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 |
| ABEONA THERAPEUTICS INC | COM | 00289Y107 | 197 | 60,361 | SH | DFND | 1 | 0 | 60,361 | 0 | |
| ACTINIUM PHARMACEUTICALS INC | COM | 00507W107 | 713 | 3,275,718 | SH | DFND | 1 | 0 | 3,275,718 | 0 | |
| ADAMIS PHARMACEUTICALS CORP | COM | 00547W958 | 8 | 111 | SH | Put | DFND | 1 | 0 | 111 | 0 |
| AETERNA ZENTARIS INC | COM | 007975402 | 93 | 101,976 | SH | DFND | 1 | 0 | 101,976 | 0 | |
| AIM IMMUNOTECH INC | COM | 00901B105 | 288 | 528,811 | SH | DFND | 1 | 0 | 528,811 | 0 | |
| AKERS BIOSCIENCES INC | COM | 00973E409 | 93 | 29,100 | SH | DFND | 1 | 0 | 29,100 | 0 | |
| ALTIMMUNE INC COM | COM | 02155H200 | 85 | 44,855 | SH | DFND | 1 | 0 | 44,855 | 0 | |
| AMARIN CORP PLC | ADR | 023111206 | 575 | 26,810 | SH | DFND | 1 | 0 | 26,810 | 0 | |
| AMARIN CORP PLC | ADR | 023111906 | 4,365 | 2,036 | SH | Call | DFND | 1 | 0 | 2,036 | 0 |
| AMARIN CORP PLC | ADR | 023111956 | 4,387 | 2,046 | SH | Put | DFND | 1 | 0 | 2,046 | 0 |
| ARQULE INC COM | COM | 04269E907 | 1,541 | 772 | SH | Call | DFND | 1 | 0 | 772 | 0 |
| AURINIA PHARMACEUTICALS | COM | 05156V902 | 590 | 291 | SH | Call | DFND | 1 | 0 | 291 | 0 |
| AURIS MED HLDG LTD | COM | G07025201 | 278 | 171,883 | SH | DFND | 1 | 0 | 171,883 | 0 | |
| AVEO PHARMACEUTICALS INC | COM | 053588909 | 225 | 3,625 | SH | Call | DFND | 1 | 0 | 3,625 | 0 |
| AVEO PHARMACEUTICALS INC | COM | 053588959 | 673 | 10,851 | SH | Put | DFND | 1 | 0 | 10,851 | 0 |
| BENITEC BIOPHARMA LTD | ADR | 082053406 | 603 | 118,285 | SH | DFND | 1 | 0 | 118,285 | 0 | |
| BIO PATH HOLDINGS INC | COM | 09057N300 | 986 | 123,346 | SH | DFND | 1 | 0 | 123,346 | 0 | |
| BIOGEN INC | COM | 09062X903 | 831 | 28 | SH | Call | DFND | 1 | 0 | 28 | 0 |
| BRAINSTORM CELL | COM | 10501E951 | 894 | 2,088 | SH | Put | DFND | 1 | 0 | 2,088 | 0 |
| BRIDGELINE DIGITAL INC COM | COM | 10807Q700 | 169 | 110,000 | SH | DFND | 1 | 0 | 110,000 | 0 | |
| CELSION CORP | COM | 15117N953 | 31 | 184 | SH | Put | DFND | 1 | 0 | 184 | 0 |
| CELSION CORP | COM | 15117N503 | 117 | 68,560 | SH | DFND | 1 | 0 | 68,560 | 0 | |
| DELMAR PHARMACEUTICALS INC | COM | 247078306 | 153 | 1,226,022 | SH | DFND | 1 | 0 | 1,226,022 | 0 | |
| DIFFUSION PHARMACEUTICALS INC | COM | 253748305 | 500 | 1,085,446 | SH | DFND | 1 | 0 | 1,085,446 | 0 | |
| GENOCEA BIOSCIENCES INC | COM | 372427401 | 1,114 | 538,359 | SH | DFND | 1 | 0 | 538,359 | 0 | |
| GENPREX INC | COM | 372446104 | 142 | 443,441 | SH | DFND | 1 | 0 | 443,441 | 0 | |
| GUARDION HEALTH SCIENCES INC | COM | 40145Q203 | 439 | 1,993,929 | SH | DFND | 1 | 0 | 1,993,929 | 0 | |
| INNOVATE BIOPHARMACEUTICLS INC | COM | 45782F105 | 525 | 941,586 | SH | DFND | 1 | 0 | 941,586 | 0 | |
| INSPIREMD INC | COM | 45779A853 | 270 | 250,000 | SH | DFND | 1 | 0 | 250,000 | 0 | |
| IONIS PHARMACEUTICALS INC | COM | 462222900 | 17,887 | 2,961 | SH | Call | DFND | 1 | 0 | 2,961 | 0 |
| ISHARES TR | ETF | 464287905 | 21,504 | 1,298 | SH | Call | DFND | 1 | 0 | 1,298 | 0 |
| LIPOCINE INC | COM | 53630X104 | 142 | 367,693 | SH | DFND | 1 | 0 | 367,693 | 0 | |
| MEDIGUS LTD | *W | 58471G128 | 93 | 1,008,444 | SH | DFND | 1 | 0 | 1,008,444 | 0 | |
| MICROBOT MED INC | COM | 59503A204 | 773 | 76,000 | SH | DFND | 1 | 0 | 76,000 | 0 | |
| NABRIVA THERAPEUTICS PLC | SHS | G63637105 | 1,367 | 1,035,667 | SH | DFND | 1 | 0 | 1,035,667 | 0 | |
| NEUROMETRIX INC | COM | 641255807 | 275 | 63,880 | SH | DFND | 1 | 0 | 63,880 | 0 | |
| OBALON THERAPEUTICS INC | COM | 67424L209 | 1,084 | 570,418 | SH | DFND | 1 | 0 | 570,418 | 0 | |
| ODONATE THERAPEUTICS INC | COM | 676079106 | 1,747 | 53,839 | SH | DFND | 1 | 0 | 53,839 | 0 | |
| ONCONOVA THERAPEUTICS INC | COM | 68232V405 | 3,348 | 8,741,243 | SH | DFND | 1 | 0 | 8,741,243 | 0 | |
| ORAGENICS INC | COM | 684023302 | 184 | 351,045 | SH | DFND | 1 | 0 | 351,045 | 0 | |
| ORAMED PHARMACEUTICALS INC | COM | 68403P953 | 804 | 1,562 | SH | Put | DFND | 1 | 0 | 1,562 | 0 |
| OUTLOOK THERAPEUTICS INC | COM | 69012T206 | 229 | 388,936 | SH | DFND | 1 | 0 | 388,936 | 0 | |
| PAVMED INC | *W | 70387R122 | 836 | 2,152,719 | SH | DFND | 1 | 0 | 2,152,719 | 0 | |
| PHASEBIO PHARMACEUTICALS INC | COM | 717224109 | 576 | 94,351 | SH | DFND | 1 | 0 | 94,351 | 0 | |
| PLURISTEM THERAPEUTICS INC | COM | 72940R300 | 222 | 56,442 | SH | DFND | 1 | 0 | 56,442 | 0 | |
| PLURISTEM THERAPEUTICS INC | COM | 72940R950 | 708 | 1,796 | SH | Put | DFND | 1 | 0 | 1,796 | 0 |
| PLUS THERAPEUTICS INC | COM | 72941H400 | 562 | 234,124 | SH | DFND | 1 | 0 | 234,124 | 0 | |
| PULMATRIX INC | COM | 74584P202 | 384 | 446,749 | SH | DFND | 1 | 0 | 446,749 | 0 | |
| REEBONZ HLDG LTD | SHS | G7457R122 | 29 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
| REWALK ROBOTICS LTD | SHS | M8216Q200 | 273 | 126,280 | SH | DFND | 1 | 0 | 126,280 | 0 | |
| SEANERGY MARITIME HOLDINGS CORP | SHS | Y73760301 | 27 | 49,999 | SH | DFND | 1 | 0 | 49,999 | 0 | |
| SEANERGY MARITIME HOLDINGS CORP | *W | Y73760152 | 100 | 907,999 | SH | DFND | 1 | 0 | 907,999 | 0 | |
| SENECA BIOPHARMA INC | COM | 81689B103 | 378 | 381,487 | SH | DFND | 1 | 0 | 381,487 | 0 | |
| SENESTECH INC | COM | 81720R109 | 27 | 48,294 | SH | DFND | 1 | 0 | 48,294 | 0 | |
| SOPHIRIS BIO INC | COM | 83578Q209 | 68 | 42,378 | SH | DFND | 1 | 0 | 42,378 | 0 | |
| SORRENTO THERAPEUTICS INC | COM | 83587F202 | 92 | 27,178 | SH | DFND | 1 | 0 | 27,178 | 0 | |
| SORRENTO THERAPEUTICS INC | COM | 83587F952 | 1,173 | 3,471 | SH | Put | DFND | 1 | 0 | 3,471 | 0 |
| SPDR GOLD TR | SHS | 78463V107 | 5,366 | 37,550 | SH | DFND | 1 | 0 | 37,550 | 0 | |
| SPDR GOLD TR | SHS | 78463V907 | 15,290 | 1,070 | SH | Call | DFND | 1 | 0 | 1,070 | 0 |
| SPDR GOLD TR | SHS | 78463V957 | 24,836 | 1,738 | SH | Put | DFND | 1 | 0 | 1,738 | 0 |
| SPDR S&P 500 ETF | ETF | 78462F903 | 52,013 | 1,616 | SH | Call | DFND | 1 | 0 | 1,616 | 0 |
| SPDR S&P 500 ETF | ETF | 78462F953 | 177,023 | 5,500 | SH | Put | DFND | 1 | 0 | 5,500 | 0 |
| SPDR S&P BIOTECH | ETF | 78464A900 | 3,662 | 385 | SH | Call | DFND | 1 | 0 | 385 | 0 |
| SPDR S&P BIOTECH | ETF | 78464A950 | 4,756 | 500 | SH | Put | DFND | 1 | 0 | 500 | 0 |
| SYNTHETIC BIOLOGICS INC | COM | 87164U201 | 348 | 687,304 | SH | DFND | 1 | 0 | 687,304 | 0 | |
| TENAX THERAPEUTICS INC | COM | 88032L209 | 61 | 43,164 | SH | DFND | 1 | 0 | 43,164 | 0 | |
| TOP SHIPS INC | COM | Y8897Y164 | 639 | 799,212 | SH | DFND | 1 | 0 | 799,212 | 0 | |
| VASCULAR BIOGENICS LTD | COM | M96883109 | 96 | 80,295 | SH | DFND | 1 | 0 | 80,295 | 0 | |
| VIKING THERAPEUTICS INC | COM | 92686J906 | 160 | 200 | SH | Call | DFND | 1 | 0 | 200 | 0 |
| XENETIC BIOSCIENCES INC | *W | 984015131 | 297 | 216,789 | SH | DFND | 1 | 0 | 216,789 | 0 | |
| XENETIC BIOSCIENCES INC | COM | 984015503 | 382 | 265,498 | SH | DFND | 1 | 0 | 265,498 | 0 | |