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 |
| 9 METERS BIOPHARMA INC | COM | 654405909 | 79 | 3,022 | SH | Call | DFND | 1 | 0 | 3,022 | 0 |
| ACTINIUM PHARMACEUTICALS INC | COM | 00507W906 | 986 | 2,049 | SH | Call | DFND | 1 | 0 | 2,049 | 0 |
| ACTINIUM PHARMACEUTICALS INC | COM | 00507W956 | 848 | 1,764 | SH | Put | DFND | 1 | 0 | 1,764 | 0 |
| ACUTUS MED INC | COM | 005111109 | 104 | 93,000 | SH | DFND | 1 | 0 | 93,000 | 0 | |
| ADAMIS PHARMACEUTICALS CORP | COM | 00547W958 | 11 | 212 | SH | Put | DFND | 1 | 0 | 212 | 0 |
| AGM GROUP HOLDINGS INC | SHS | G0132V105 | 904 | 735,047 | SH | DFND | 1 | 0 | 735,047 | 0 | |
| AMPLITECH GROUP INC | COM | 03211Q200 | 347 | 169,458 | SH | DFND | 1 | 0 | 169,458 | 0 | |
| AMPLITECH GROUP INC | *W | 03211Q119 | 101 | 422,564 | SH | DFND | 1 | 0 | 422,564 | 0 | |
| APPLIED GENETIC TECHNOLOGIES | COM | 03820J100 | 625 | 811,973 | SH | DFND | 1 | 0 | 811,973 | 0 | |
| APPLIED GENETIC TECHNOLOGIES | COM | 03820J900 | 11 | 140 | SH | Call | DFND | 1 | 0 | 140 | 0 |
| ARCADIA BIOSCIENCES INC | COM | 039014954 | 29 | 288 | SH | Put | DFND | 1 | 0 | 288 | 0 |
| ASLAN PHARMACEUTICALS LTD | ADS | 04522R101 | 446 | 900,000 | SH | DFND | 1 | 0 | 900,000 | 0 | |
| ATOSSA THERAPEUTICS INC | COM | 04962H506 | 572 | 524,805 | SH | DFND | 1 | 0 | 524,805 | 0 | |
| ATOSSA THERAPEUTICS INC | COM | 04962H906 | 96 | 880 | SH | Call | DFND | 1 | 0 | 880 | 0 |
| ATOSSA THERAPEUTICS INC | COM | 04962H956 | 1,216 | 11,158 | SH | Put | DFND | 1 | 0 | 11,158 | 0 |
| BAUDAX BIO INC | COM | 07160F206 | 40 | 47,117 | SH | DFND | 1 | 0 | 47,117 | 0 | |
| BIOCEPT INC | COM | 09072V501 | 29 | 30,502 | SH | DFND | 1 | 0 | 30,502 | 0 | |
| BIOPHYTIS SA | ADS | 09076G104 | 72 | 63,928 | SH | DFND | 1 | 0 | 63,928 | 0 | |
| BIORA THERAPEUTICS INC | COM | 74319F107 | 289 | 413,303 | SH | DFND | 1 | 0 | 413,303 | 0 | |
| BIORA THERAPEUTICS INC | COM | 74319F957 | 221 | 3,157 | SH | Put | DFND | 1 | 0 | 3,157 | 0 |
| BIOVIE INC | COM | 09074F207 | 910 | 627,370 | SH | DFND | 1 | 0 | 627,370 | 0 | |
| BIT DIGITAL INC | SHS | G1144A955 | 291 | 2,221 | SH | Put | DFND | 1 | 0 | 2,221 | 0 |
| BIT MINING LTD | ADR | 055474100 | 58 | 93,270 | SH | DFND | 1 | 0 | 93,270 | 0 | |
| BIT MINING LTD | ADR | 055474950 | 21 | 335 | SH | Put | DFND | 1 | 0 | 335 | 0 |
| BLUE WATER VACCINES INC | COM | 09610B108 | 1,298 | 609,606 | SH | DFND | 1 | 0 | 609,606 | 0 | |
| BLUEJAY DIAGNOSTICS INC | COM | 095633103 | 35 | 32,895 | SH | DFND | 1 | 0 | 32,895 | 0 | |
| BONE BIOLOGICS CORP | *W | 098070113 | 16 | 108,476 | SH | DFND | 1 | 0 | 108,476 | 0 | |
| BRIACELL THERAPEUTICS CORP | COM | 10778Y302 | 332 | 57,589 | SH | DFND | 1 | 0 | 57,589 | 0 | |
| BRIACELL THERAPEUTICS CORP | COM | 10778Y952 | 2,886 | 5,001 | SH | Put | DFND | 1 | 0 | 5,001 | 0 |
| CALADRIUS BIOSCIENCES INC | COM | 128058203 | 1,243 | 2,343,991 | SH | DFND | 1 | 0 | 2,343,991 | 0 | |
| CANAAN INC | ADS | 134748102 | 1,404 | 436,015 | SH | DFND | 1 | 0 | 436,015 | 0 | |
| CANAAN INC | ADS | 134748902 | 45 | 141 | SH | Call | DFND | 1 | 0 | 141 | 0 |
| CANAAN INC | ADS | 134748952 | 1,659 | 5,153 | SH | Put | DFND | 1 | 0 | 5,153 | 0 |
| CASTOR MARITIME INC | SHS | Y1146L125 | 74 | 55,583 | SH | DFND | 1 | 0 | 55,583 | 0 | |
| CASTOR MARITIME INC | SHS | Y1146L955 | 111 | 825 | SH | Put | DFND | 1 | 0 | 825 | 0 |
| CBAK ENERGY TECHNOLOGY INC | COM | 14986C102 | 22 | 20,298 | SH | DFND | 1 | 0 | 20,298 | 0 | |
| CBAK ENERGY TECHNOLOGY INC | COM | 14986C952 | 36 | 339 | SH | Put | DFND | 1 | 0 | 339 | 0 |
| CEA INDUSTRIES INC | COM | 86887P200 | 145 | 115,000 | SH | DFND | 1 | 0 | 115,000 | 0 | |
| CHECK CAP LTD | SHS | M2361E203 | 93 | 300,257 | SH | DFND | 1 | 0 | 300,257 | 0 | |
| CINGULATE INC | COM | 17248W105 | 766 | 524,630 | SH | DFND | 1 | 0 | 524,630 | 0 | |
| CINGULATE INC | *W | 17248W113 | 135 | 541,509 | SH | DFND | 1 | 0 | 541,509 | 0 | |
| CLARUS THERAPEUTICS HLDNGS INC | COM | 18271L107 | 76 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| COCRYSTAL PHARMA INC | COM | 19188J300 | 2,414 | 5,888,927 | SH | DFND | 1 | 0 | 5,888,927 | 0 | |
| CONTRAFECT CORP | COM | 212326900 | 356 | 1,160 | SH | Call | DFND | 1 | 0 | 1,160 | 0 |
| CORE SCIENTIFIC INC | COM | 21873J108 | 149 | 99,932 | SH | DFND | 1 | 0 | 99,932 | 0 | |
| CORE SCIENTIFIC INC | COM | 21873J908 | 18 | 120 | SH | Call | DFND | 1 | 0 | 120 | 0 |
| CURIS INC | COM | 231269200 | 482 | 490,000 | SH | DFND | 1 | 0 | 490,000 | 0 | |
| CYNGN INC | COM | 23257B107 | 80 | 69,440 | SH | DFND | 1 | 0 | 69,440 | 0 | |
| DIGITAL ALLY INC | COM | 25382P208 | 229 | 289,698 | SH | DFND | 1 | 0 | 289,698 | 0 | |
| DIGITAL ALLY INC | COM | 25382P958 | 278 | 3,512 | SH | Put | DFND | 1 | 0 | 3,512 | 0 |
| DIGITAL WORLD ACQUISITION CORP | CL A | 25400Q905 | 5,963 | 2,468 | SH | Call | DFND | 1 | 0 | 2,468 | 0 |
| DIGITAL WORLD ACQUISITION CORP | CL A | 25400Q955 | 13,044 | 5,399 | SH | Put | DFND | 1 | 0 | 5,399 | 0 |
| DOGNESS INTL CORP | CL A | G2788T103 | 3,813 | 2,095,063 | SH | DFND | 1 | 0 | 2,095,063 | 0 | |
| EKSO BIONICS HOLDINGS INC | COM | 282644301 | 235 | 142,165 | SH | DFND | 1 | 0 | 142,165 | 0 | |
| EQONEX LTD | SHS | Y2074E109 | 30 | 36,354 | SH | DFND | 1 | 0 | 36,354 | 0 | |
| EQONEX LTD | SHS | Y2074E959 | 10 | 125 | SH | Put | DFND | 1 | 0 | 125 | 0 |
| ESPORTS ENTERTAINMENT GROUP INC | COM | 29667K306 | 44 | 106,640 | SH | DFND | 1 | 0 | 106,640 | 0 | |
| ESPORTS ENTERTAINMENT GROUP INC | COM | 29667K906 | 11 | 263 | SH | Call | DFND | 1 | 0 | 263 | 0 |
| ESPORTS ENTERTAINMENT GROUP INC | COM | 29667K956 | 8 | 200 | SH | Put | DFND | 1 | 0 | 200 | 0 |
| ESPORTS ENTERTAINMENT GROUP INC | *W | 29667K132 | 159 | 3,615,713 | SH | DFND | 1 | 0 | 3,615,713 | 0 | |
| EVOFEM BIOSCIENCES INC | COM | 30048L953 | 787 | 6,962 | SH | Put | DFND | 1 | 0 | 6,962 | 0 |
| GEVO INC | COM | 374396406 | 12,919 | 5,486,831 | SH | DFND | 1 | 0 | 5,486,831 | 0 | |
| GEVO INC | COM | 374396956 | 153 | 650 | SH | Put | DFND | 1 | 0 | 650 | 0 |
| GEVO INC | COM | 374396906 | 758 | 3,226 | SH | Call | DFND | 1 | 0 | 3,226 | 0 |
| GLOBUS MARITIME LIMITED | COM | Y27265126 | 938 | 535,769 | SH | DFND | 1 | 0 | 535,769 | 0 | |
| GLOBUS MARITIME LIMITED | COM | Y27265956 | 176 | 1,003 | SH | Put | DFND | 1 | 0 | 1,003 | 0 |
| GROM SOCIAL ENTERPRISES INC | *W | 39878L118 | 1 | 12,737 | SH | DFND | 1 | 0 | 12,737 | 0 | |
| GUARDFORCE AI CO LTD | *W | G4236L120 | 98 | 796,906 | SH | DFND | 1 | 0 | 796,906 | 0 | |
| HARBOR CUSTOM DEVELOPMENT INC | *W | 41150T124 | 648 | 1,727,769 | SH | DFND | 1 | 0 | 1,727,769 | 0 | |
| HEARTBEAM INC | COM | 42238H108 | 252 | 195,000 | SH | DFND | 1 | 0 | 195,000 | 0 | |
| HEARTBEAM INC | *W | 42238H116 | 87 | 356,204 | SH | DFND | 1 | 0 | 356,204 | 0 | |
| HUMANCO ACQUISITION CORP | COM | 44487N109 | 984 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| HUMANCO ACQUISITION CORP | *W | 44487N117 | 46 | 400,314 | SH | DFND | 1 | 0 | 400,314 | 0 | |
| IMPERIAL PETE INC | COM | Y3894J954 | 250 | 5,954 | SH | Put | DFND | 1 | 0 | 5,954 | 0 |
| ISHARES TR | ETF | 464287655 | 423 | 2,500 | SH | DFND | 1 | 0 | 2,500 | 0 | |
| ISHARES TR | ETF | 464287955 | 20,747 | 1,225 | SH | Put | DFND | 1 | 0 | 1,225 | 0 |
| KANDI TECHNOLGIES INC | COM | 483709101 | 297 | 123,910 | SH | DFND | 1 | 0 | 123,910 | 0 | |
| KANDI TECHNOLGIES INC | COM | 483709951 | 277 | 1,154 | SH | Put | DFND | 1 | 0 | 1,154 | 0 |
| KEMPHARM INC | COM | 488445206 | 1,313 | 294,487 | SH | DFND | 1 | 0 | 294,487 | 0 | |
| KEMPHARM INC | COM | 488445956 | 1,708 | 3,830 | SH | Put | DFND | 1 | 0 | 3,830 | 0 |
| LEXARIA BIOSCIENCE CORP | *W | 52886N117 | 240 | 343,534 | SH | DFND | 1 | 0 | 343,534 | 0 | |
| LIXTE BIOTECHNOLOGY HOLDINGS INC | COM | 539319202 | 74 | 99,644 | SH | DFND | 1 | 0 | 99,644 | 0 | |
| META MATERIALS INC | COM | 59134N104 | 2,644 | 2,567,268 | SH | DFND | 1 | 0 | 2,567,268 | 0 | |
| META MATERIALS INC | COM | 59134N954 | 103 | 1,000 | SH | Put | DFND | 1 | 0 | 1,000 | 0 |
| MOGO INC | COM | 60800C109 | 64 | 75,000 | SH | DFND | 1 | 0 | 75,000 | 0 | |
| MOGO INC | COM | 60800C959 | 40 | 463 | SH | Put | DFND | 1 | 0 | 463 | 0 |
| NANOVIBRONIX INC | COM | 63008J108 | 6 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| NEPTUNE WELLNESS SOLUTIONS INC | COM | 64079L204 | 1,051 | 750,944 | SH | DFND | 1 | 0 | 750,944 | 0 | |
| NEUROBO PHARMACEUTICALS INC | COM | 64132R107 | 45 | 93,376 | SH | DFND | 1 | 0 | 93,376 | 0 | |
| NEWAGE INC | COM | 650194103 | 907 | 4,048,211 | SH | DFND | 1 | 0 | 4,048,211 | 0 | |
| NISUN INTL ENT DVPMT GP CO LTD | COM | G6593L106 | 1,738 | 2,752,765 | SH | DFND | 1 | 0 | 2,752,765 | 0 | |
| NOVAN INC | COM | 66988N205 | 67 | 28,838 | SH | DFND | 1 | 0 | 28,838 | 0 | |
| NRX PHARMACEUTICALS INC | COM | 629444100 | 120 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| OCEAN POWER TECHNOLOGIES INC | COM | 674870506 | 62 | 110,370 | SH | DFND | 1 | 0 | 110,370 | 0 | |
| OCEAN POWER TECHNOLOGIES INC | COM | 674870956 | 59 | 1,038 | SH | Put | DFND | 1 | 0 | 1,038 | 0 |
| OLB GROUP INC | COM | 67086U307 | 265 | 300,000 | SH | DFND | 1 | 0 | 300,000 | 0 | |
| ONION GLOBAL LTD | ADS | 68277G107 | 1,162 | 1,320,750 | SH | DFND | 1 | 0 | 1,320,750 | 0 | |
| PERSHING SQUARE TONTINE HLDG | CL A | 71531R909 | 4,088 | 2,047 | SH | Call | DFND | 1 | 0 | 2,047 | 0 |
| PHARMACYTE BIOTECH INC | COM | 71715X203 | 2,378 | 1,061,411 | SH | DFND | 1 | 0 | 1,061,411 | 0 | |
| PHARMACYTE BIOTECH INC | COM | 71715X903 | 23 | 102 | SH | Call | DFND | 1 | 0 | 102 | 0 |
| PHARMACYTE BIOTECH INC | COM | 71715X953 | 386 | 1,723 | SH | Put | DFND | 1 | 0 | 1,723 | 0 |
| PULMATRIX INC | COM | 74584P301 | 1,156 | 251,758 | SH | DFND | 1 | 0 | 251,758 | 0 | |
| RECON TECHNOLOGY LTD | CL A | G7415M124 | 1,240 | 1,878,937 | SH | DFND | 1 | 0 | 1,878,937 | 0 | |
| REWALK ROBOTICS LTD | SHS | M8216Q200 | 994 | 1,057,446 | SH | DFND | 1 | 0 | 1,057,446 | 0 | |
| REWALK ROBOTICS LTD | SHS | M8216Q950 | 118 | 1,259 | SH | Put | DFND | 1 | 0 | 1,259 | 0 |
| SPDR S&P | ETF | 78462F953 | 26,408 | 700 | SH | Put | DFND | 1 | 0 | 700 | 0 |
| SPDR S&P BIOTECH | ETF | 78464A950 | 2,124 | 286 | SH | Put | DFND | 1 | 0 | 286 | 0 |
| SPDR S&P BIOTECH | ETF | 78464A900 | 743 | 100 | SH | Call | DFND | 1 | 0 | 100 | 0 |
| SPHERE 3D CORP | COM | 84841L908 | 30 | 565 | SH | Call | DFND | 1 | 0 | 565 | 0 |
| SPHERE 3D CORP | COM | 84841L958 | 123 | 2,289 | SH | Put | DFND | 1 | 0 | 2,289 | 0 |
| SPHERE 3D CORP | COM | 84841L308 | 114 | 213,244 | SH | DFND | 1 | 0 | 213,244 | 0 | |
| SPI ENERGY CO LTD | COM | G8651P110 | 30 | 17,395 | SH | DFND | 1 | 0 | 17,395 | 0 | |
| SPI ENERGY CO LTD | COM | G8651P950 | 30 | 174 | SH | Put | DFND | 1 | 0 | 174 | 0 |
| SPLASH BEVERAGE GROUP INC | COM | 84862C203 | 382 | 127,806 | SH | DFND | 1 | 0 | 127,806 | 0 | |
| SPLASH BEVERAGE GROUP INC | COM | 84862C953 | 835 | 2,793 | SH | Put | DFND | 1 | 0 | 2,793 | 0 |
| SPLASH BEVERAGE GROUP INC | *W | 84862C112 | 219 | 303,672 | SH | DFND | 1 | 0 | 303,672 | 0 | |
| TANTECH HOLDINGS LTD | SHS | G8675X123 | 438 | 1,500,000 | SH | DFND | 1 | 0 | 1,500,000 | 0 | |
| THE9 LTD | COM | 88337K302 | 24 | 14,453 | SH | DFND | 1 | 0 | 14,453 | 0 | |
| TRICIDA INC | COM | 89610F901 | 2,682 | 2,771 | SH | Call | DFND | 1 | 0 | 2,771 | 0 |
| TRICIDA INC | COM | 89610F951 | 589 | 608 | SH | Put | DFND | 1 | 0 | 608 | 0 |
| TWIN VEE POWERCATS CO | COM | 90177C101 | 244 | 90,656 | SH | DFND | 1 | 0 | 90,656 | 0 | |
| VINCERX PHARMA INC | COM | 92731L106 | 661 | 500,559 | SH | DFND | 1 | 0 | 500,559 | 0 | |
| VIRPAX PHARMACEUTICALS INC | COM | 928251107 | 1,780 | 1,059,383 | SH | DFND | 1 | 0 | 1,059,383 | 0 | |
| VISTAGEN THERAPEUTICS INC | COM | 92840H952 | 1,135 | 3,438 | SH | Put | DFND | 1 | 0 | 3,438 | 0 |
| WIMI HOLOGRAM CLOUD INC | ADS | 97264L100 | 75 | 34,573 | SH | DFND | 1 | 0 | 34,573 | 0 | |
| WIMI HOLOGRAM CLOUD INC | ADS | 97264L950 | 76 | 350 | SH | Put | DFND | 1 | 0 | 350 | 0 |
| XPRESSPA GROUP INC | COM | 98420U953 | 340 | 4,928 | SH | Put | DFND | 1 | 0 | 4,928 | 0 |