,995 | 1,670 | SH | Put | DFND | 1 | 0 | 1,670 | 0 |
| FIBROCELL SCIENCE INC | COM | 315721308 | 733 | 1,128,588 | SH | | DFND | 1 | 0 | 1,128,588 | 0 |
| FIBROGEN INC | COM | 31572Q908 | 1,304 | 275 | SH | Call | DFND | 1 | 0 | 275 | 0 |
| FUELCELL ENERGY INC | COM | 35952H952 | 55 | 1,236 | SH | Put | DFND | 1 | 0 | 1,236 | 0 |
| GALECTIN THERAPEUTICS INC | COM | 363225952 | 378 | 1,131 | SH | Put | DFND | 1 | 0 | 1,131 | 0 |
| GALENA BIOPHARMA INC | COM | 363256504 | 687 | 2,623,610 | SH | | DFND | 1 | 0 | 2,623,610 | 0 |
| GALENA BIOPHARMA INC | COM | 363256904 | 199 | 7,602 | SH | Call | DFND | 1 | 0 | 7,602 | 0 |
| GILEAD SCIENCES INC | COM | 375558903 | 3,252 | 454 | SH | Call | DFND | 1 | 0 | 454 | 0 |
| GW PHARMACEUTICALS PLC | ADS | 36197T953 | 4,662 | 353 | SH | Put | DFND | 1 | 0 | 353 | 0 |
| HALOZYME THERAPEUTICS INC | COM | 40637H909 | 10,029 | 4,950 | SH | Call | DFND | 1 | 0 | 4,950 | 0 |
| HEAT BIOLOGICS INC | COM | 42237K102 | 1,001 | 2,615,123 | SH | | DFND | 1 | 0 | 2,615,123 | 0 |
| HISTOGENICS CORP. | COM | 43358V109 | 1,958 | 955,060 | SH | | DFND | 1 | 0 | 955,060 | 0 |
| IDERA PHARMACEUTICALS INC | COM | 45168K306 | 650 | 307,987 | SH | | DFND | 1 | 0 | 307,987 | 0 |
| IMMUNOCELLULAR THERAPEUTICS | *W | 452536121 | 16 | 392,702 | SH | | DFND | 1 | 0 | 392,702 | 0 |
| IMMUNOMEDICS INC | COM | 452907958 | 2 | 305 | SH | Put | DFND | 1 | 0 | 305 | 0 |
| IMMUTEP LTD | ADR | 45257L108 | 34 | 21,500 | SH | | DFND | 1 | 0 | 21,500 | 0 |
| INCYTE CORP | COM | 45337C902 | 5,039 | 532 | SH | Call | DFND | 1 | 0 | 532 | 0 |
| INCYTE CORP | COM | 45337C952 | 9,812 | 1,036 | SH | Put | DFND | 1 | 0 | 1,036 | 0 |
| INSPIREMD INC | *W | 45779A127 | 36 | 1,193,470 | SH | | DFND | 1 | 0 | 1,193,470 | 0 |
| INSPIREMD INC | *W | 45779A135 | 40 | 2,003,848 | SH | | DFND | 1 | 0 | 2,003,848 | 0 |
| INSPIREMD INC | COM | 45779A804 | 555 | 4,321,909 | SH | | DFND | 1 | 0 | 4,321,909 | 0 |
| INTELLIPHARMACEUTICS INTERNATIONAL INC | COM | 458173101 | 867 | 1,083,637 | SH | | DFND | 1 | 0 | 1,083,637 | 0 |
| INTERCEPT PHARMACEUTICALS INC | COM | 45845P908 | 2,611 | 447 | SH | Call | DFND | 1 | 0 | 447 | 0 |
| INTERPACE DIAGNOSTICS GROUP | COM | 46062X204 | 1,346 | 1,319,290 | SH | | DFND | 1 | 0 | 1,319,290 | 0 |
| IONIS PHARMACEUTICALS INC | COM | 462222900 | 7,188 | 1,429 | SH | Call | DFND | 1 | 0 | 1,429 | 0 |
| IONIS PHARMACEUTICALS INC | COM | 462222950 | 6,187 | 1,230 | SH | Put | DFND | 1 | 0 | 1,230 | 0 |
| ISHARES RUSSELL 2000 | ETF | 464287905 | 64,109 | 4,205 | SH | Call | DFND | 1 | 0 | 4,205 | 0 |
| JAGUAR HEALTH INC | COM | 47010C201 | 142 | 1,045,741 | SH | | DFND | 1 | 0 | 1,045,741 | 0 |
| JUNO THERAPEUTICS INC | COM | 48205A909 | 13,727 | 3,003 | SH | Call | DFND | 1 | 0 | 3,003 | 0 |
| KAZIA THERAPEUTICS LTD | ADR | 48669G105 | 0 | 366,668 | SH | | DFND | 1 | 0 | 366,668 | 0 |
| LEAP THERAPEUTICS INC | COM | 52187K101 | 558 | 89,350 | SH | | DFND | 1 | 0 | 89,350 | 0 |
| MANNKIND CORP | COM | 56400P706 | 3,357 | 1,446,900 | SH | | DFND | 1 | 0 | 1,446,900 | 0 |
| MANNKIND CORP | COM | 56400P906 | 27 | 116 | SH | Call | DFND | 1 | 0 | 116 | 0 |
| MANNKIND CORP | COM | 56400P956 | 1,895 | 8,169 | SH | Put | DFND | 1 | 0 | 8,169 | 0 |
| MEDIGUS LTD | ADR | 58471G201 | 48 | 36,943 | SH | | DFND | 1 | 0 | 36,943 | 0 |
| MERCK & CO INC | COM | 58933Y905 | 102,535 | 18,222 | SH | Call | DFND | 1 | 0 | 18,222 | 0 |
| MERCK & CO INC | COM | 58933Y955 | 14,923 | 2,652 | SH | Put | DFND | 1 | 0 | 2,652 | 0 |
| MICROBOT MED INC | COM | 59503A105 | 1,275 | 1,250,000 | SH | | DFND | 1 | 0 | 1,250,000 | 0 |
| NABRIVA THERAPEUTICS PLC | SHS | G63637105 | 60 | 10,000 | SH | | DFND | 1 | 0 | 10,000 | 0 |
| NANOVIBRONIX INC | COM | 63008J108 | 477 | 101,949 | SH | | DFND | 1 | 0 | 101,949 | 0 |
| NEKTAR THERAPEUTICS | COM | 640268108 | 1,194 | 20,000 | SH | | DFND | 1 | 0 | 20,000 | 0 |
| NEKTAR THERAPEUTICS | COM | 640268908 | 3,326 | 557 | SH | Call | DFND | 1 | 0 | 557 | 0 |
| NEUROMETRIX INC | COM | 641255708 | 310 | 180,039 | SH | | DFND | 1 | 0 | 180,039 | 0 |
| OASMIA PHARMACEUTICAL | ADR | 67421W109 | 17 | 19,000 | SH | | DFND | 1 | 0 | 19,000 | 0 |
| ODONATE THERAPEUTICS INC | COM | 676079106 | 20,636 | 825,451 | SH | | DFND | 1 | 0 | 825,451 | 0 |
| ONCOBIOLOGICS INC | COM | 68235M105 | 2,703 | 2,079,367 | SH | | DFND | 1 | 0 | 2,079,367 | 0 |
| ONCOBIOLOGICS INC | *W | 68235M113 | 3 | 89,644 | SH | | DFND | 1 | 0 | 89,644 | 0 |
| ONCOBIOLOGICS INC | *W | 68235M121 | 4 | 199,193 | SH | | DFND | 1 | 0 | 199,193 | 0 |
| ONCONOVA THERAPEUTICS INC | *W | 68232V116 | 225 | 643,244 | SH | | DFND | 1 | 0 | 643,244 | 0 |
| ONCONOVA THERAPEUTICS INC | COM | 68232V306 | 842 | 561,163 | SH | | DFND | 1 | 0 | 561,163 | 0 |
| ONCOSEC MEDICAL INC | COM | 68234L207 | 249 | 153,137 | SH | | DFND | 1 | 0 | 153,137 | 0 |
| OPGEN INC | COM | 68373L109 | 211 | 1,129,867 | SH | | DFND | 1 | 0 | 1,129,867 | 0 |
| OVASCIENCE INC | COM | 69014Q101 | 840 | 600,000 | SH | | DFND | 1 | 0 | 600,000 | 0 |
| PROQR THERAPEUTICS N V | SHS | N71542109 | 1,120 | 347,245 | SH | | DFND | 1 | 0 | 347,245 | 0 |
| PROTEOSTASIS THERAPEUTICS INC | COM | 74373B109 | 350 | 60,000 | SH | | DFND | 1 | 0 | 60,000 | 0 |
| PROTHENA CORPORATION PLC | SHS | G72800108 | 927 | 24,730 | SH | | DFND | 1 | 0 | 24,730 | 0 |
| PROTHENA CORPORATION PLC | SHS | G72800908 | 900 | 240 | SH | Call | DFND | 1 | 0 | 240 | 0 |
| PROTHENA CORPORATION PLC | SHS | G72800958 | 1,616 | 431 | SH | Put | DFND | 1 | 0 | 431 | 0 |
| RADIUS HEALTH INC | COM | 750469907 | 4,880 | 1,536 | SH | Call | DFND | 1 | 0 | 1,536 | 0 |
| REDHILL BIOPHARMA LTD | ADS | 757468103 | 110 | 21,322 | SH | | DFND | 1 | 0 | 21,322 | 0 |
| REGENXBIO INC | COM | 75901B907 | 269 | 81 | SH | Call | DFND | 1 | 0 | 81 | 0 |
| RITTER PHARMACEUTICALS INC | COM | 767836109 | 118 | 357,781 | SH | | DFND | 1 | 0 | 357,781 | 0 |
| RXI PHARMACEUTICALS CORP | *W | 74979C113 | 273 | 2,100,797 | SH | | DFND | 1 | 0 | 2,100,797 | 0 |
| SAGE THERAPEUTICS INC | COM | 78667J908 | 5,765 | 350 | SH | Call | DFND | 1 | 0 | 350 | 0 |
| SAGE THERAPEUTICS INC | COM | 78667J958 | 4,266 | 259 | SH | Put | DFND | 1 | 0 | 259 | 0 |
| SANGAMO THERAPEUTICS INC | COM | 800677906 | 9,906 | 6,040 | SH | Call | DFND | 1 | 0 | 6,040 | 0 |
| SANGAMO THERAPEUTICS INC | COM | 800677956 | 4,477 | 2,730 | SH | Put | DFND | 1 | 0 | 2,730 | 0 |
| SAREPTA THERAPEUTICS INC | COM | 803607900 | 50,204 | 9,023 | SH | Call | DFND | 1 | 0 | 9,023 | 0 |
| SAREPTA THERAPEUTICS INC | COM | 803607950 | 8,190 | 1,472 | SH | Put | DFND | 1 | 0 | 1,472 | 0 |
| SENESTECH INC | COM | 81720R109 | 315 | 436,863 | SH | | DFND | 1 | 0 | 436,863 | 0 |
| SIGMA LABS INC | *W | 826598112 | 184 | 382,868 | SH | | DFND | 1 | 0 | 382,868 | 0 |
| SOLENO THERAPEUTICS INC | COM | 834203200 | 1,647 | 915,100 | SH | | DFND | 1 | 0 | 915,100 | 0 |
| SOPHIRIS BIO INC | COM | 83578Q209 | 127 | 55,907 | SH | | DFND | 1 | 0 | 55,907 | 0 |
| SOPHIRIS BIO INC | COM | 83578Q959 | 62 | 275 | SH | Put | DFND | 1 | 0 | 275 | 0 |
| SPARK THERAPEUTICS INC | COM | 84652J103 | 5,699 | 110,827 | SH | | DFND | 1 | 0 | 110,827 | 0 |
| SPDR S&P 500 | TR | 78462F903 | 53,558 | 3,000 | SH | Call | DFND | 1 | 0 | 3,000 | 0 |
| SPDR S&P BIOTECH | S&P BIOTECH | 78464A970 | 5,567 | 656 | SH | Call | DFND | 1 | 0 | 656 | 0 |
| STRATA SKIN SCIENCES INC. | COM | 86272A206 | 416 | 335,105 | SH | | DFND | 1 | 0 | 335,105 | 0 |
| SUNESIS PHARMACEUTICALS INC | COM | 867328700 | 461 | 125,000 | SH | | DFND | 1 | 0 | 125,000 | 0 |
| SUNESIS PHARMACEUTICALS INC | COM | 867328900 | 327 | 885 | SH | Call | DFND | 1 | 0 | 885 | 0 |
| SYNERGY PHARMACEUTICALS INC | COM | 871639908 | 946 | 4,243 | SH | Call | DFND | 1 | 0 | 4,243 | 0 |
| TANDEM DIABETES CARE INC. | COM | 875372203 | 65 | 27,487 | SH | | DFND | 1 | 0 | 27,487 | 0 |
| TESARO INC | COM | 881569107 | 804 | 9,700 | SH | | DFND | 1 | 0 | 9,700 | 0 |
| TESARO INC | COM | 881569907 | 704 | 85 | SH | Call | DFND | 1 | 0 | 85 | 0 |
| TESARO INC | COM | 881569957 | 862 | 104 | SH | Put | DFND | 1 | 0 | 104 | 0 |
| TRANSENTERIX INC | COM | 89366M201 | 1,367 | 708,097 | SH | | DFND | 1 | 0 | 708,097 | 0 |
| TRANSENTERIX INC | COM | 89366M951 | 589 | 3,050 | SH | Put | DFND | 1 | 0 | 3,050 | 0 |
| VERSARTIS INC | COM | 92529L102 | 2,185 | 993,100 | SH | | DFND | 1 | 0 | 993,100 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F900 | 13,772 | 919 | SH | Call | DFND | 1 | 0 | 919 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F950 | 7,283 | 486 | SH | Put | DFND | 1 | 0 | 486 | 0 |
| VICAL ORD SHS | COM | 925602203 | 503 | 275,090 | SH | | DFND | 1 | 0 | 275,090 | 0 |
| VISTAGEN THERAPEUTICS INC | COM | 92840H202 | 2,352 | 2,115,873 | SH | | DFND | 1 | 0 | 2,115,873 | 0 |
| VTV THERAPEUTICS INC | CL A | 918385105 | 267 | 44,500 | SH | | DFND | 1 | 0 | 44,500 | 0 |
| XENON PHARMACEUTICALS INC | COM | 98420N105 | 931 | 329,400 | SH | | DFND | 1 | 0 | 329,400 | 0 |
| YIELD10 BIOSCIENCE INC | COM | 98585K201 | 381 | 215,250 | SH | | DFND | 1 | 0 | 215,250 | 0 |
| ZOGENIX INC | COM | 98978L904 | 12,375 | 3,090 | SH | Call | DFND | 1 | 0 | 3,090 | 0 |
| ZOGENIX INC | COM | 98978L954 | 4,462 | 1,114 | SH | Put | DFND | 1 | 0 | 1,114 | 0 |
