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 |
ACHIEVE LIFE SCIENCE INC | COM NEW | 004468203 | 726 | 1,829,268 | SH | DFND | 12,8 | 1,829,268 | 0 | 0 | |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W107 | 1,002 | 2,850,477 | SH | DFND | 12,8 | 2,850,477 | 0 | 0 | |
ALTIMMUNE INC | COM NEW | 02155H200 | 315 | 29,400 | SH | DFND | 12,8 | 29,400 | 0 | 0 | |
AMERI HLDGS INC | *W EXP 11/08/202 | 02362F112 | 5 | 85,231 | SH | DFND | 12,8 | 85,231 | 0 | 0 | |
ARCTURUS THERAPEUTICS HLDG I | COM | 03969T109 | 9,349 | 200,032 | SH | DFND | 12,8 | 200,032 | 0 | 0 | |
ARTELO BIOSCIENCES INC | *W EXP 06/25/202 | 04301G128 | 7 | 65,000 | SH | DFND | 12,8 | 65,000 | 0 | 0 | |
ASSERTIO HOLDINGS INC | COM | 04546C106 | 372 | 434,303 | SH | DFND | 12,8 | 434,303 | 0 | 0 | |
AVINGER INC | COM | 053734604 | 130 | 420,855 | SH | DFND | 12,8 | 420,855 | 0 | 0 | |
BIOCARDIA INC | COM | 09060U507 | 58 | 24,403 | SH | DFND | 12,8 | 24,403 | 0 | 0 | |
BIOSIG TECHNOLOGIES INC | COM NEW | 09073N201 | 1,322 | 183,576 | SH | DFND | 12,8 | 183,576 | 0 | 0 | |
BRICKELL BIOTECH INC | COM | 10802T105 | 1,280 | 1,280,512 | SH | DFND | 12,8 | 1,280,512 | 0 | 0 | |
CAN FITE BIOFARMA LTD | SPONSORED ADS | 13471N201 | 392 | 197,965 | SH | DFND | 12,8 | 197,965 | 0 | 0 | |
CASTLE BIOSCIENCES INC | COM | 14843C105 | 1,403 | 37,235 | SH | DFND | 12,8 | 37,235 | 0 | 0 | |
CASTOR MARITIME INC | SHS | Y1146L109 | 305 | 761,305 | SH | DFND | 12,8 | 761,305 | 0 | 0 | |
CELLECTAR BIOSCIENCES INC | COM PAR | 15117F500 | 179 | 139,979 | SH | DFND | 12,8 | 139,979 | 0 | 0 | |
CHECK CAP LTD | *W EXP 05/03/202 | M2361E161 | 8 | 136,364 | SH | DFND | 12,8 | 136,364 | 0 | 0 | |
CONTRAFECT CORP | COM NEW | 212326300 | 9,832 | 1,538,685 | SH | DFND | 12,8 | 1,538,685 | 0 | 0 | |
CREATIVE REALITIES INC | *W EXP 11/09/202 | 22530J119 | 6 | 14,600 | SH | DFND | 12,8 | 14,600 | 0 | 0 | |
CURIS INC | COM NEW | 231269200 | 660 | 545,638 | SH | DFND | 12,8 | 545,638 | 0 | 0 | |
ENERGY FUELS INC | *W EXP 09/20/202 | 292671179 | 0 | 277,777 | SH | DFND | 12,8 | 277,777 | 0 | 0 | |
ENLIVEX THERAPEUTICS LTD | COM | M4130Y106 | 93 | 18,464 | SH | DFND | 12,8 | 18,464 | 0 | 0 | |
EROS INTL PLC | SHS NEW | G3788M114 | 2,212 | 700,000 | SH | DFND | 12,8 | 700,000 | 0 | 0 | |
FRANCHISE GROUP INC | COM | 35180X105 | 3,129 | 143,026 | SH | DFND | 12,8 | 143,026 | 0 | 0 | |
GENIUS BRANDS INTL INC | COM | 37229T301 | 13,393 | 5,952,381 | SH | DFND | 12,8 | 5,952,381 | 0 | 0 | |
GENIUS BRANDS INTL INC | COM | 37229T301 | 36 | 16,000 | SH | Put | DFND | 12,8 | 0 | 0 | 0 |
GLOBUS MARITIME LIMITED NEW | COM | Y27265407 | 551 | 2,062,429 | SH | DFND | 12,8 | 2,062,429 | 0 | 0 | |
GROWGENERATION CORP | COM | 39986L109 | 7,353 | 1,075,000 | SH | DFND | 12,8 | 1,075,000 | 0 | 0 | |
GS ACQUISITION HLDGS CORP II | UNIT 99/99/9999 | 36258Q204 | 5,255 | 500,000 | SH | DFND | 12,8 | 500,000 | 0 | 0 | |
HUDSON EXECUTIVE INVT CORP | UNIT 06/21/2025 | 443761200 | 12,240 | 1,200,000 | SH | DFND | 12,8 | 1,200,000 | 0 | 0 | |
IDEAYA BIOSCIENCES INC | COM | 45166A102 | 158 | 11,097 | SH | DFND | 12,8 | 11,097 | 0 | 0 | |
IMMUNIC INC | COM | 4525EP101 | 1,975 | 162,952 | SH | DFND | 12,8 | 162,952 | 0 | 0 | |
INNOVATIVE INDL PPTYS INC | COM | 45781V101 | 12,401 | 140,885 | SH | DFND | 12,8 | 140,885 | 0 | 0 | |
INOVIO PHARMACEUTICALS INC | NOTE 6.500% 3/0 | 45773HAB8 | 9,956 | 2,000,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
INSEEGO CORP | NOTE 3.250% 5/0 | 45782BAD6 | 5,241 | 5,000,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
KALEYRA INC | COM | 483379103 | 625 | 154,808 | SH | DFND | 12,8 | 154,808 | 0 | 0 | |
KEZAR LIFE SCIENCES INC | COM | 49372L100 | 486 | 93,751 | SH | DFND | 12,8 | 93,751 | 0 | 0 | |
KRATOS DEFENSE & SEC SOLUTIO | COM NEW | 50077B207 | 669 | 42,778 | SH | DFND | 12,8 | 42,778 | 0 | 0 | |
LEAP THERAPEUTICS INC | COM | 52187K101 | 1,473 | 704,900 | SH | DFND | 12,8 | 704,900 | 0 | 0 | |
LIQUIDIA TECHNOLOGIES INC | COM | 53635D202 | 2,238 | 265,773 | SH | DFND | 12,8 | 265,773 | 0 | 0 | |
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 3,110 | 414,077 | SH | DFND | 12,8 | 414,077 | 0 | 0 | |
MANNKIND CORP | COM NEW | 56400P706 | 3,164 | 1,808,190 | SH | DFND | 12,8 | 1,808,190 | 0 | 0 | |
MEDIGUS LTD | *W EXP 07/23/202 | 58471G128 | 12 | 57,986 | SH | DFND | 12,8 | 57,986 | 0 | 0 | |
MILESTONE SCIENTIFIC INC | COM NEW | 59935P209 | 731 | 374,765 | SH | DFND | 12,8 | 374,765 | 0 | 0 | |
MUSTANG BIO INC | COM | 62818Q104 | 1,170 | 367,937 | SH | DFND | 12,8 | 367,937 | 0 | 0 | |
NANTKWEST INC | COM | 63016Q102 | 9,675 | 787,863 | SH | DFND | 12,8 | 787,863 | 0 | 0 | |
NIKOLA CORP | COM | 654110105 | 33,765 | 500,000 | SH | DFND | 12,8 | 500,000 | 0 | 0 | |
NIKOLA CORP | COM | 654110105 | 49,297 | 730,000 | SH | Put | DFND | 12,8 | 0 | 0 | 0 |
OPEN LENDING CORP | COM CL A | 68373J104 | 3,775 | 250,000 | SH | DFND | 12,8 | 250,000 | 0 | 0 | |
PG&E CORP | COM | 69331C108 | 1,620 | 182,603 | SH | DFND | 12,8 | 182,603 | 0 | 0 | |
QUICKLOGIC CORP | COM NEW | 74837P405 | 795 | 259,940 | SH | DFND | 12,8 | 259,940 | 0 | 0 | |
RECON TECHNOLOGY LTD | SHS NEW | G7415M124 | 305 | 267,241 | SH | DFND | 12,8 | 267,241 | 0 | 0 | |
REPLIMUNE GROUP INC | COM | 76029N106 | 4,627 | 186,187 | SH | DFND | 12,8 | 186,187 | 0 | 0 | |
ROTH CH ACQUISITION I CO | UNIT 01/28/2025 | 778675207 | 2,010 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
SENSEONICS HLDGS INC | NOTE 5.250% 2/0 | 81727UAA3 | 1,257 | 1,500,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
SIGMA LABS INC | *W EXP 02/15/202 | 826598112 | 10 | 48,100 | SH | DFND | 12,8 | 48,100 | 0 | 0 | |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 3,443 | 1,550,960 | SH | DFND | 12,8 | 1,550,960 | 0 | 0 | |
SOLITON INC | COM | 834251100 | 1,292 | 166,113 | SH | DFND | 12,8 | 166,113 | 0 | 0 | |
SONIM TECHNOLOGIES INC | COM | 83548F101 | 811 | 1,001,778 | SH | DFND | 12,8 | 1,001,778 | 0 | 0 | |
TELA BIO INC | COM | 872381108 | 1,465 | 113,043 | SH | DFND | 12,8 | 113,043 | 0 | 0 | |
TENCENT MUSIC ENTMT GROUP | SPON ADS | 88034P109 | 13,460 | 1,000,000 | SH | DFND | 12,8 | 1,000,000 | 0 | 0 | |
TETRAPHASE PHARMACEUTICALS I | COM NEW | 88165N204 | 524 | 208,074 | SH | DFND | 12,8 | 208,074 | 0 | 0 | |
TIMKENSTEEL CORP | NOTE 6.000% 6/0 | 887399AA1 | 8,585 | 10,455,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
TRANSLATE BIO INC | COM | 89374L104 | 13,440 | 750,000 | SH | DFND | 12,8 | 750,000 | 0 | 0 | |
VERB TECHNOLOGY CO INC | *W EXP 03/14/202 | 92337U112 | 70 | 240,000 | SH | DFND | 12,8 | 240,000 | 0 | 0 | |
VERIFYME INC | *W EXP 06/22/202 | 92346X115 | 88 | 74,500 | SH | DFND | 12,8 | 74,500 | 0 | 0 | |
VERIFYME INC | COM NEW | 92346X206 | 62 | 16,395 | SH | DFND | 12,8 | 16,395 | 0 | 0 | |
WINDTREE THERAPEUTICS INC | COM | 97382D303 | 226 | 32,267 | SH | DFND | 12,8 | 32,267 | 0 | 0 | |
XERIS PHARMACEUTICALS INC | COM | 98422L107 | 39 | 14,626 | SH | DFND | 12,8 | 14,626 | 0 | 0 | |
YATRA ONLINE INC | ORD SHS | G98338109 | 560 | 824,320 | SH | DFND | 12,8 | 824,320 | 0 | 0 | |
YUNHONG INTL | UNIT 99/99/9999 | G98882114 | 3,518 | 350,000 | SH | DFND | 12,8 | 350,000 | 0 | 0 |