The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 391 | 60,000 | SH | DFND | 1 | 0 | 60,000 | 0 | |
| ALIGN TECHNOLOGY INC | COM | 016255101 | 745 | 4,000 | SH | DFND | 1 | 0 | 4,000 | 0 | |
| ALPHABET INC | CAP STK CL C | 02079K107 | 7,826 | 8,160 | SH | DFND | 1 | 0 | 8,160 | 0 | |
| AMAZON COM INC | COM | 023135106 | 4,807 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
| APPLE INC | COM | 037833100 | 2,451 | 15,900 | SH | DFND | 1 | 0 | 15,900 | 0 | |
| APPLE INC | COM | 037833100 | 771 | 5,000 | SH | Put | DFND | 1 | 0 | 5,000 | 0 |
| APTEVO THERAPEUTICS INC | COM | 03835L108 | 497 | 217,000 | SH | DFND | 1 | 0 | 217,000 | 0 | |
| ASURE SOFTWARE INC | COM | 04649U102 | 1,615 | 130,000 | SH | DFND | 1 | 0 | 130,000 | 0 | |
| AXCELIS TECHNOLOGIES INC | COM NEW | 054540208 | 1,532 | 56,000 | SH | DFND | 1 | 0 | 56,000 | 0 | |
| BOINGO WIRELESS INC | COM | 09739C102 | 1,304 | 61,000 | SH | DFND | 1 | 0 | 61,000 | 0 | |
| CALAMP CORP | COM | 128126109 | 2,093 | 90,000 | SH | DFND | 1 | 0 | 90,000 | 0 | |
| CENTURY CMNTYS INC | COM | 156504300 | 1,408 | 57,000 | SH | DFND | 1 | 0 | 57,000 | 0 | |
| COHERENT INC | COM | 192479103 | 706 | 3,000 | SH | DFND | 1 | 0 | 3,000 | 0 | |
| CUTERA INC | COM | 232109108 | 1,241 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| DASEKE INC | COM | 23753F107 | 1,305 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| EAGLE MATERIALS INC | COM | 26969P108 | 1,601 | 15,000 | SH | DFND | 1 | 0 | 15,000 | 0 | |
| ENCORE WIRE CORP | COM | 292562105 | 564 | 12,600 | SH | DFND | 1 | 0 | 12,600 | 0 | |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 19,229 | 737,600 | SH | DFND | 1 | 0 | 737,600 | 0 | |
| EURONET WORLDWIDE INC | COM | 298736109 | 2,559 | 27,000 | SH | DFND | 1 | 0 | 27,000 | 0 | |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 200 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
| GEO GROUP INC NEW | COM | 36162J106 | 1,211 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| GIGAMON INC | COM | 37518B102 | 422 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| GLU MOBILE INC | COM | 379890106 | 11,280 | 3,000,000 | SH | DFND | 1 | 0 | 3,000,000 | 0 | |
| GLU MOBILE INC | COM | 379890106 | 1,880 | 500,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| GRAND CANYON ED INC | COM | 38526M106 | 5,159 | 56,800 | SH | DFND | 1 | 0 | 56,800 | 0 | |
| GTT COMMUNICATIONS INC | COM | 362393100 | 1,393 | 44,000 | SH | DFND | 1 | 0 | 44,000 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 1,921 | 132,500 | SH | DFND | 1 | 0 | 132,500 | 0 | |
| HUTTIG BLDG PRODS INC | COM | 448451104 | 1,214 | 172,000 | SH | DFND | 1 | 0 | 172,000 | 0 | |
| IES HLDGS INC | COM | 44951W106 | 1,453 | 84,000 | SH | DFND | 1 | 0 | 84,000 | 0 | |
| INTELLICHECK INC | COM NEW | 45817G201 | 576 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| INVUITY INC | COM NEW | 46187J205 | 472 | 53,000 | SH | DFND | 1 | 0 | 53,000 | 0 | |
| JD COM INC | SPON ADR CL A | 47215P106 | 764 | 20,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| LGI HOMES INC | COM | 50187T106 | 340 | 7,000 | SH | DFND | 1 | 0 | 7,000 | 0 | |
| MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 1,378 | 77,000 | SH | DFND | 1 | 0 | 77,000 | 0 | |
| MICROSOFT CORP | COM | 594918104 | 3,352 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| MODEL N INC | COM | 607525102 | 1,450 | 97,000 | SH | DFND | 1 | 0 | 97,000 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 2,825 | 290,000 | SH | DFND | 1 | 0 | 290,000 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 6,088 | 625,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| NEXPOINT RESIDENTIAL TR INC | COM | 65341D102 | 719 | 30,300 | SH | DFND | 1 | 0 | 30,300 | 0 | |
| ON SEMICONDUCTOR CORP | COM | 682189105 | 1,256 | 68,000 | SH | DFND | 1 | 0 | 68,000 | 0 | |
| PENNEY J C INC | COM | 708160106 | 267 | 70,000 | SH | Put | DFND | 1 | 0 | 70,000 | 0 |
| POINTS INTL LTD | COM NEW | 730843208 | 11 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| POINTS INTL LTD | COM NEW | 730843208 | 285 | 25,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| PRIMORIS SVCS CORP | COM | 74164F103 | 2,589 | 88,000 | SH | DFND | 1 | 0 | 88,000 | 0 | |
| SAVARA INC | COM | 805111101 | 720 | 77,000 | SH | DFND | 1 | 0 | 77,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 3,878 | 33,000 | SH | DFND | 1 | 0 | 33,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 1,175 | 10,000 | SH | Put | DFND | 1 | 0 | 10,000 | 0 |
| SIX FLAGS ENTMT CORP NEW | COM | 83001A102 | 683 | 11,200 | SH | DFND | 1 | 0 | 11,200 | 0 | |
| STAMPS COM INC | COM NEW | 852857200 | 405 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| TIER REIT INC | COM NEW | 88650V208 | 1,332 | 69,000 | SH | DFND | 1 | 0 | 69,000 | 0 | |
| TOWER SEMICONDUCTOR LTD | SHS NEW | M87915274 | 11,043 | 359,122 | SH | DFND | 1 | 0 | 359,122 | 0 | |
| TYLER TECHNOLOGIES INC | COM | 902252105 | 1,743 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| UPLAND SOFTWARE INC | COM | 91544A109 | 5,849 | 276,399 | SH | DFND | 1 | 0 | 276,399 | 0 | |
| VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 728 | 50,000 | SH | Put | DFND | 1 | 0 | 50,000 | 0 |