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 |
|
||||||||||||||||
| 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 |
| AMAG PHARMACEUTICALS, INC. | COM | 00163U106 | 3 | 150 | SH | DFND | 1,2 | 150 | 0 | 0 | |
| AMBIT BIOSCIENCES CORP | COM | 02318X100 | 7,000 | 1,000,000 | SH | DFND | 1,2 | 1,000,000 | 0 | 0 | |
| AVANIR PHARMACEUTICALS INC. | CL A NEW | 05348P401 | 1,190 | 258,600 | SH | Call | DFND | 1,2 | 258,600 | 0 | 0 |
| BIODEL INC. | COM | 09064M204 | 7,749 | 1,853,845 | SH | DFND | 1,2 | 1,853,845 | 0 | 0 | |
| CELSION CORPORATION | COM | 15117N305 | 190 | 186,200 | SH | DFND | 1,2 | 186,200 | 0 | 0 | |
| CRYOLIFE INC. | COM | 228903100 | 164 | 26,244 | SH | DFND | 1,2 | 26,244 | 0 | 0 | |
| DURATA THERAPEUTICS INC. | COM | 26658A107 | 4,604 | 639,433 | SH | DFND | 1,2 | 639,433 | 0 | 0 | |
| DYAX CORP | COM | 26746E103 | 2,519 | 728,063 | SH | DFND | 1,2 | 728,063 | 0 | 0 | |
| FURIEX PHARMACEUTICAL, INC. | COM | 36106P101 | 16,834 | 494,100 | SH | DFND | 1,2 | 494,100 | 0 | 0 | |
| GERON CORPORATION | COM | 374163103 | 5,625 | 3,750,000 | SH | DFND | 1,2 | 3,750,000 | 0 | 0 | |
| GW PHARMACEUTICALS PLC | ADS | 36197T103 | 102 | 11,622 | SH | DFND | 1,2 | 11,622 | 0 | 0 | |
| HORIZON PHARMA, INC. | COM | 44047T109 | 3,928 | 1,596,720 | SH | DFND | 1,2 | 1,596,720 | 0 | 0 | |
| HYPERION THERAPEUTICS INC. | COM | 44915N101 | 21,207 | 963,961 | SH | DFND | 1,2 | 963,961 | 0 | 0 | |
| IMPAX LABORATORIES, INC. | COM | 45256B101 | 2,991 | 150,000 | SH | Put | DFND | 1,2 | 150,000 | 0 | 0 |
| MAST THERAPEUTICS INC. | COM | 576314108 | 2,490 | 5,800,000 | SH | DFND | 1,2 | 5,800,000 | 0 | 0 | |
| MEI PHARMA INC. | COM NEW | 55279B202 | 1,124 | 157,661 | SH | DFND | 1 | 157,661 | 0 | 0 | |
| MYRIAD GENETICS INC. | COM | 62855J104 | 1,881 | 70,000 | SH | Put | DFND | 1,2 | 70,000 | 0 | 0 |
| NORDION INC. | COM | 65563C105 | 3,978 | 537,500 | SH | DFND | 1,2 | 537,500 | 0 | 0 | |
| ONCOGENEX PHARMACEUTICAL INC. | COM | 68230A106 | 3,401 | 347,004 | SH | DFND | 1,2 | 347,004 | 0 | 0 | |
| PAIN THERAPEUTICS INC. | COM | 69562K100 | 5,133 | 2,322,769 | SH | DFND | 1,2 | 2,322,769 | 0 | 0 | |
| PALATIN TECHNOLOGIES INC. | COM | 696077403 | 1,062 | 1,712,807 | SH | DFND | 1,2 | 1,712,807 | 0 | 0 | |
| PERNIX THERAPEUTICS HOLDINGS | COM | 71426V108 | 1,073 | 297,187 | SH | DFND | 1,2 | 297,187 | 0 | 0 | |
| PROTALIX BIOTHERAPEUTICS INC. | COM | 74365A101 | 1,959 | 399,007 | SH | DFND | 1,2 | 399,007 | 0 | 0 | |
| RTI BIOLOGICS, INC. | COM | 74975N105 | 2,534 | 673,898 | SH | DFND | 1,2 | 673,898 | 0 | 0 | |
| STEMLINE THERAPEUTICS INC. | COM | 85858C107 | 14,196 | 595,493 | SH | DFND | 1,2 | 595,493 | 0 | 0 | |
| SUNSHINE HEART INC. | COM | 86782U106 | 5,101 | 950,000 | SH | DFND | 1,2 | 950,000 | 0 | 0 | |
| TARGACEPT, INC. | COM | 87611R306 | 1,570 | 367,709 | SH | DFND | 1,2 | 367,709 | 0 | 0 | |
| TRINITY BIOTECH PLC | SPON ADR NEW | 896438306 | 2,749 | 163,140 | SH | DFND | 1,2 | 163,140 | 0 | 0 | |
| VASCULAR SOLUTIONS INC. | COM | 92231M109 | 680 | 46,200 | SH | DFND | 1,2 | 46,200 | 0 | 0 | |
| VOLCANO CORPORATION | COM | 928645100 | 1,813 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
| WRIGHT MEDICAL GROUP, INC. | RIGHT 03/01/2019 | 98235T115 | 542 | 200,000 | SH | DFND | 1,2 | 200,000 | 0 | 0 | |
| XENOPORT INC. | COM | 98411C100 | 1,153 | 232,977 | SH | DFND | 1,2 | 232,977 | 0 | 0 | |