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 |
ACADIA HEALTHCARE COMPANY IN | COM | 00404A109 | 38 | 37,500 | SH | | DFND | | 0 | 0 | 37,500 |
AMERICOLD RLTY TR | COM | 03064D108 | 75 | 75,000 | SH | | DFND | | 0 | 0 | 75,000 |
AMERICOLD RLTY TR | COM | 03064D108 | 1,702 | 50,000 | SH | | SOLE | | 50,000 | 0 | 0 |
AMERICOLD RLTY TR | COM | 03064D108 | 107 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 240 | 240,000 | SH | | DFND | | 0 | 0 | 240,000 |
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 1,604 | 270,000 | SH | | SOLE | | 270,000 | 0 | 0 |
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 29 | 21,200 | SH | Call | SOLE | | 21,200 | 0 | 0 |
AXOS FINL INC | COM | 05465C100 | 70 | 70,000 | SH | | DFND | | 0 | 0 | 70,000 |
AXOS FINL INC | COM | 05465C100 | 1,088 | 60,000 | SH | | SOLE | | 60,000 | 0 | 0 |
AXOS FINL INC | COM | 05465C100 | 9 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
BADGER METER INC | COM | 056525108 | 28 | 6,900 | SH | Call | SOLE | | 6,900 | 0 | 0 |
BADGER METER INC | COM | 056525108 | 54 | 5,000 | SH | Put | SOLE | | 5,000 | 0 | 0 |
BADGER METER INC | COM | 056525108 | 0 | 2,100 | SH | Call | DFND | | 0 | 0 | 2,100 |
BARNES & NOBLE ED INC | COM | 06777U101 | 6 | 50,000 | SH | Call | SOLE | | 50,000 | 0 | 0 |
BARNES & NOBLE ED INC | COM | 06777U101 | 18 | 13,069 | SH | | SOLE | | 13,069 | 0 | 0 |
BAUSCH HEALTH COS INC | COM | 071734107 | 16 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
BENEFYTT TECHNOLOGIES INC | COM CL A | 08182C106 | 510 | 510,267 | SH | | DFND | | 0 | 0 | 510,267 |
BENEFYTT TECHNOLOGIES INC | COM CL A | 08182C106 | 13,544 | 604,900 | SH | | SOLE | | 604,900 | 0 | 0 |
BENEFYTT TECHNOLOGIES INC | COM CL A | 08182C106 | 200 | 15,000 | SH | Call | SOLE | | 15,000 | 0 | 0 |
BEST BUY INC | COM | 086516101 | 159 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 50 | 50,000 | SH | | DFND | | 0 | 0 | 50,000 |
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 3,646 | 80,000 | SH | | SOLE | | 80,000 | 0 | 0 |
CABOT OIL & GAS CORP | COM | 127097103 | 29 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
CELSIUS HLDGS INC | COM NEW | 15118V207 | 947 | 225,000 | SH | | SOLE | | 225,000 | 0 | 0 |
CELSIUS HLDGS INC | COM NEW | 15118V207 | 2 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
CELSIUS HLDGS INC | COM NEW | 15118V207 | 50 | 50,000 | SH | | DFND | | 0 | 0 | 50,000 |
CENTENNIAL RESOURCE DEV INC | CL A | 15136A102 | 1 | 40,000 | SH | Call | SOLE | | 40,000 | 0 | 0 |
CNX RESOURCES CORPORATION | COM | 20854L108 | 13 | 13,229 | SH | | DFND | | 0 | 0 | 13,229 |
CNX RESOURCES CORPORATION | COM | 20854L108 | 15 | 4,112 | SH | | SOLE | | 4,112 | 0 | 0 |
CNX RESOURCES CORPORATION | COM | 20854L108 | 0 | 3,900 | SH | Call | DFND | | 0 | 0 | 3,900 |
CNX RESOURCES CORPORATION | COM | 20854L108 | 4 | 12,400 | SH | Call | SOLE | | 12,400 | 0 | 0 |
CORNING INC | COM | 219350105 | 93 | 20,000 | SH | Put | SOLE | | 20,000 | 0 | 0 |
CUE BIOPHARMA INC | COM | 22978P106 | 39 | 38,670 | SH | | DFND | | 0 | 0 | 38,670 |
CUE BIOPHARMA INC | COM | 22978P106 | 710 | 50,000 | SH | | SOLE | | 50,000 | 0 | 0 |
DAVE & BUSTERS ENTMT INC | COM | 238337109 | 5 | 5,100 | SH | | DFND | | 0 | 0 | 5,100 |
DAVE & BUSTERS ENTMT INC | COM | 238337109 | 60 | 12,500 | SH | Call | SOLE | | 12,500 | 0 | 0 |
DOMO INC | COM CL B | 257554105 | 6 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 33 | 33,200 | SH | | DFND | | 0 | 0 | 33,200 |
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 560 | 82,287 | SH | | SOLE | | 82,287 | 0 | 0 |
EQT CORPORATION | COM | 26884L109 | 177 | 25,000 | SH | | SOLE | | 25,000 | 0 | 0 |
EXACT SCIENCES CORP | COM | 30063P105 | 187 | 17,500 | SH | Put | SOLE | | 17,500 | 0 | 0 |
FIRST INTERNET BANCORP | COM | 320557101 | 50 | 50,000 | SH | | DFND | | 0 | 0 | 50,000 |
FIRST INTERNET BANCORP | COM | 320557101 | 657 | 40,000 | SH | | SOLE | | 40,000 | 0 | 0 |
FORD MTR CO DEL | COM | 345370860 | 12 | 25,000 | SH | Call | SOLE | | 25,000 | 0 | 0 |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 94 | 94,454 | SH | | DFND | | 0 | 0 | 94,454 |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 225 | 65,000 | SH | | SOLE | | 65,000 | 0 | 0 |
GRAFTECH INTL LTD | COM | 384313508 | 10 | 10,000 | SH | | DFND | | 0 | 0 | 10,000 |
GROUP 1 AUTOMOTIVE INC | COM | 398905109 | 187 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
GROWGENERATION CORP | COM | 39986L109 | 1,660 | 435,658 | SH | | SOLE | | 435,658 | 0 | 0 |
GROWGENERATION CORP | COM | 39986L109 | 25 | 25,000 | SH | | DFND | | 0 | 0 | 25,000 |
HALLADOR ENERGY COMPANY | COM | 40609P105 | 64 | 67,874 | SH | | SOLE | | 67,874 | 0 | 0 |
INTERNATIONAL SEAWAYS INC | COM | Y41053102 | 189 | 20,000 | SH | Call | SOLE | | 20,000 | 0 | 0 |
JACK IN THE BOX INC | COM | 466367109 | 10 | 10,000 | SH | | DFND | | 0 | 0 | 10,000 |
JACK IN THE BOX INC | COM | 466367109 | 257 | 20,000 | SH | Call | SOLE | | 20,000 | 0 | 0 |
K12 INC | COM | 48273U102 | 75 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
KKR & CO INC | CL A | 48251W104 | 120 | 120,000 | SH | | DFND | | 0 | 0 | 120,000 |
KKR & CO INC | CL A | 48251W104 | 4,107 | 175,000 | SH | | SOLE | | 175,000 | 0 | 0 |
LEGACY HOUSING CORP | COM | 52472M101 | 159 | 159,216 | SH | | DFND | | 0 | 0 | 159,216 |
LEGACY HOUSING CORP | COM | 52472M101 | 2,266 | 245,000 | SH | | SOLE | | 245,000 | 0 | 0 |
MACERICH CO | COM | 554382101 | 3 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
MACQUARIE INFRASTRUCTURE COR | COM | 55608B105 | 3,156 | 125,000 | SH | | SOLE | | 125,000 | 0 | 0 |
MACQUARIE INFRASTRUCTURE COR | COM | 55608B105 | 35 | 78,000 | SH | Call | SOLE | | 78,000 | 0 | 0 |
MACQUARIE INFRASTRUCTURE COR | COM | 55608B105 | 110 | 110,000 | SH | | DFND | | 0 | 0 | 110,000 |
MASTERCRAFT BOAT HLDGS INC | COM | 57637H103 | 694 | 95,000 | SH | | SOLE | | 95,000 | 0 | 0 |
MASTERCRAFT BOAT HLDGS INC | COM | 57637H103 | 63 | 62,960 | SH | | DFND | | 0 | 0 | 62,960 |
MORGAN STANLEY | COM NEW | 617446448 | 20 | 20,000 | SH | | DFND | | 0 | 0 | 20,000 |
NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 120 | 120,000 | SH | | DFND | | 0 | 0 | 120,000 |
PAR TECHNOLOGY CORP | COM | 698884103 | 404 | 404,000 | SH | | DFND | | 0 | 0 | 404,000 |
PAR TECHNOLOGY CORP | COM | 698884103 | 6,173 | 480,000 | SH | | SOLE | | 480,000 | 0 | 0 |
PEABODY ENERGY CORP NEW | COM | 704551100 | 15 | 20,000 | SH | Call | SOLE | | 20,000 | 0 | 0 |
PENNSYLVANIA RL ESTATE INVT | SH BEN INT | 709102107 | 4 | 83,500 | SH | Call | SOLE | | 83,500 | 0 | 0 |
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 85 | 85,000 | SH | | DFND | | 0 | 0 | 85,000 |
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 160 | 70,000 | SH | | SOLE | | 70,000 | 0 | 0 |
PREMIER INC | CL A | 74051N102 | 91 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
QUINSTREET INC | COM | 74874Q100 | 263 | 262,500 | SH | | DFND | | 0 | 0 | 262,500 |
QUINSTREET INC | COM | 74874Q100 | 1,811 | 225,030 | SH | | SOLE | | 225,030 | 0 | 0 |
RIMINI STR INC DEL | COM | 76674Q107 | 4,607 | 1,126,359 | SH | | SOLE | | 1,126,359 | 0 | 0 |
RIMINI STR INC DEL | COM | 76674Q107 | 969 | 969,078 | SH | | DFND | | 0 | 0 | 969,078 |
ROSETTA STONE INC | COM | 777780107 | 633 | 633,401 | SH | | DFND | | 0 | 0 | 633,401 |
ROSETTA STONE INC | COM | 777780107 | 11,388 | 812,300 | SH | | SOLE | | 812,300 | 0 | 0 |
SAFEGUARD SCIENTIFICS INC | COM NEW | 786449207 | 32 | 31,680 | SH | | DFND | | 0 | 0 | 31,680 |
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 112 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 74 | 74,112 | SH | | DFND | | 0 | 0 | 74,112 |
SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 2,191 | 50,000 | SH | | SOLE | | 50,000 | 0 | 0 |
SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 279 | 15,000 | SH | Call | SOLE | | 15,000 | 0 | 0 |
STEWART INFORMATION SVCS COR | COM | 860372101 | 49 | 10,000 | SH | Call | SOLE | | 10,000 | 0 | 0 |
SUNCOKE ENERGY INC | COM | 86722A103 | 20 | 20,000 | SH | | DFND | | 0 | 0 | 20,000 |
TARGET CORP | COM | 87612E106 | 40 | 1,500 | SH | Call | SOLE | | 1,500 | 0 | 0 |
TARGET CORP | COM | 87612E106 | 5 | 5,000 | SH | | DFND | | 0 | 0 | 5,000 |
TARGET CORP | COM | 87612E106 | 930 | 10,000 | SH | | SOLE | | 10,000 | 0 | 0 |
TEGNA INC | COM | 87901J105 | 15 | 15,317 | SH | | DFND | | 0 | 0 | 15,317 |
TEGNA INC | COM | 87901J105 | 272 | 25,000 | SH | | SOLE | | 25,000 | 0 | 0 |
TESLA INC | COM | 88160R101 | 2 | 500 | SH | Call | SOLE | | 500 | 0 | 0 |
TESLA INC | COM | 88160R101 | 0 | 800 | SH | Put | DFND | | 0 | 0 | 800 |
TESLA INC | COM | 88160R101 | 365 | 70,900 | SH | Put | SOLE | | 70,900 | 0 | 0 |
UNIQURE NV | SHS | N90064101 | 60 | 60,000 | SH | | DFND | | 0 | 0 | 60,000 |
UNIQURE NV | SHS | N90064101 | 3,203 | 67,500 | SH | | SOLE | | 67,500 | 0 | 0 |
UNITED STATES OIL FUND LP | UNITS | 91232N108 | 8 | 25,000 | SH | Put | SOLE | | 25,000 | 0 | 0 |
VERSO CORP | CL A | 92531L207 | 20 | 20,000 | SH | | DFND | | 0 | 0 | 20,000 |
VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 | 59 | 10,000 | SH | Put | SOLE | | 10,000 | 0 | 0 |