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 |
ABILITY INC | SHS | G8789K124 | 676 | 393,972 | SH | DFND | 1 | 0 | 393,972 | 0 | |
ACHAOGEN INC | COM | 004449954 | 6 | 136 | SH | Put | DFND | 1 | 0 | 136 | 0 |
ACHAOGEN INC | COM | 004449104 | 159 | 348,400 | SH | DFND | 1 | 0 | 348,400 | 0 | |
AETERNA ZENTARIS INC | COM | 007975952 | 1 | 12 | SH | Put | DFND | 1 | 0 | 12 | 0 |
ALTIMMUNE INC | COM | 02155H950 | 368 | 1,269 | SH | Put | DFND | 1 | 0 | 1,269 | 0 |
AMARIN CORPORATION PLC | ADR | 023111906 | 3,072 | 1,480 | SH | Call | DFND | 1 | 0 | 1,480 | 0 |
APPLIED DNA SCIENCES INC | *W | 03815U110 | 4 | 192,302 | SH | DFND | 1 | 0 | 192,302 | 0 | |
APPLIED DNA SCIENCES INC | COM | 03815U951 | 32 | 288 | SH | Put | DFND | 1 | 0 | 288 | 0 |
AQUABOUNTY TECHNOLOGIES INC | COM | 03842K200 | 561 | 256,030 | SH | DFND | 1 | 0 | 256,030 | 0 | |
BELLEROPHON THERAPEUTICS INC | COM | 078771102 | 202 | 308,912 | SH | DFND | 1 | 0 | 308,912 | 0 | |
BENITEC BIOPHARMA LTD | *W | 082053117 | 6 | 57,949 | SH | DFND | 1 | 0 | 57,949 | 0 | |
BIOGEN INC | COM | 09062X103 | 1,655 | 7,000 | SH | DFND | 1 | 0 | 7,000 | 0 | |
BIOGEN INC | COM | 09062X953 | 3,498 | 148 | SH | Put | DFND | 1 | 0 | 148 | 0 |
BIOGEN INC | COM | 09062X903 | 54,438 | 2,303 | SH | Call | DFND | 1 | 0 | 2,303 | 0 |
BIOLINE RX LTD | ADS | 09071M106 | 16 | 36,999 | SH | DFND | 1 | 0 | 36,999 | 0 | |
BRAINSTORM CELL THERAPEUTICS INC | COM | 10501E201 | 3,234 | 745,205 | SH | DFND | 1 | 0 | 745,205 | 0 | |
BRIDGELINE DIGITAL INC | COM | 10807Q403 | 16 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
CELLECT BIOTECHNOLOGY LTD | ADS | 15116C102 | 214 | 211,854 | SH | DFND | 1 | 0 | 211,854 | 0 | |
CEL-SCI CORP | COM | 150837957 | 110 | 312 | SH | Put | DFND | 1 | 0 | 312 | 0 |
CELSION CORP | COM | 15117N903 | 20 | 100 | SH | Call | DFND | 1 | 0 | 100 | 0 |
CO-DIAGNOSTICS INC | COM | 189763105 | 820 | 773,330 | SH | DFND | 1 | 0 | 773,330 | 0 | |
CORMEDIX INC | COM | 21900C308 | 171 | 18,118 | SH | DFND | 1 | 0 | 18,118 | 0 | |
CORMEDIX INC | COM | 21900C958 | 7,325 | 7,751 | SH | Put | DFND | 1 | 0 | 7,751 | 0 |
CYTRX CORP | COM | 232828608 | 629 | 974,945 | SH | DFND | 1 | 0 | 974,945 | 0 | |
DELMAR PHARMACEUTICALS INC | COM | 247078207 | 243 | 496,502 | SH | DFND | 1 | 0 | 496,502 | 0 | |
ELECTRAMECCANICA VEHS CORP | COM | 284849205 | 1,877 | 527,200 | SH | DFND | 1 | 0 | 527,200 | 0 | |
EYENOVIA INC | COM | 30234E104 | 392 | 65,500 | SH | DFND | 1 | 0 | 65,500 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 717 | 13,195 | SH | DFND | 1 | 0 | 13,195 | 0 | |
FIBROGEN INC | COM | 31572Q908 | 1,826 | 336 | SH | Call | DFND | 1 | 0 | 336 | 0 |
FIBROGEN INC | COM | 31572Q958 | 5,951 | 1,095 | SH | Put | DFND | 1 | 0 | 1,095 | 0 |
FUELCELL ENERGY INC | COM | 35952H952 | 11 | 456 | SH | Put | DFND | 1 | 0 | 456 | 0 |
FUELCELL ENERGY INC | COM | 35952H502 | 59 | 241,523 | SH | DFND | 1 | 0 | 241,523 | 0 | |
GENPREX INC | COM | 372446104 | 911 | 585,573 | SH | DFND | 1 | 0 | 585,573 | 0 | |
HEMISPHERX BIOPHARMA INC | COM | 42365Q103 | 113 | 708,417 | SH | DFND | 1 | 0 | 708,417 | 0 | |
HISTOGENICS CORP | COM | 43358V109 | 220 | 1,900,100 | SH | DFND | 1 | 0 | 1,900,100 | 0 | |
INPIXON COM | COM | 45790J503 | 564 | 691,828 | SH | DFND | 1 | 0 | 691,828 | 0 | |
INSPIREMD INC | *W | 45779A135 | 1 | 1,067,324 | SH | DFND | 1 | 0 | 1,067,324 | 0 | |
IONIS PHARMACEUTICALS INC | COM | 462222900 | 1,229 | 1,848 | SH | Call | DFND | 1 | 0 | 1,848 | 0 |
ISHARES TR | ETF | 464287905 | 5,511 | 360 | SH | Call | DFND | 1 | 0 | 360 | 0 |
ISHARES TR | ETF | 464287955 | 33,925 | 2,216 | SH | Put | DFND | 1 | 0 | 2,216 | 0 |
ISORAY INC | COM | 46489V104 | 467 | 1,279,684 | SH | DFND | 1 | 0 | 1,279,684 | 0 | |
KARYOPHARM THERAPEUTICS INC | COM | 48576U106 | 146 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
KARYOPHARM THERAPEUTICS INC | COM | 48576U906 | 210 | 359 | SH | Call | DFND | 1 | 0 | 359 | 0 |
LOOP INDUSTRIES INC | COM | 543518104 | 1,968 | 248,436 | SH | DFND | 1 | 0 | 248,436 | 0 | |
MANNKIND CORP | COM | 56400P956 | 398 | 2,018 | SH | Put | DFND | 1 | 0 | 2,018 | 0 |
MEDIGUS LTD | *W | 58471G128 | 457 | 1,014,587 | SH | DFND | 1 | 0 | 1,014,587 | 0 | |
MICROBOT MED INC | COM | 59503A204 | 646 | 83,333 | SH | DFND | 1 | 0 | 83,333 | 0 | |
MONAKER GROUP INC | COM | 609011200 | 73 | 35,970 | SH | DFND | 1 | 0 | 35,970 | 0 | |
NEURALSTEM INC | COM | 64127R401 | 106 | 238,813 | SH | DFND | 1 | 0 | 238,813 | 0 | |
NEUROMETRIX INC | COM | 641255708 | 338 | 307,509 | SH | DFND | 1 | 0 | 307,509 | 0 | |
NOVAN INC | COM | 66988N906 | 82 | 86,225 | SH | DFND | 1 | 0 | 86,225 | 0 | |
NOVAVAX INC | COM | 670002904 | 8 | 153 | SH | Call | DFND | 1 | 0 | 153 | 0 |
NOVAVAX INC | COM | 670002954 | 474 | 8,600 | SH | Put | DFND | 1 | 0 | 8,600 | 0 |
NOVAVAX INC | COM | 670002104 | 474 | 860,000 | SH | DFND | 1 | 0 | 860,000 | 0 | |
ODONATE THERAPEUTICS INC | COM | 676079106 | 5,168 | 233,727 | SH | DFND | 1 | 0 | 233,727 | 0 | |
ONCONOVA THERAPEUTICS INC | *W | 68232V116 | 35 | 641,362 | SH | DFND | 1 | 0 | 641,362 | 0 | |
OPGEN INC | COM | 68373L208 | 562 | 929,831 | SH | DFND | 1 | 0 | 929,831 | 0 | |
ORAGENICS INC | COM | 684023302 | 299 | 510,679 | SH | DFND | 1 | 0 | 510,679 | 0 | |
ORAMED PHARMACEUTICALS INC | COM | 68403P203 | 2,481 | 681,500 | SH | DFND | 1 | 0 | 681,500 | 0 | |
PAVMED INC | *W | 70387R122 | 1,426 | 3,667,799 | SH | DFND | 1 | 0 | 3,667,799 | 0 | |
PAYMENT DATA SYS INC | COM | 70438S202 | 193 | 73,773 | SH | DFND | 1 | 0 | 73,773 | 0 | |
PHIO PHARMACEUTICALS CORP | *W | 71880W105 | 5 | 194,959 | SH | DFND | 1 | 0 | 194,959 | 0 | |
PLURISTEM THERAPEUTICS INC | COM | 72940R952 | 23 | 239 | SH | Put | DFND | 1 | 0 | 239 | 0 |
PROTEOSTASIS THERAPEUTICS INC | COM | 74373B909 | 28 | 220 | SH | Call | DFND | 1 | 0 | 220 | 0 |
PROTEOSTASIS THERAPEUTICS INC | COM | 74373B109 | 39 | 30,900 | SH | DFND | 1 | 0 | 30,900 | 0 | |
REWALK ROBOTICS LTD | SHS | M8216Q101 | 198 | 914,857 | SH | DFND | 1 | 0 | 914,857 | 0 | |
SIGMA LABS INC | *W | 826598112 | 57 | 88,467 | SH | DFND | 1 | 0 | 88,467 | 0 | |
SOPHIRIS BIO INC | COM | 83578Q209 | 33 | 33,643 | SH | DFND | 1 | 0 | 33,643 | 0 | |
SPDR S&P 500 ETF | ETF | 78462F953 | 50,168 | 1,776 | SH | Put | DFND | 1 | 0 | 1,776 | 0 |
SPDR S&P BIOTECH | ETF | 78464A950 | 4,527 | 500 | SH | Put | DFND | 1 | 0 | 500 | 0 |
SUPERCONDUCTOR TECHNOLOGIES INC | COM | 867931602 | 392 | 261,470 | SH | DFND | 1 | 0 | 261,470 | 0 | |
SYNTHETIC BIOLOGICS INC | COM | 87164U201 | 465 | 684,926 | SH | DFND | 1 | 0 | 684,926 | 0 | |
TARONIS TECHNOLOGIES INC | COM | 876214107 | 459 | 721,600 | SH | DFND | 1 | 0 | 721,600 | 0 | |
TITAN PHARMACEUTICALS INC | COM | 888314957 | 184 | 1,031 | SH | Put | DFND | 1 | 0 | 1,031 | 0 |
UNUM THERAPEUTICS INC | COM | 903214104 | 906 | 206,358 | SH | DFND | 1 | 0 | 206,358 | 0 | |
VASCULAR BIOGENICS LTD | COM | M96883109 | 498 | 327,504 | SH | DFND | 1 | 0 | 327,504 | 0 | |
VAXART INC | COM | 92243A200 | 382 | 197,001 | SH | DFND | 1 | 0 | 197,001 | 0 | |
VIKING THERAPEUTICS INC | COM | 92686J906 | 244 | 245 | SH | Call | DFND | 1 | 0 | 245 | 0 |
VTV THERAPEUTICS INC | CL A | 918385105 | 382 | 223,172 | SH | DFND | 1 | 0 | 223,172 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308905 | 2,370 | 610 | SH | Call | DFND | 1 | 0 | 610 | 0 |