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 | 2,889 | 307,142 | SH | SOLE | 307,142 | 0 | 0 | ||
ABSOLUTE SOFTWARE CORP | COM | 00386B109 | 38,179 | 4,058,085 | SH | DFND | 1 | 4,058,085 | 0 | 0 | |
BRIGHTCOVE INC | COM | 10921T101 | 3,575 | 349,838 | SH | SOLE | 349,838 | 0 | 0 | ||
BRIGHTCOVE INC | COM | 10921T101 | 3,802 | 3,720 | SH | Call | DFND | 1 | 3,720 | 0 | 0 |
BRIGHTCOVE INC | COM | 10921T101 | 286 | 280 | SH | Call | SOLE | 280 | 0 | 0 | |
BRIGHTCOVE INC | COM | 10921T101 | 44,543 | 4,358,430 | SH | DFND | 1 | 4,358,430 | 0 | 0 | |
COGNYTE SOFTWARE LTD | ORD SHS | M25133105 | 851 | 54,285 | SH | SOLE | 54,285 | 0 | 0 | ||
COGNYTE SOFTWARE LTD | ORD SHS | M25133105 | 11,790 | 752,381 | SH | DFND | 1 | 752,381 | 0 | 0 | |
FREQUENCY ELECTRS INC | COM | 358010106 | 15,717 | 1,574,869 | SH | DFND | 1 | 1,574,869 | 0 | 0 | |
FREQUENCY ELECTRS INC | COM | 358010106 | 2,710 | 271,504 | SH | SOLE | 271,504 | 0 | 0 | ||
HAYNES INTERNATIONAL INC | COM NEW | 420877201 | 3,470 | 86,030 | SH | SOLE | 86,030 | 0 | 0 | ||
HAYNES INTERNATIONAL INC | COM NEW | 420877201 | 37,376 | 926,762 | SH | DFND | 1 | 926,762 | 0 | 0 | |
HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | 1,357 | 186,726 | SH | SOLE | 186,726 | 0 | 0 | ||
HEMISPHERE MEDIA GROUP INC | CL A | 42365Q103 | 17,933 | 2,466,676 | SH | DFND | 1 | 2,466,676 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 4,894 | 123 | SH | Put | SOLE | 123 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 64,531 | 1,622 | SH | Put | DFND | 1 | 1,622 | 0 | 0 |
ISHARES TR | MSCI EAFE ETF | 464287465 | 3,659 | 465 | SH | Put | DFND | 1 | 465 | 0 | 0 |
ISHARES TR | MSCI EAFE ETF | 464287465 | 275 | 35 | SH | Put | SOLE | 35 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 10,119 | 1,163 | SH | Put | DFND | 1 | 1,163 | 0 | 0 |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 757 | 87 | SH | Put | SOLE | 87 | 0 | 0 | |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 30,337 | 2,638 | SH | Call | DFND | 1 | 2,638 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 2,438 | 212 | SH | Call | SOLE | 212 | 0 | 0 | |
ISHARES TR | 3 7 YR TREAS BD | 464288661 | 82,992 | 6,450 | SH | Call | DFND | 1 | 6,450 | 0 | 0 |
ISHARES TR | 3 7 YR TREAS BD | 464288661 | 7,077 | 550 | SH | Call | SOLE | 550 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 44,023 | 1,979 | SH | Put | DFND | 1 | 1,979 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 3,359 | 151 | SH | Put | SOLE | 151 | 0 | 0 | |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 3,697 | 279 | SH | Put | DFND | 1 | 279 | 0 | 0 |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 278 | 21 | SH | Put | SOLE | 21 | 0 | 0 | |
MAGNITE INC | COM | 55955D100 | 3,245 | 185,422 | SH | SOLE | 185,422 | 0 | 0 | ||
MAGNITE INC | COM | 55955D100 | 3,255 | 1,860 | SH | Call | DFND | 1 | 1,860 | 0 | 0 |
MAGNITE INC | COM | 55955D100 | 245 | 140 | SH | Call | SOLE | 140 | 0 | 0 | |
MAGNITE INC | COM | 55955D100 | 45,132 | 2,578,994 | SH | DFND | 1 | 2,578,994 | 0 | 0 | |
MARCHEX INC | CL B | 56624R108 | 3,279 | 1,322,338 | SH | SOLE | 1,322,338 | 0 | 0 | ||
MARCHEX INC | CL B | 56624R108 | 32,742 | 13,202,296 | SH | DFND | 1 | 13,202,296 | 0 | 0 | |
MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | 1,784 | 141,467 | SH | SOLE | 141,467 | 0 | 0 | ||
MIX TELEMATICS LTD | SPONSORED ADR | 60688N102 | 18,827 | 1,493,002 | SH | DFND | 1 | 1,493,002 | 0 | 0 | |
PHX MINERALS INC | CL A | 69291A100 | 10,227 | 4,712,934 | SH | DFND | 1 | 4,712,934 | 0 | 0 | |
PHX MINERALS INC | CL A | 69291A100 | 828 | 381,637 | SH | SOLE | 381,637 | 0 | 0 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 243 | 14 | SH | Put | SOLE | 14 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 3,234 | 186 | SH | Put | DFND | 1 | 186 | 0 | 0 |
SERVICESOURCE INTL INC | COM | 81763U100 | 1,815 | 1,832,997 | SH | SOLE | 1,832,997 | 0 | 0 | ||
SERVICESOURCE INTL INC | COM | 81763U100 | 18,287 | 18,469,804 | SH | DFND | 1 | 18,469,804 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 7,599 | 160 | SH | Put | SOLE | 160 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 101,166 | 2,130 | SH | Put | DFND | 1 | 2,130 | 0 | 0 |
TUFIN SOFTWARE TECHNOLOGIE | SHS | M8893U102 | 577 | 54,700 | SH | SOLE | 54,700 | 0 | 0 | ||
TUFIN SOFTWARE TECHNOLOGIE | SHS | M8893U102 | 7,487 | 709,659 | SH | DFND | 1 | 709,659 | 0 | 0 |