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 |
| A10 NETWORKS INC | COM | 002121101 | 512 | 75,000 | SH | DFND | 75,000 | 0 | 0 | ||
| AEHR TEST SYSTEMS | COM | 00760J108 | 721 | 436,932 | SH | DFND | 436,932 | 0 | 0 | ||
| ANAVEX LIFE SCIENCES CORP | COM NEW | 032797300 | 81 | 24,000 | SH | DFND | 24,000 | 0 | 0 | ||
| APHRIA INC | COM | 03765K104 | 176 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
| BBX CAP CORP NEW | CL A | 05491N104 | 491 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
| B RILEY PRINCIPAL MERGER COR | *W EXP 04/08/202 | 05586Y114 | 11 | 24,200 | SH | DFND | 24,200 | 0 | 0 | ||
| B RILEY PRINCIPAL MERGER COR | UNIT 99/99/9999 | 05586Y205 | 4,616 | 462,500 | SH | DFND | 462,500 | 0 | 0 | ||
| BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 3,741 | 10,908,713 | SH | DFND | 10,908,713 | 0 | 0 | ||
| CSI COMPRESSCO LP | COM UNIT | 12637A103 | 1,343 | 379,325 | SH | DFND | 379,325 | 0 | 0 | ||
| DESTINATION XL GROUP INC | COM | 25065K104 | 48 | 27,000 | SH | DFND | 27,000 | 0 | 0 | ||
| FINJAN HLDGS INC | COM NEW | 31788H303 | 111 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
| FINTECH ACQUISITION CORP III | UNIT 12/01/2023 | 31811A309 | 535 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
| FRANCESCAS HLDGS CORP | COM | 351793104 | 10 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
| HC2 HLDGS INC | COM | 404139107 | 9,947 | 4,214,730 | SH | DFND | 4,214,730 | 0 | 0 | ||
| HF FOODS GROUP INC | COM | 40417F109 | 313 | 9,000 | SH | DFND | 9,000 | 0 | 0 | ||
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 9,788 | 377,608 | SH | DFND | 377,608 | 0 | 0 | ||
| HESS MIDSTREAM PARTNERS LP | UNIT LTD PR INT | 428104103 | 873 | 44,768 | SH | DFND | 44,768 | 0 | 0 | ||
| HORIZON GLOBAL CORP | NOTE 2.750% 7/0 | 44052WAA2 | 71 | 116,000 | PRN | DFND | 116,000 | 0 | 0 | ||
| IMMERSION CORP | COM | 452521107 | 285 | 37,500 | SH | DFND | 37,500 | 0 | 0 | ||
| INDEPENDENCE CONTRACT DRIL I | COM | 453415309 | 55 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 54,425 | 350,000 | SH | Put | DFND | 350,000 | 0 | 0 | |
| KVH INDS INC | COM | 482738101 | 272 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
| LONESTAR RES US INC | CL A VTG | 54240F103 | 4,543 | 1,983,991 | SH | DFND | 1,983,991 | 0 | 0 | ||
| NATIONAL HOLDINGS CORP | COM NEW | 636375206 | 16,692 | 6,159,550 | SH | DFND | 6,159,550 | 0 | 0 | ||
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 2,114 | 528,600 | SH | DFND | 528,600 | 0 | 0 | ||
| RANGE RES CORP | COM | 75281A109 | 2,792 | 400,000 | SH | DFND | 400,000 | 0 | 0 | ||
| RANGER ENERGY SVCS INC | COM CL A | 75282U104 | 5,524 | 686,266 | SH | DFND | 686,266 | 0 | 0 | ||
| REALNETWORKS INC | COM NEW | 75605L708 | 95 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
| RED ROBIN GOURMET BURGERS IN | COM | 75689M101 | 6,673 | 218,301 | SH | DFND | 218,301 | 0 | 0 | ||
| RUBICON PROJ INC | COM | 78112V102 | 3,746 | 589,055 | SH | DFND | 589,055 | 0 | 0 | ||
| SANOFI | RIGHT 12/31/2020 | 80105N113 | 126 | 241,405 | SH | DFND | 241,405 | 0 | 0 | ||
| SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 35,723 | 3,066,351 | SH | DFND | 3,066,351 | 0 | 0 | ||
| SERVICESOURCE INTL INC | COM | 81763U100 | 105 | 110,000 | SH | DFND | 110,000 | 0 | 0 | ||
| SONIM TECHNOLOGIES INC | COM | 83548F101 | 28,168 | 2,212,743 | SH | DFND | 2,212,743 | 0 | 0 | ||
| TALLGRASS ENERGY LP | CLASS A SHS | 874696107 | 270 | 12,776 | SH | DFND | 12,776 | 0 | 0 | ||
| TESLA INC | COM | 88160R101 | 3,352 | 15,000 | SH | Put | DFND | 15,000 | 0 | 0 | |
| THESTREET INC | COM NEW | 88368Q202 | 2,086 | 340,363 | SH | DFND | 340,363 | 0 | 0 | ||
| TIVO CORP | COM | 88870P106 | 184 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
| TRAVELCENTERS AMER LLC | COM | 894174101 | 362 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
| TUESDAY MORNING CORP | COM NEW | 899035505 | 505 | 299,000 | SH | DFND | 299,000 | 0 | 0 | ||
| VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 1,102 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
| VERB TECHNOLOGY CO INC | COM | 92337U104 | 101 | 50,578 | SH | DFND | 50,578 | 0 | 0 | ||
| VITAMIN SHOPPE INC | COM | 92849E101 | 3,964 | 1,006,000 | SH | DFND | 1,006,000 | 0 | 0 | ||
| VITAMIN SHOPPE INC | NOTE 2.250%12/0 | 92849EAB7 | 176 | 200,000 | PRN | DFND | 200,000 | 0 | 0 | ||
| REPLAY ACQUISITION CORP | COM | G75130107 | 976 | 99,900 | SH | DFND | 99,900 | 0 | 0 | ||
| GLOBAL SHIP LEASE INC NEW | COM CL A | Y27183600 | 201 | 27,239 | SH | DFND | 27,239 | 0 | 0 | ||