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 | 17,127 | 1,183,141 | SH | DFND | 1 | 1,183,141 | 0 | 0 | |
ABSOLUTE SOFTWARE CORP | COM | 00386B109 | 1,645 | 113,616 | SH | SOLE | 113,616 | 0 | 0 | ||
BRIGHTCOVE INC | COM | 10921T101 | 51,456 | 3,585,799 | SH | DFND | 1 | 3,585,799 | 0 | 0 | |
BRIGHTCOVE INC | COM | 10921T101 | 4,800 | 334,510 | SH | SOLE | 334,510 | 0 | 0 | ||
CURIOSITYSTREAM INC | COM CL A | 23130Q107 | 179 | 13,115 | SH | SOLE | 13,115 | 0 | 0 | ||
CURIOSITYSTREAM INC | COM CL A | 23130Q107 | 1,917 | 140,578 | SH | DFND | 1 | 140,578 | 0 | 0 | |
FREQUENCY ELECTRS INC | COM | 358010106 | 15,189 | 1,549,869 | SH | DFND | 1 | 1,549,869 | 0 | 0 | |
FREQUENCY ELECTRS INC | COM | 358010106 | 2,661 | 271,504 | SH | SOLE | 271,504 | 0 | 0 | ||
HAYNES INTERNATIONAL INC | COM NEW | 420877201 | 30,746 | 869,016 | SH | DFND | 1 | 869,016 | 0 | 0 | |
HAYNES INTERNATIONAL INC | COM NEW | 420877201 | 3,044 | 86,030 | SH | SOLE | 86,030 | 0 | 0 | ||
HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | 1,509 | 127,889 | SH | SOLE | 127,889 | 0 | 0 | ||
HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | 15,827 | 1,341,237 | SH | DFND | 1 | 1,341,237 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 9,286 | 26,200 | SH | Put | SOLE | 26,200 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 100,304 | 283,000 | SH | Put | DFND | 1 | 283,000 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 41,553 | 359,800 | SH | Call | DFND | 1 | 359,800 | 0 | 0 |
ISHARES TR | 3 7 YR TREAS BD | 464288661 | 8,080 | 61,900 | SH | Call | SOLE | 61,900 | 0 | 0 | |
ISHARES TR | 3 7 YR TREAS BD | 464288661 | 81,620 | 625,300 | SH | Call | DFND | 1 | 625,300 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 4,065 | 35,200 | SH | Call | SOLE | 35,200 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 70,335 | 798,900 | SH | Put | DFND | 1 | 798,900 | 0 | 0 |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 6,524 | 74,100 | SH | Put | SOLE | 74,100 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 7,156 | 31,200 | SH | Put | SOLE | 31,200 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 76,724 | 334,500 | SH | Put | DFND | 1 | 334,500 | 0 | 0 |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 4,289 | 31,900 | SH | Put | SOLE | 31,900 | 0 | 0 | |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 45,192 | 336,100 | SH | Put | DFND | 1 | 336,100 | 0 | 0 |
MAGNITE INC | COM | 55955D100 | 4,484 | 132,500 | SH | SOLE | 132,500 | 0 | 0 | ||
MAGNITE INC | COM | 55955D100 | 40,354 | 1,192,500 | SH | DFND | 1 | 1,192,500 | 0 | 0 | |
MAGNITE INC | COM | 55955D100 | 3,824 | 113,000 | SH | Put | SOLE | 113,000 | 0 | 0 | |
MAGNITE INC | COM | 55955D100 | 34,415 | 1,017,000 | SH | Put | DFND | 1 | 1,017,000 | 0 | 0 |
MARCHEX INC | CL B | 56624R108 | 37,096 | 12,122,757 | SH | DFND | 1 | 12,122,757 | 0 | 0 | |
MARCHEX INC | CL B | 56624R108 | 4,046 | 1,322,338 | SH | SOLE | 1,322,338 | 0 | 0 | ||
MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | 20,993 | 1,265,388 | SH | DFND | 1 | 1,265,388 | 0 | 0 | |
MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | 2,347 | 141,467 | SH | SOLE | 141,467 | 0 | 0 | ||
PHX MINERALS INC | CL A | 69291A100 | 15,064 | 4,049,440 | SH | DFND | 1 | 4,049,440 | 0 | 0 | |
PHX MINERALS INC | CL A | 69291A100 | 1,400 | 376,327 | SH | SOLE | 376,327 | 0 | 0 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 2,259 | 15,300 | SH | Put | SOLE | 15,300 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 24,024 | 162,700 | SH | Put | DFND | 1 | 162,700 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 6,571 | 36,800 | SH | Put | DFND | 1 | 36,800 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 571 | 3,200 | SH | Put | SOLE | 3,200 | 0 | 0 | |
SERVICESOURCE INTL INC | COM | 81763U100 | 2,585 | 1,832,997 | SH | SOLE | 1,832,997 | 0 | 0 | ||
SERVICESOURCE INTL INC | COM | 81763U100 | 24,826 | 17,606,980 | SH | DFND | 1 | 17,606,980 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 158,639 | 370,600 | SH | Put | DFND | 1 | 370,600 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 15,068 | 35,200 | SH | Put | SOLE | 35,200 | 0 | 0 | |
SPDR SER TR | S&P RETAIL ETF | 78464A714 | 389 | 4,000 | SH | Put | SOLE | 4,000 | 0 | 0 | |
SPDR SER TR | S&P RETAIL ETF | 78464A714 | 4,473 | 46,000 | SH | Put | DFND | 1 | 46,000 | 0 | 0 |
TOWNSQUARE MEDIA INC | CL A | 892231101 | 364 | 28,572 | SH | SOLE | 28,572 | 0 | 0 | ||
TOWNSQUARE MEDIA INC | CL A | 892231101 | 3,574 | 280,305 | SH | DFND | 1 | 280,305 | 0 | 0 | |
TUFIN SOFTWARE TECHNOLOGIE | SHS | M8893U102 | 1,168 | 128,055 | SH | DFND | 1 | 128,055 | 0 | 0 | |
TUFIN SOFTWARE TECHNOLOGIE | SHS | M8893U102 | 100 | 10,966 | SH | SOLE | 10,966 | 0 | 0 |