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 |
9 METERS BIOPHARMA INC | COM | 654405959 | 1,272 | 14,813 | SH | Put | DFND | 1 | 0 | 14,813 | 0 |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W956 | 297 | 381 | SH | Put | DFND | 1 | 0 | 381 | 0 |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W906 | 1,020 | 1,308 | SH | Call | DFND | 1 | 0 | 1,308 | 0 |
ACUTUS MEDICAL INC | COM | 005111109 | 2,233 | 77,500 | SH | DFND | 1 | 0 | 77,500 | 0 | |
ADAMIS PHARMACEUTICALS CORP | COM | 00547W958 | 76 | 1,562 | SH | Put | DFND | 1 | 0 | 1,562 | 0 |
ALLENA PHARMACEUTICALS INC | COM | 018119107 | 345 | 269,836 | SH | DFND | 1 | 0 | 269,836 | 0 | |
ALTERITY THERAPEUTICS LTD | ADR | 02155X106 | 249 | 185,843 | SH | DFND | 1 | 0 | 185,843 | 0 | |
AMARIN CORP PLC | ADR | 023111906 | 2,546 | 5,207 | SH | Call | DFND | 1 | 0 | 5,207 | 0 |
AMBOW EDUCATION HOLDING LTD | ADS | 02322P200 | 329 | 151,772 | SH | DFND | 1 | 0 | 151,772 | 0 | |
ARCADIA BIOSCIENCES INC | COM | 039014954 | 61 | 242 | SH | Put | DFND | 1 | 0 | 242 | 0 |
ARCADIA BIOSCIENCES INC | COM | 039014204 | 82 | 32,503 | SH | DFND | 1 | 0 | 32,503 | 0 | |
ASTRAZENECA PLC | ADR | 046353958 | 17,457 | 3,492 | SH | Put | DFND | 1 | 0 | 3,492 | 0 |
ASTRAZENECA PLC | ADR | 046353108 | 18,246 | 365,000 | SH | DFND | 1 | 0 | 365,000 | 0 | |
ASTROTECH CORP | COM | 046484200 | 1,123 | 634,297 | SH | DFND | 1 | 0 | 634,297 | 0 | |
AURINIA PHARMACEUTICALS INC | COM | 05156V102 | 774 | 55,943 | SH | DFND | 1 | 0 | 55,943 | 0 | |
AURINIA PHARMACEUTICALS INC | COM | 05156V952 | 1,047 | 757 | SH | Put | DFND | 1 | 0 | 757 | 0 |
AVEO PHARMACEUTICALS INC | COM | 053588307 | 393 | 68,092 | SH | DFND | 1 | 0 | 68,092 | 0 | |
AVEO PHARMACEUTICALS INC | COM | 053588957 | 4,311 | 7,471 | SH | Put | DFND | 1 | 0 | 7,471 | 0 |
BARCLAYS BANK PLC | ETF | 06746P901 | 6,256 | 3,726 | SH | Call | DFND | 1 | 0 | 3,726 | 0 |
BELLICUM PHARMACEUTICALS INC | COM | 079481404 | 563 | 159,500 | SH | DFND | 1 | 0 | 159,500 | 0 | |
BIOCEPT INC | COM | 09072V501 | 140 | 31,578 | SH | DFND | 1 | 0 | 31,578 | 0 | |
BIOCEPT INC | COM | 09072V951 | 211 | 476 | SH | Put | DFND | 1 | 0 | 476 | 0 |
BIOGEN INC | COM | 09062X103 | 28,641 | 116,970 | SH | DFND | 1 | 0 | 116,970 | 0 | |
BIOGEN INC | COM | 09062X953 | 49,560 | 2,024 | SH | Put | DFND | 1 | 0 | 2,024 | 0 |
BIOGEN INC | COM | 09062X903 | 67,630 | 2,762 | SH | Call | DFND | 1 | 0 | 2,762 | 0 |
BIOHAVEN PHARMACEUTICAL HLDG | COM | G11196905 | 454 | 53 | SH | Call | DFND | 1 | 0 | 53 | 0 |
BIOLASE INC | COM | 090911207 | 26 | 62,748 | SH | DFND | 1 | 0 | 62,748 | 0 | |
BRAINSTORM CELL THERAPEUTICS | COM | 10501E951 | 1,073 | 2,371 | SH | Put | DFND | 1 | 0 | 2,371 | 0 |
BRISTOL MYERS SQUIBB | COM | 110122157 | 207 | 300,000 | SH | DFND | 1 | 0 | 300,000 | 0 | |
CALADRIUS BIOSCIENCES | COM | 128058953 | 16 | 110 | SH | Put | DFND | 1 | 0 | 110 | 0 |
CARDIFF ONCOLOGY | COM | 14147L908 | 4,717 | 2,622 | SH | Call | DFND | 1 | 0 | 2,622 | 0 |
CARDIFF ONCOLOGY | COM | 14147L958 | 5,163 | 2,870 | SH | Put | DFND | 1 | 0 | 2,870 | 0 |
CASTOR MARITIME INC | COM | Y1146L109 | 527 | 2,850,634 | SH | DFND | 1 | 0 | 2,850,634 | 0 | |
CATABASIS | COM | 14875P206 | 231 | 108,026 | SH | DFND | 1 | 0 | 108,026 | 0 | |
CBAK ENERGY | COM | 14986C952 | 629 | 2,938 | SH | Put | DFND | 1 | 0 | 2,938 | 0 |
CELLECTAR BIOSCIENCES | COM | 15117F500 | 1,038 | 499,030 | SH | DFND | 1 | 0 | 499,030 | 0 | |
CEL-SCI CORP | COM | 150837907 | 1,482 | 1,271 | SH | Call | DFND | 1 | 0 | 1,271 | 0 |
CEL-SCI CORP | COM | 150837607 | 3,616 | 310,155 | SH | DFND | 1 | 0 | 310,155 | 0 | |
CEL-SCI CORP | COM | 150837957 | 6,417 | 5,503 | SH | Put | DFND | 1 | 0 | 5,503 | 0 |
CHINA JO JO DRUGSTORES | COM | 16949A206 | 51 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
CORDMEDIX INC | COM | 21900C908 | 623 | 839 | SH | Call | DFND | 1 | 0 | 839 | 0 |
CORDMEDIX INC | COM | 21900C958 | 664 | 894 | SH | Put | DFND | 1 | 0 | 894 | 0 |
CYCLO THERAPEUTICS INC | *W | 23254X110 | 208 | 193,012 | SH | DFND | 1 | 0 | 193,012 | 0 | |
DAXOR CORP | COM | 239467103 | 1,605 | 128,398 | SH | DFND | 1 | 0 | 128,398 | 0 | |
EMAGIN CORP | COM | 29076N956 | 137 | 829 | SH | Put | DFND | 1 | 0 | 829 | 0 |
EMERALD BIOSCIENCE INC | COM | 29102Y101 | 579 | 14,480,000 | SH | DFND | 1 | 0 | 14,480,000 | 0 | |
ENERGY FOCUS INC | COM | 29268T959 | 48 | 120 | SH | Put | DFND | 1 | 0 | 120 | 0 |
EVOKE PHARMA INC | COM | 30049G104 | 168 | 65,004 | SH | DFND | 1 | 0 | 65,004 | 0 | |
EVOKE PHARMA INC | COM | 30049G954 | 289 | 1,120 | SH | Put | DFND | 1 | 0 | 1,120 | 0 |
GEOVAX LABS INC | *W | 373678119 | 283 | 275,695 | SH | DFND | 1 | 0 | 275,695 | 0 | |
GEOVAX LABS INC | COM | 373678507 | 191 | 56,380 | SH | DFND | 1 | 0 | 56,380 | 0 | |
GLOBUS MARITIME LTD | COM | Y27265126 | 1,659 | 290,535 | SH | DFND | 1 | 0 | 290,535 | 0 | |
HEPION PHARMACEUTICALS INC | COM | 426897954 | 201 | 919 | SH | Put | DFND | 1 | 0 | 919 | 0 |
HUMANCO ACQUISITION CORP | UNIT | 44487N208 | 1,047 | 95,050 | SH | DFND | 1 | 0 | 95,050 | 0 | |
INOVIO PHARMACEUTICALS | COM | 45773H901 | 114 | 129 | SH | Call | DFND | 1 | 0 | 129 | 0 |
INOVIO PHARMACEUTICALS | COM | 45773H201 | 2,526 | 285,388 | SH | DFND | 1 | 0 | 285,388 | 0 | |
INOVIO PHARMACEUTICALS | COM | 45773H951 | 2,805 | 3,170 | SH | Put | DFND | 1 | 0 | 3,170 | 0 |
INSPIREMD INC | COM | 45779A853 | 60 | 174,813 | SH | DFND | 1 | 0 | 174,813 | 0 | |
INTEC PHARMA LTD | COM | M53644148 | 35 | 10,199 | SH | DFND | 1 | 0 | 10,199 | 0 | |
INTRA-CELLULAR THERAPIES | COM | 46116X901 | 318 | 100 | SH | Call | DFND | 1 | 0 | 100 | 0 |
INTRA-CELLULAR THERAPIES | COM | 46116X101 | 1,113 | 35,000 | SH | DFND | 1 | 0 | 35,000 | 0 | |
IONIS PHARMACEUTICALS | COM | 462222950 | 1,199 | 212 | SH | Put | DFND | 1 | 0 | 212 | 0 |
IONIS PHARMACEUTICALS | COM | 462222900 | 2,420 | 428 | SH | Call | DFND | 1 | 0 | 428 | 0 |
ISHARES RUSSELL 2000 | ETF | 464287905 | 8,999 | 459 | SH | Call | DFND | 1 | 0 | 459 | 0 |
ISHARES RUSSELL 2000 | ETF | 464287955 | 32,115 | 1,638 | SH | Put | DFND | 1 | 0 | 1,638 | 0 |
KANDI TECHNOLOGIES GROUP INC | COM | 483709101 | 729 | 105,714 | SH | DFND | 1 | 0 | 105,714 | 0 | |
KANDI TECHNOLOGIES GROUP INC | COM | 483709951 | 7,040 | 10,203 | SH | Put | DFND | 1 | 0 | 10,203 | 0 |
LIXTE BIOTECHNOLOGY HLDGS INC | *W | 539319111 | 306 | 339,542 | SH | DFND | 1 | 0 | 339,542 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q200 | 1,230 | 100,800 | SH | DFND | 1 | 0 | 100,800 | 0 | |
MICT INC | COM | 55328R109 | 111 | 53,559 | SH | DFND | 1 | 0 | 53,559 | 0 | |
MIRATI THERAPEUTICS INC | COM | 60468T105 | 659 | 3,000 | SH | DFND | 1 | 0 | 3,000 | 0 | |
MIRATI THERAPEUTICS INC | COM | 60468T905 | 3,185 | 145 | SH | Call | DFND | 1 | 0 | 145 | 0 |
MODERNA INC | COM | 60770K907 | 7,480 | 716 | SH | Call | DFND | 1 | 0 | 716 | 0 |
MODERNA INC | COM | 60770K107 | 12,119 | 116,000 | SH | DFND | 1 | 0 | 116,000 | 0 | |
MODERNA INC | COM | 60770K957 | 39,072 | 3,740 | SH | Put | DFND | 1 | 0 | 3,740 | 0 |
NABRIVA THERAPEUTICS PLC | COM | G63637953 | 29 | 120 | SH | Put | DFND | 1 | 0 | 120 | 0 |
NABRIVA THERAPEUTICS PLC | COM | G63637113 | 629 | 260,000 | SH | DFND | 1 | 0 | 260,000 | 0 | |
NANOVIBRONIX INC | COM | 63008J108 | 446 | 583,415 | SH | DFND | 1 | 0 | 583,415 | 0 | |
NEMAURA MEDICAL INC | COM | 640442208 | 1,864 | 494,297 | SH | DFND | 1 | 0 | 494,297 | 0 | |
NEUROBO PHARMACEUTICALS | COM | 64132R107 | 748 | 142,400 | SH | DFND | 1 | 0 | 142,400 | 0 | |
ODONATE THERAPEUTICS INC | COM | 676079106 | 921 | 47,945 | SH | DFND | 1 | 0 | 47,945 | 0 | |
ORAMED PHARMACEUTICALS INC | COM | 68403P953 | 420 | 991 | SH | Put | DFND | 1 | 0 | 991 | 0 |
PAINREFORM LTD | SHS | M77798102 | 275 | 61,606 | SH | DFND | 1 | 0 | 61,606 | 0 | |
PELOTON INTERACTIVE INC | COM | 70614W950 | 4,551 | 300 | SH | Put | DFND | 1 | 0 | 300 | 0 |
PENN NATL GAMING INC | COM | 707569959 | 6,314 | 731 | SH | Put | DFND | 1 | 0 | 731 | 0 |
PHASEBIO PHARMACEUTICALS INC | COM | 717224109 | 218 | 65,000 | SH | DFND | 1 | 0 | 65,000 | 0 | |
POLARITYTE INC | COM | 731094108 | 163 | 239,200 | SH | DFND | 1 | 0 | 239,200 | 0 | |
POLARITYTE INC | COM | 731094958 | 163 | 2,392 | SH | Put | DFND | 1 | 0 | 2,392 | 0 |
PULMATRIX INC | COM | 74584P202 | 2,351 | 1,975,309 | SH | DFND | 1 | 0 | 1,975,309 | 0 | |
REVIVA PHARMACEURICALS | COM | 76152G100 | 3,133 | 358,300 | SH | DFND | 1 | 0 | 358,300 | 0 | |
REWALK ROBOTICS LTD | SHS | M8216Q200 | 254 | 192,382 | SH | DFND | 1 | 0 | 192,382 | 0 | |
ROCKWELL MEDICAL INC | COM | 774374102 | 618 | 611,992 | SH | DFND | 1 | 0 | 611,992 | 0 | |
SORRENTO THERAPEUTICS INC | COM | 83587F902 | 4,274 | 6,262 | SH | Call | DFND | 1 | 0 | 6,262 | 0 |
SORRENTO THERAPEUTICS INC | COM | 83587F952 | 6,254 | 9,164 | SH | Put | DFND | 1 | 0 | 9,164 | 0 |
SPDR GOLD TRUST | SHS | 78463V907 | 40,702 | 2,282 | SH | Call | DFND | 1 | 0 | 2,282 | 0 |
SPDR S&P 500 ETF TR | ETF | 78462F953 | 37,388 | 1,000 | SH | Put | DFND | 1 | 0 | 1,000 | 0 |
SPDR SERIES TRUST | ETF | 78464A950 | 28,395 | 2,017 | SH | Put | DFND | 1 | 0 | 2,017 | 0 |
SPI ENERGY CO LTD | SHS | G8651P950 | 238 | 302 | SH | Put | DFND | 1 | 0 | 302 | 0 |
SUPERCOM LTD | SHS | M87095119 | 1,524 | 1,480,000 | SH | DFND | 1 | 0 | 1,480,000 | 0 | |
TRANSENTERIX INC | COM | 89366M950 | 53 | 855 | SH | Put | DFND | 1 | 0 | 855 | 0 |
TRICIDA INC | COM | 89610F101 | 1,413 | 200,437 | SH | DFND | 1 | 0 | 200,437 | 0 | |
TRILLIUM THERAPEUTICS INC | COM | 89620X506 | 1,765 | 119,996 | SH | DFND | 1 | 0 | 119,996 | 0 | |
TRILLIUM THERAPEUTICS INC | COM | 89620X506 | 3,500 | 2,379 | SH | Put | DFND | 1 | 0 | 2,379 | 0 |
XPRESSPA GROUP INC | COM | 98420U703 | 3,992 | 3,354,960 | SH | DFND | 1 | 0 | 3,354,960 | 0 | |
XPRESSPA GROUP INC | COM | 98420U953 | 506 | 4,251 | SH | Put | DFND | 1 | 0 | 4,251 | 0 |
ZOOM VIDEO COMMUNICATIONS | COM | 98980L951 | 6,746 | 200 | SH | Put | DFND | 1 | 0 | 200 | 0 |