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 |
| ALIMERA SCIENCES INC | COM | 16259103 | 279 | 74,300 | SH | Call | DFND | 1,2 | 74,300 | 0 | 0 |
| AMARIN CORP PLC | SPONS ADR NEW | 23111206 | 3,160 | 500,000 | SH | Call | DFND | 1,2 | 500,000 | 0 | 0 |
| AMBIT BIOSCIENCES CORP | COM | 02318X100 | 13,693 | 883,459 | SH | DFND | 1,2 | 883,459 | 0 | 0 | |
| ARQULE INC | COM | 04269E107 | 871 | 373,926 | SH | DFND | 1,2 | 373,926 | 0 | 0 | |
| AVANIR PHARMACEUTICALS INC | CL A NEW | 05348P401 | 846 | 200,000 | SH | Call | DFND | 1,2 | 200,000 | 0 | 0 |
| BIODEL INC | COM NEW | 09064M204 | 4,204 | 1,334,483 | SH | DFND | 1,2 | 1,334,483 | 0 | 0 | |
| DURATA THERAPEUTICS INC | COM | 26658A107 | 4,596 | 508,472 | SH | DFND | 1,2 | 508,472 | 0 | 0 | |
| FURIEX PHARMACEUTICAL INC | COM | 36106P101 | 15,368 | 349,356 | SH | DFND | 1,2 | 349,356 | 0 | 0 | |
| GENTIUM S P A | SPONSORED ADR | 37250B104 | 6,098 | 224,767 | SH | DFND | 1,2 | 224,767 | 0 | 0 | |
| GERON CORP | COM | 374163103 | 8,315 | 2,482,185 | SH | DFND | 1,2 | 2,482,185 | 0 | 0 | |
| GTX INC DEL | COM | 40052B108 | 117 | 57,700 | SH | Put | DFND | 1,2 | 57,700 | 0 | 0 |
| HEARTWARE INTL INC | COM | 422368100 | 4,392 | 60,000 | SH | DFND | 1,2 | 60,000 | 0 | 0 | |
| HORIZON PHARMA INC | COM | 44047T109 | 335 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
| HYPERION THERAPEUTICS INC | COM | 44915N101 | 21,450 | 820,906 | SH | DFND | 1,2 | 820,906 | 0 | 0 | |
| MAST THERAPEUTICS INC | COM | 576314108 | 2,390 | 5,442,400 | SH | DFND | 1,2 | 5,442,400 | 0 | 0 | |
| NANOSPHERE INC | COM | 63009F105 | 5,000 | 2,500,000 | SH | DFND | 1,2 | 2,500,000 | 0 | 0 | |
| NORDION INC | COM | 65563C105 | 2,588 | 299,902 | SH | DFND | 1,2 | 299,902 | 0 | 0 | |
| ONCOGENEX PHARMACEUTICAL INC | COM | 68230A106 | 2,454 | 264,686 | SH | DFND | 1,2 | 264,686 | 0 | 0 | |
| PAIN THERAPEUTICS INC | COM | 69562K100 | 7,918 | 2,910,849 | SH | DFND | 1,2 | 2,910,849 | 0 | 0 | |
| PALATIN TECHNOLOGIES INC | COM PAR $ .01 | 696077403 | 133 | 192,992 | SH | DFND | 1,2 | 192,992 | 0 | 0 | |
| PERNIX THERAPEUTICS HLDGS INC | COM | 71426V108 | 807 | 296,811 | SH | DFND | 1,2 | 296,811 | 0 | 0 | |
| PROTALIX BIOTHERAPEUTICS INC | COM | 74365A101 | 1,808 | 399,007 | SH | DFND | 1,2 | 399,007 | 0 | 0 | |
| RTI SURGICAL INC. | COM | 74975N105 | 2,266 | 606,015 | SH | DFND | 1,2 | 606,015 | 0 | 0 | |
| SOPHIRIS BIO INC | COM | 83578Q209 | 5,991 | 1,280,000 | SH | DFND | 1,2 | 1,280,000 | 0 | 0 | |
| SUNSHINE HEART INC | COM | 86782U106 | 12,598 | 1,087,952 | SH | DFND | 1,2 | 1,087,952 | 0 | 0 | |
| THERAPEUTICSMD INC | COM | 88338N107 | 1,221 | 416,667 | SH | DFND | 1,2 | 416,667 | 0 | 0 | |
| TRINITY BIOTECH PLC | SPON ADR NEW | 896438306 | 4,114 | 189,071 | SH | DFND | 1,2 | 189,071 | 0 | 0 | |
| VOLCANO CORPORATION | COM | 928645100 | 3,413 | 142,500 | SH | DFND | 1,2 | 142,500 | 0 | 0 | |
| WRIGHT MED GROUP INC | RIGHT 03/01/2019 | 98235T115 | 41 | 116,600 | SH | DFND | 1,2 | 116,600 | 0 | 0 | |
| GIVEN IMAGING | ORD SHS | M52020100 | 2,269 | 118,000 | SH | DFND | 1,2 | 118,000 | 0 | 0 | |
| STREAMLINE HEALTH SOLUTIONS | COM | 86323X106 | 3,617 | 475,878 | SH | DFND | 1,2 | 475,878 | 0 | 0 | |
| MEI PHARMA INC | COM NEW | 55279B202 | 1,774 | 157,661 | SH | DFND | 1 | 157,661 | 0 | 0 | |