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 |
ABSOLUTE SOFTWARE CORP | COM | 00386B109 | 9,163 | 660,329 | SH | DFND | 1 | 660,329 | 0 | 0 | |
ABSOLUTE SOFTWARE CORP | COM | 00386B109 | 979 | 70,534 | SH | SOLE | 70,534 | 0 | 0 | ||
BRIGHTCOVE INC | COM | 10921T101 | 57,814 | 2,873,464 | SH | DFND | 1 | 2,873,464 | 0 | 0 | |
BRIGHTCOVE INC | COM | 10921T101 | 6,730 | 334,510 | SH | SOLE | 334,510 | 0 | 0 | ||
CREDIT SUISSE GROUP | SPONSORED ADR | 225401108 | 965 | 91,000 | SH | Put | DFND | 1 | 91,000 | 0 | 0 |
CREDIT SUISSE GROUP | SPONSORED ADR | 225401108 | 95 | 9,000 | SH | Put | SOLE | 9,000 | 0 | 0 | |
FREQUENCY ELECTRS INC | COM | 358010106 | 3,065 | 271,504 | SH | SOLE | 271,504 | 0 | 0 | ||
FREQUENCY ELECTRS INC | COM | 358010106 | 17,498 | 1,549,869 | SH | DFND | 1 | 1,549,869 | 0 | 0 | |
HAYNES INTERNATIONAL INC | COM NEW | 420877201 | 24,898 | 839,152 | SH | DFND | 1 | 839,152 | 0 | 0 | |
HAYNES INTERNATIONAL INC | COM NEW | 420877201 | 2,553 | 86,030 | SH | SOLE | 86,030 | 0 | 0 | ||
HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | 13,336 | 1,144,680 | SH | DFND | 1 | 1,144,680 | 0 | 0 | |
HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | 1,490 | 127,889 | SH | SOLE | 127,889 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 83,804 | 262,600 | SH | Put | DFND | 1 | 262,600 | 0 | 0 |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 8,265 | 25,900 | SH | Put | SOLE | 25,900 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 10,848 | 49,100 | SH | Put | SOLE | 49,100 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 109,564 | 495,900 | SH | Put | DFND | 1 | 495,900 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 14,579 | 129,100 | SH | Call | SOLE | 129,100 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 147,193 | 1,303,400 | SH | Call | DFND | 1 | 1,303,400 | 0 | 0 |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 13,190 | 151,300 | SH | Put | SOLE | 151,300 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 131,790 | 1,511,700 | SH | Put | DFND | 1 | 1,511,700 | 0 | 0 |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 1,977 | 15,200 | SH | Put | SOLE | 15,200 | 0 | 0 | |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 19,872 | 152,800 | SH | Put | DFND | 1 | 152,800 | 0 | 0 |
MAGNITE INC | COM | 55955D100 | 49,620 | 1,192,500 | SH | DFND | 1 | 1,192,500 | 0 | 0 | |
MAGNITE INC | COM | 55955D100 | 4,619 | 111,000 | SH | Put | SOLE | 111,000 | 0 | 0 | |
MAGNITE INC | COM | 55955D100 | 42,401 | 1,019,000 | SH | Put | DFND | 1 | 1,019,000 | 0 | 0 |
MAGNITE INC | COM | 55955D100 | 5,513 | 132,500 | SH | SOLE | 132,500 | 0 | 0 | ||
MARCHEX INC | CL B | 56624R108 | 33,784 | 12,022,757 | SH | DFND | 1 | 12,022,757 | 0 | 0 | |
MARCHEX INC | CL B | 56624R108 | 3,716 | 1,322,338 | SH | SOLE | 1,322,338 | 0 | 0 | ||
MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | 17,368 | 1,260,388 | SH | DFND | 1 | 1,260,388 | 0 | 0 | |
MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | 1,949 | 141,467 | SH | SOLE | 141,467 | 0 | 0 | ||
PHX MINERALS INC | CL A | 69291A100 | 728 | 253,599 | SH | SOLE | 253,599 | 0 | 0 | ||
PHX MINERALS INC | CL A | 69291A100 | 7,004 | 2,440,375 | SH | DFND | 1 | 2,440,375 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 26,682 | 200,900 | SH | Put | DFND | 1 | 200,900 | 0 | 0 |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 2,669 | 20,100 | SH | Put | SOLE | 20,100 | 0 | 0 | |
SERVICESOURCE INTL INC | COM | 81763U100 | 25,125 | 17,091,834 | SH | DFND | 1 | 17,091,834 | 0 | 0 | |
SERVICESOURCE INTL INC | COM | 81763U100 | 2,695 | 1,832,997 | SH | SOLE | 1,832,997 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 138,200 | 348,700 | SH | Put | DFND | 1 | 348,700 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 13,594 | 34,300 | SH | Put | SOLE | 34,300 | 0 | 0 | |
TOWNSQUARE MEDIA INC | CL A | 892231101 | 6,154 | 573,508 | SH | DFND | 1 | 573,508 | 0 | 0 | |
TOWNSQUARE MEDIA INC | CL A | 892231101 | 644 | 60,059 | SH | SOLE | 60,059 | 0 | 0 |