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 |
ALTA MESA RES INC | CL A | 02133L109 | 2,508 | 600,000 | SH | DFND | 1 | 600,000 | 0 | 0 | |
ALTA MESA RES INC | *W EXP 03/28/202 | 02133L117 | 2,600 | 622,006 | SH | DFND | 1 | 622,006 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 24,036 | 12,000 | SH | Put | DFND | 1 | 12,000 | 0 | 0 |
AMERICA FIRST MULTIFAMILY IN | BEN UNIT CTF | 02364V107 | 1,625 | 1,250,000 | SH | DFND | 1 | 1,250,000 | 0 | 0 | |
CATASYS INC | COM PAR | 149049504 | 2,236 | 174,015 | SH | DFND | 1 | 174,015 | 0 | 0 | |
CYTORI THERAPEUTICS INC | *W EXP 05/28/202 | 23283K139 | 421 | 1,038,600 | SH | DFND | 1 | 1,038,600 | 0 | 0 | |
INSPIREMD INC | *W EXP 03/14/202 | 45779A135 | 55 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 23,915 | 85,100 | SH | Put | DFND | 1 | 85,100 | 0 | 0 |
PAVMED INC | *W EXP 04/30/202 | 70387R122 | 1,462 | 1,124,541 | SH | DFND | 1 | 1,124,541 | 0 | 0 | |
RXI PHARMACEUTICALS CORP NEW | *W EXP 12/16/202 | 74979C121 | 255 | 218,023 | SH | DFND | 1 | 218,023 | 0 | 0 | |
SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/202 | Y73760145 | 1,289 | 1,432,500 | SH | DFND | 1 | 1,432,500 | 0 | 0 | |
SECOND SIGHT MED PRODS INC | *W EXP 03/06/202 | 81362J118 | 2,538 | 1,335,561 | SH | DFND | 1 | 1,335,561 | 0 | 0 | |
STRATASYS LTD | SHS | M85548101 | 473 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |
TILRAY INC | COM CL 2 | 88688T100 | 202,334 | 1,408,812 | SH | DFND | 1 | 1,408,812 | 0 | 0 | |
UBIQUITI NETWORKS INC | COM | 90347A100 | 14,236 | 144,000 | SH | Put | DFND | 1 | 144,000 | 0 | 0 |