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 |
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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 |
AMERICAN SUPERCONDUCTOR CORP | SHS NEW | 030111207 | 321 | 88,531 | SH | DFND | 1 | 88,531 | 0 | 0 | |
APPLIED MATLS INC | COM | 038222105 | 1,416 | 27,700 | SH | DFND | 1 | 27,700 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 2,525 | 85,539 | SH | DFND | 1 | 85,539 | 0 | 0 | |
BELLATRIX EXPLORATION LTD | COM NEW | 078314507 | 3,225 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
BIO PATH HOLDINGS INC | COM | 09057N102 | 272 | 1,342,099 | SH | DFND | 1 | 1,342,099 | 0 | 0 | |
CAFEPRESS INC | COM | 12769A103 | 219 | 118,583 | SH | DFND | 1 | 118,583 | 0 | 0 | |
CDN IMPERIAL BK COMM TORONTO | COM | 136069101 | 12,254 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
CEL SCI CORP | COM PAR NEW | 150837607 | 423 | 263,158 | SH | DFND | 1 | 263,158 | 0 | 0 | |
CELLECTAR BIOSCIENCES INC | COM | 15117F302 | 523 | 382,078 | SH | DFND | 1 | 382,078 | 0 | 0 | |
CENTRAL FD CDA LTD | CL A | 153501101 | 1,608 | 120,000 | SH | DFND | 1 | 120,000 | 0 | 0 | |
CHECK CAP LTD | SHS | M2361E112 | 289 | 332,302 | SH | DFND | 1 | 332,302 | 0 | 0 | |
CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 1,301 | 4,500 | SH | DFND | 1 | 4,500 | 0 | 0 | |
COMPUGEN LTD | ORD | M25722105 | 281 | 112,277 | SH | DFND | 1 | 112,277 | 0 | 0 | |
CONTRAFECT CORP | COM | 212326102 | 301 | 297,566 | SH | DFND | 1 | 297,566 | 0 | 0 | |
CONTRAVIR PHARMACEUTICALS IN | COM | 21234W103 | 446 | 1,237,957 | SH | DFND | 1 | 1,237,957 | 0 | 0 | |
CREDIT ACCEP CORP MICH | COM | 225310101 | 9,704 | 30,000 | SH | Put | DFND | 1 | 30,000 | 0 | 0 |
CSX CORP | COM | 126408103 | 5,066 | 92,100 | SH | DFND | 1 | 92,100 | 0 | 0 | |
DARIOHEALTH CORP | COM | 23725P100 | 168 | 105,071 | SH | DFND | 1 | 105,071 | 0 | 0 | |
DEERE & CO | COM | 244199105 | 3,913 | 25,000 | SH | Put | DFND | 1 | 25,000 | 0 | 0 |
FIBROCELL SCIENCE INC | COM PAR | 315721308 | 287 | 448,136 | SH | DFND | 1 | 448,136 | 0 | 0 | |
GARTNER INC | COM | 366651107 | 1,827 | 14,837 | SH | DFND | 1 | 14,837 | 0 | 0 | |
GENIUS BRANDS INTL INC | COM PAR | 37229T301 | 1,270 | 467,084 | SH | DFND | 1 | 467,084 | 0 | 0 | |
HD SUPPLY HLDGS INC | COM | 40416M105 | 1,757 | 43,900 | SH | DFND | 1 | 43,900 | 0 | 0 | |
IMMUNE DESIGN CORP | COM | 45252L103 | 313 | 80,189 | SH | DFND | 1 | 80,189 | 0 | 0 | |
IMMUNOCELLULAR THERAPEUTICS | *W EXP 08/12/202 | 452536121 | 37 | 117,188 | SH | DFND | 1 | 117,188 | 0 | 0 | |
INSPIREMD INC | *W EXP 03/14/202 | 45779A135 | 32 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
INSPIREMD INC | COM PAR | 45779A804 | 85 | 62,500 | SH | DFND | 1 | 62,500 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 1,848 | 17,280 | SH | DFND | 1 | 17,280 | 0 | 0 | |
KONA GRILL INC | COM | 50047H201 | 422 | 241,000 | SH | DFND | 1 | 241,000 | 0 | 0 | |
LIGHTINTHEBOX HLDG CO LTD | SPONSORED ADR | 53225G102 | 226 | 98,200 | SH | DFND | 1 | 98,200 | 0 | 0 | |
LIQUIDITY SERVICES INC | COM | 53635B107 | 310 | 63,944 | SH | DFND | 1 | 63,944 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 5,114 | 59,787 | SH | DFND | 1 | 59,787 | 0 | 0 | |
NETWORK 1 TECHNOLOGIES INC | COM | 64121N109 | 499 | 207,833 | SH | DFND | 1 | 207,833 | 0 | 0 | |
ON SEMICONDUCTOR CORP | COM | 682189105 | 1,690 | 80,700 | SH | Put | DFND | 1 | 80,700 | 0 | 0 |
ORGANOVO HLDGS INC | COM | 68620A104 | 281 | 209,468 | SH | DFND | 1 | 209,468 | 0 | 0 | |
OWENS CORNING NEW | COM | 690742101 | 8,122 | 88,340 | SH | DFND | 1 | 88,340 | 0 | 0 | |
RANDGOLD RES LTD | ADR | 752344309 | 4,945 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
RESEARCH FRONTIERS INC | COM | 760911107 | 284 | 273,037 | SH | DFND | 1 | 273,037 | 0 | 0 | |
RESHAPE LIFESCIENCES INC | COM | 761123108 | 324 | 219,016 | SH | DFND | 1 | 219,016 | 0 | 0 | |
ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | 942 | 7,900 | SH | DFND | 1 | 7,900 | 0 | 0 | |
RUBICON PROJ INC | COM | 78112V102 | 622 | 332,776 | SH | DFND | 1 | 332,776 | 0 | 0 | |
RXI PHARMACEUTICALS CORP NEW | *W EXP 12/21/202 | 74979C113 | 1,235 | 2,221,722 | SH | DFND | 1 | 2,221,722 | 0 | 0 | |
SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/202 | Y73760145 | 1,490 | 1,432,500 | SH | DFND | 1 | 1,432,500 | 0 | 0 | |
SECOND SIGHT MED PRODS INC | *W EXP 03/06/202 | 81362J118 | 2,562 | 1,341,280 | SH | DFND | 1 | 1,341,280 | 0 | 0 | |
SERVICEMASTER GLOBAL HLDGS I | COM | 81761R109 | 2,564 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
SILVER RUN ACQUISITION | *W EXP 03/28/202 | 82812A111 | 14,865 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 6,672 | 25,000 | SH | Put | DFND | 1 | 25,000 | 0 | 0 |
SYNTHESIS ENERGY SYS INC | COM NEW | 871628202 | 294 | 103,412 | SH | DFND | 1 | 103,412 | 0 | 0 | |
TENAX THERAPEUTICS INC | COM | 88032L100 | 297 | 607,097 | SH | DFND | 1 | 607,097 | 0 | 0 | |
TEXAS INSTRS INC | COM | 882508104 | 10,444 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
THE ONE GROUP HOSPITALITY IN | COM | 88338K103 | 3,520 | 1,472,921 | SH | DFND | 1 | 1,472,921 | 0 | 0 | |
VERSARTIS INC | COM | 92529L102 | 419 | 190,521 | SH | DFND | 1 | 190,521 | 0 | 0 | |
VULCAN MATLS CO | COM | 929160109 | 5,075 | 39,538 | SH | DFND | 1 | 39,538 | 0 | 0 | |
WESTERN COPPER & GOLD CORP | COM | 95805V108 | 307 | 239,900 | SH | DFND | 1 | 239,900 | 0 | 0 | |
WESTERN DIGITAL CORP | COM | 958102105 | 17,537 | 220,500 | SH | Put | DFND | 1 | 220,500 | 0 | 0 |
WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 5,102 | 86,000 | SH | DFND | 1 | 86,000 | 0 | 0 | |
YIELD10 BIOSCIENCE INC | COM NEW | 98585K201 | 277 | 156,482 | SH | DFND | 1 | 156,482 | 0 | 0 |