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 |
ACON S2 ACQUISITION CORP | UNIT 09/15/2027 | G00748122 | 2,004 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
ALPHA HEALTHCARE ACQUISTN CO | UNIT 09/21/2027 | 020751202 | 1,984 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
ALTIMMUNE INC | COM NEW | 02155H200 | 140 | 10,600 | SH | DFND | 12,8 | 10,600 | 0 | 0 | |
AMERI HLDGS INC | *W EXP 11/08/202 | 02362F112 | 5 | 83,431 | SH | DFND | 12,8 | 83,431 | 0 | 0 | |
APTORUM GROUP LIMITED | CL A ORD SHS | G6096M106 | 174 | 64,754 | SH | DFND | 12,8 | 64,754 | 0 | 0 | |
ARTELO BIOSCIENCES INC | *W EXP 06/25/202 | 04301G128 | 5 | 65,000 | SH | DFND | 12,8 | 65,000 | 0 | 0 | |
ASPIRATIONAL CONSUMER LIFEST | UNIT 99/99/9999 | G05436129 | 1,500 | 150,000 | SH | DFND | 12,8 | 150,000 | 0 | 0 | |
CEL-SCI CORP | COM PAR NEW | 150837607 | 153 | 12,000 | SH | Put | DFND | 12,8 | 0 | 0 | 0 |
CF FINANCE ACQUISITION CORP | UNIT 08/01/2027 | 15725Q203 | 2,005 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
CHECK CAP LTD | *W EXP 05/03/202 | M2361E161 | 4 | 136,364 | SH | DFND | 12,8 | 136,364 | 0 | 0 | |
CHECKPOINT THERAPEUTICS INC | COM | 162828107 | 7,028 | 2,622,546 | SH | DFND | 12,8 | 2,622,546 | 0 | 0 | |
COHBAR INC | COM | 19249J109 | 100 | 105,486 | SH | DFND | 12,8 | 105,486 | 0 | 0 | |
CONTRAFECT CORP | COM NEW | 212326300 | 2,976 | 563,720 | SH | DFND | 12,8 | 563,720 | 0 | 0 | |
CREATIVE REALITIES INC | *W EXP 11/09/202 | 22530J119 | 2 | 14,600 | SH | DFND | 12,8 | 14,600 | 0 | 0 | |
DEERFIELD HEALTHCARE TECH AC | COM CL A | 244413100 | 790 | 75,200 | SH | DFND | 12,8 | 75,200 | 0 | 0 | |
DEERFIELD HEALTHCARE TECH AC | *W EXP 07/16/202 | 244413118 | 21 | 15,040 | SH | DFND | 12,8 | 15,040 | 0 | 0 | |
DIAMEDICA THERAPEUTICS INC | COM NEW | 25253X207 | 1,171 | 276,176 | SH | DFND | 12,8 | 276,176 | 0 | 0 | |
EAST RES ACQUISITION CO | COM CL A | 274681105 | 4,815 | 490,300 | SH | DFND | 12,8 | 490,300 | 0 | 0 | |
EAST RES ACQUISITION CO | *W EXP 07/01/202 | 274681113 | 167 | 245,150 | SH | DFND | 12,8 | 245,150 | 0 | 0 | |
ENERGY FUELS INC | *W EXP 09/20/202 | 292671179 | 0 | 277,777 | SH | DFND | 12,8 | 277,777 | 0 | 0 | |
EQUITY DISTR ACQUISITION COR | UNIT 99/99/9999 | 29465E205 | 3,090 | 300,000 | SH | DFND | 12,8 | 300,000 | 0 | 0 | |
EROS STX GLOBAL CORPORATION | SHS NEW | G3788M114 | 1,547 | 700,000 | SH | DFND | 12,8 | 700,000 | 0 | 0 | |
FALCON CAPITAL ACQUISITN COR | UNIT 08/20/2027 | 30606L207 | 3,087 | 300,000 | SH | DFND | 12,8 | 300,000 | 0 | 0 | |
FAT BRANDS INC | *W EXP 06/30/202 | 30258N121 | 250 | 190,770 | SH | DFND | 12,8 | 190,770 | 0 | 0 | |
FINTECH ACQUISITION CORP IV | UNIT 12/31/2025 | 31810N302 | 1,024 | 100,000 | SH | DFND | 12,8 | 100,000 | 0 | 0 | |
FORUM MERGER III CORP | UNIT 08/24/2027 | 349885202 | 784 | 75,000 | SH | DFND | 12,8 | 75,000 | 0 | 0 | |
FTAC OLYMPUS ACQUISITION COR | UNIT 08/24/2025 | G37288118 | 2,000 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
FUELCELL ENERGY INC | COM | 35952H601 | 40,660 | 19,000,000 | SH | DFND | 12,8 | 19,000,000 | 0 | 0 | |
GENIUS BRANDS INTL INC | COM | 37229T301 | 62 | 52,167 | SH | DFND | 12,8 | 52,167 | 0 | 0 | |
GENIUS BRANDS INTL INC | COM | 37229T301 | 30 | 25,000 | SH | Call | DFND | 12,8 | 0 | 0 | 0 |
GEOVAX LABS INC | *W EXP 09/29/202 | 373678119 | 70 | 80,000 | SH | DFND | 12,8 | 80,000 | 0 | 0 | |
GREENPRO CAP CORP | COM | 39540F101 | 1,450 | 1,000,000 | SH | DFND | 12,8 | 1,000,000 | 0 | 0 | |
GS ACQUISITION HLDGS CORP II | COM CL A | 36258Q105 | 5,380 | 500,000 | SH | DFND | 12,8 | 500,000 | 0 | 0 | |
GS ACQUISITION HLDGS CORP II | *W EXP 06/30/202 | 36258Q113 | 269 | 125,000 | SH | DFND | 12,8 | 125,000 | 0 | 0 | |
HUDSON EXECUTIVE INVT CORP | COM CL A | 443761101 | 11,790 | 1,200,000 | SH | DFND | 12,8 | 1,200,000 | 0 | 0 | |
HUDSON EXECUTIVE INVT CORP | *W EXP 06/21/202 | 443761119 | 708 | 600,000 | SH | DFND | 12,8 | 600,000 | 0 | 0 | |
HUMANIGEN INC | COM NEW | 444863203 | 475 | 44,642 | SH | DFND | 12,8 | 44,642 | 0 | 0 | |
I MAB | SPONSORED ADS | 44975P103 | 7,126 | 151,520 | SH | DFND | 12,8 | 151,520 | 0 | 0 | |
INDUSTRIAL TECH ACQU INC | UNIT 08/31/2025 | 456357201 | 4,000 | 400,000 | SH | DFND | 12,8 | 400,000 | 0 | 0 | |
INSEEGO CORP | NOTE 3.250% 5/0 | 45782BAD6 | 4,808 | 5,000,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
INSU ACQUISITION CORP II | UNIT 09/04/2025 | 457821304 | 1,554 | 150,000 | SH | DFND | 12,8 | 150,000 | 0 | 0 | |
LIONHEART ACQUISITION CORP I | UNIT 08/13/2025 | 53625R203 | 3,486 | 350,000 | SH | DFND | 12,8 | 350,000 | 0 | 0 | |
MEDIGUS LTD | *W EXP 07/23/202 | 58471G128 | 10 | 57,986 | SH | DFND | 12,8 | 57,986 | 0 | 0 | |
NEONODE INC | COM PAR | 64051M709 | 1,883 | 238,400 | SH | DFND | 12,8 | 238,400 | 0 | 0 | |
NEOVASC INC | COM | 64065J304 | 454 | 211,998 | SH | DFND | 12,8 | 211,998 | 0 | 0 | |
NEPTUNE WELLNESS SOLUTIONS I | COM | 64079L105 | 238 | 112,803 | SH | DFND | 12,8 | 112,803 | 0 | 0 | |
NUCANA PLC | SPONSORED ADR | 67022C106 | 175 | 33,803 | SH | DFND | 12,8 | 33,803 | 0 | 0 | |
OAKTREE ACQUISITION CORP II | UNIT 09/15/2027 | G6715X129 | 2,058 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
ORPHAZYME A S | ADS | 687305102 | 1,808 | 175,000 | SH | DFND | 12,8 | 175,000 | 0 | 0 | |
PENN NATL GAMING INC | COM | 707569109 | 29,080 | 400,000 | SH | DFND | 12,8 | 400,000 | 0 | 0 | |
PERIDOT ACQUISITION CORP | UNIT 99/99/9999 | G7008A123 | 1,997 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
POLAR PWR INC | COM | 73102V105 | 395 | 125,000 | SH | DFND | 12,8 | 125,000 | 0 | 0 | |
PRIME IMPACT ACQUISITION I | UNIT 10/01/2030 | G61074111 | 3,006 | 300,000 | SH | DFND | 12,8 | 300,000 | 0 | 0 | |
PROTARA THERAPEUTICS INC | COM STK | 74365U107 | 2,842 | 168,836 | SH | DFND | 12,8 | 168,836 | 0 | 0 | |
QELL ACQUISITION CORP | UNIT 10/01/2025 | G7307X121 | 7,620 | 750,000 | SH | DFND | 12,8 | 750,000 | 0 | 0 | |
RIBBIT LEAP LTD | UNIT 99/99/9999 | G7552B121 | 1,950 | 150,000 | SH | DFND | 12,8 | 150,000 | 0 | 0 | |
ROCKWELL MED INC | COM | 774374102 | 5,673 | 5,301,527 | SH | DFND | 12,8 | 5,301,527 | 0 | 0 | |
ROTH CH ACQUISITION I CO | COM | 778675108 | 1,990 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
ROTH CH ACQUISITION I CO | *W EXP 01/28/202 | 778675116 | 155 | 150,000 | SH | DFND | 12,8 | 150,000 | 0 | 0 | |
SENSEONICS HLDGS INC | NOTE 5.250% 2/0 | 81727UAA3 | 679 | 1,500,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
SIGMA LABS INC | *W EXP 02/15/202 | 826598112 | 8 | 45,100 | SH | DFND | 12,8 | 45,100 | 0 | 0 | |
SIYATA MOBILE INC | *W EXP 09/24/202 | 83013Q152 | 63 | 55,000 | SH | DFND | 12,8 | 55,000 | 0 | 0 | |
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 3,893 | 1,550,960 | SH | DFND | 12,8 | 1,550,960 | 0 | 0 | |
STAR PEAK ENERGY TRANSITION | UNIT 99/99/9999 | 855185203 | 1,059 | 103,300 | SH | DFND | 12,8 | 103,300 | 0 | 0 | |
STARBOARD VALUE ACQUISITN CO | UNIT 09/10/2025 | 85521J208 | 706 | 70,000 | SH | DFND | 12,8 | 70,000 | 0 | 0 | |
SUN BIOPHARMA INC | COM NEW | 86664M206 | 238 | 79,030 | SH | DFND | 12,8 | 79,030 | 0 | 0 | |
THE9 LTD | SPON ADS | 88337K203 | 695 | 2,192,781 | SH | DFND | 12,8 | 2,192,781 | 0 | 0 | |
TIMKENSTEEL CORP | NOTE 6.000% 6/0 | 887399AA1 | 8,773 | 10,455,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
TORTOISE ACQUISITION CORP II | UNIT 06/14/2027 | G89554110 | 5,355 | 492,214 | SH | DFND | 12,8 | 492,214 | 0 | 0 | |
TWC TECH HLDGS II CORP | UNIT 09/10/2025 | 90117G204 | 2,026 | 200,000 | SH | DFND | 12,8 | 200,000 | 0 | 0 | |
UNITED STATES ANTIMONY CORP | COM | 911549103 | 174 | 600,000 | SH | DFND | 12,8 | 600,000 | 0 | 0 | |
URANIUM ENERGY CORP | COM | 916896103 | 377 | 377,804 | SH | DFND | 12,8 | 377,804 | 0 | 0 | |
USIO INC | COM | 917313108 | 339 | 220,267 | SH | DFND | 12,8 | 220,267 | 0 | 0 | |
VECTOR ACQUISITION CORP | UNIT 09/30/2027 | G9442R100 | 1,014 | 100,000 | SH | DFND | 12,8 | 100,000 | 0 | 0 | |
VELODYNE LIDAR INC | COM | 92259F101 | 28,035 | 1,500,000 | SH | DFND | 12,8 | 1,500,000 | 0 | 0 | |
VERB TECHNOLOGY CO INC | *W EXP 03/14/202 | 92337U112 | 93 | 240,000 | SH | DFND | 12,8 | 240,000 | 0 | 0 | |
VERIFYME INC | *W EXP 06/22/202 | 92346X115 | 76 | 68,970 | SH | DFND | 12,8 | 68,970 | 0 | 0 | |
VERONA PHARMA PLC | SPONSORED ADS | 925050106 | 2,773 | 444,445 | SH | DFND | 12,8 | 444,445 | 0 | 0 | |
VESPER HEALTHCARE ACQSTN COR | UNIT 99/99/9999 | 92538T203 | 3,078 | 300,000 | SH | DFND | 12,8 | 300,000 | 0 | 0 | |
YUCAIPA ACQUISITION CORP | UNIT 99/99/9999 | G9879L121 | 3,060 | 300,000 | SH | DFND | 12,8 | 300,000 | 0 | 0 | |
YUNHONG INTL | CL A SHS | G98882106 | 3,444 | 350,000 | SH | DFND | 12,8 | 350,000 | 0 | 0 | |
YUNHONG INTL | *W EXP 01/31/202 | G98882122 | 32 | 175,000 | SH | DFND | 12,8 | 175,000 | 0 | 0 | |
YUNHONG INTL | RIGHT 01/31/2027 | G98882130 | 70 | 350,000 | SH | DFND | 12,8 | 350,000 | 0 | 0 |