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 |
| ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 40,705 | 1,437,335 | SH | DFND | 1,2 | 1,437,335 | 0 | 0 | |
| ARADIGM CORP | COM NO PAR NEW | 038505400 | 3,982 | 1,002,962 | SH | DFND | 1,2 | 1,002,962 | 0 | 0 | |
| AURINIA PHARMACEUTICALS INC | COM | 05156V102 | 6,160 | 2,457,144 | SH | DFND | 1,2 | 2,457,144 | 0 | 0 | |
| BOVIE MEDICAL CORP | COM | 10211F100 | 5,628 | 2,680,000 | SH | DFND | 1,2 | 2,680,000 | 0 | 0 | |
| CALADRIUS BIOSCIENCES INC | COM | 128058104 | 2,429 | 2,248,781 | SH | DFND | 1,2 | 2,248,781 | 0 | 0 | |
| CYTOKINETICS INC | COM NEW | 23282W605 | 1,117 | 106,800 | SH | Put | DFND | 1,2 | 106,800 | 0 | 0 |
| EXELIXIS, INC | COM | 30161Q104 | 11,463 | 2,032,494 | SH | DFND | 1,2 | 2,032,494 | 0 | 0 | |
| FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 23,641 | 569,658 | SH | DFND | 1,2 | 569,658 | 0 | 0 | |
| FLEXION THERAPEUTICS INC | CALL | 33938J106 | 1,505 | 78,100 | SH | Call | DFND | 1,2 | 78,100 | 0 | 0 |
| GW PHARMACEUTICALS PLC | ADS | 36197T103 | 6,944 | 100,000 | SH | Put | DFND | 1,2 | 100,000 | 0 | 0 |
| MANNKIND CORP | COM | 56400P201 | 729 | 503,000 | SH | Put | DFND | 1,2 | 503,000 | 0 | 0 |
| OCERA THERAPEUTICS INC | COM | 67552A108 | 6,127 | 1,963,777 | SH | DFND | 1,2 | 1,963,777 | 0 | 0 | |
| PARATEK PHARMACEUTICALS INC | COM | 699374302 | 6,743 | 355,459 | SH | DFND | 1,2 | 355,459 | 0 | 0 | |
| RAPTOR PHARMACEUTICAL CORP | COM | 75382F106 | 6,669 | 1,282,527 | SH | DFND | 1,2 | 1,282,527 | 0 | 0 | |
| STREAMLINE HEALTH SOLUTIONS | COM | 86323X106 | 214 | 151,611 | SH | DFND | 1,2 | 151,611 | 0 | 0 | |
| SUNESIS PHARMACEUTICALS INC | COM NEW | 867328601 | 7,404 | 8,250,000 | SH | DFND | 1,2 | 8,250,000 | 0 | 0 | |
| SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 8,771 | 1,546,888 | SH | DFND | 1,2 | 1,546,888 | 0 | 0 | |
| TENAX THERAPEUTICS INC | COM | 88032L100 | 3,636 | 1,108,593 | SH | DFND | 1,2 | 1,108,593 | 0 | 0 | |
| TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 19,458 | 1,940,000 | SH | DFND | 1,2 | 1,940,000 | 0 | 0 | |
| TRANSITION THERAPEUTICS INC | COM NEW | 893716209 | 1,645 | 856,602 | SH | DFND | 1,2 | 856,602 | 0 | 0 | |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | 19,552 | 2,100,101 | SH | DFND | 1,2 | 2,100,101 | 0 | 0 | |
| VERICEL CORP | COM | 92346J108 | 5,382 | 2,086,028 | SH | DFND | 1,2 | 2,086,028 | 0 | 0 | |
| ZOGENIX INC | COM NEW | 98978L204 | 20,856 | 1,414,927 | SH | DFND | 1,2 | 1,414,927 | 0 | 0 | |
| ALCOBRA LTD | SHS | M2239P109 | 12,639 | 2,012,622 | SH | DFND | 1,2 | 2,012,622 | 0 | 0 | |
| CONNECTURE INC | COM | 20786J106 | 14,899 | 4,127,232 | SH | DFND | 1,2 | 4,127,232 | 0 | 0 | |