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 |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 144 | 27,263 | SH | DFND | 1 | 0 | 27,263 | 0 | |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U908 | 1,964 | 3,705 | SH | Call | DFND | 1 | 0 | 3,705 | 0 |
AFFIMED N.V. | COM | N01045108 | 143 | 86,386 | SH | DFND | 1 | 0 | 86,386 | 0 | |
AFFIMED N.V. | COM | N01045908 | 90 | 543 | SH | Call | DFND | 1 | 0 | 543 | 0 |
AFFIMED N.V. | COM | N01045958 | 75 | 454 | SH | Put | DFND | 1 | 0 | 454 | 0 |
ALPHATEC HOLDINGS INC | COM | 02081G201 | 281 | 94,216 | SH | DFND | 1 | 0 | 94,216 | 0 | |
AMARIN CORPORATION PLC | ADR | 023111906 | 3,308 | 10,707 | SH | Call | DFND | 1 | 0 | 10,707 | 0 |
AMARIN CORPORATION PLC | ADR | 023111956 | 343 | 1,109 | SH | Put | DFND | 1 | 0 | 1,109 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W109 | 599 | 38,344 | SH | DFND | 1 | 0 | 38,344 | 0 | |
AMICUS THERAPEUTICS INC | COM | 03152W909 | 697 | 446 | SH | Call | DFND | 1 | 0 | 446 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W959 | 2,243 | 1,436 | SH | Put | DFND | 1 | 0 | 1,436 | 0 |
AMYRIS INC | COM | 03236M950 | 633 | 990 | SH | Put | DFND | 1 | 0 | 990 | 0 |
APPLIED DNA SCIENCES INC | *W | 03815U110 | 186 | 663,878 | SH | DFND | 1 | 0 | 663,878 | 0 | |
APPLIED DNA SCIENCES INC | COM | 03815U201 | 349 | 277,319 | SH | DFND | 1 | 0 | 277,319 | 0 | |
APTINYX INC | COM | 03836N103 | 1,012 | 41,857 | SH | DFND | 1 | 0 | 41,857 | 0 | |
AQUINOX PHARMACEUTICALS INC | COM | 03842B101 | 146 | 55,203 | SH | DFND | 1 | 0 | 55,203 | 0 | |
AQUINOX PHARMACEUTICALS INC | COM | 03842B951 | 121 | 456 | SH | Put | DFND | 1 | 0 | 456 | 0 |
ARCADIA BIOSCIENCES INC | COM | 039014204 | 1,004 | 121,690 | SH | DFND | 1 | 0 | 121,690 | 0 | |
ASTRAZENECA PLC | ADR | 046353108 | 2,404 | 68,464 | SH | DFND | 1 | 0 | 68,464 | 0 | |
ASTRAZENECA PLC | ADR | 046353908 | 9,589 | 2,731 | SH | Call | DFND | 1 | 0 | 2,731 | 0 |
ASTRAZENECA PLC | ADR | 046353958 | 11,815 | 3,365 | SH | Put | DFND | 1 | 0 | 3,365 | 0 |
ATOSSA GENETICS INC | COM | 04962H506 | 750 | 340,749 | SH | DFND | 1 | 0 | 340,749 | 0 | |
AURIS MEDICAL HOLDING AG | COM | H0381L104 | 206 | 263,625 | SH | DFND | 1 | 0 | 263,625 | 0 | |
AVEO PHARMACEUTICALS INC | COM | 053588909 | 2,760 | 12,214 | SH | Call | DFND | 1 | 0 | 12,214 | 0 |
AXOVANT SCIENCES LTD | COM | G0750W104 | 331 | 146,504 | SH | DFND | 1 | 0 | 146,504 | 0 | |
AYTU BIOSCIENCE INC | COM | 054754403 | 186 | 709,312 | SH | DFND | 1 | 0 | 709,312 | 0 | |
BENITEC BIOPHARMA | *W | 082053117 | 8 | 75,904 | SH | DFND | 1 | 0 | 75,904 | 0 | |
BIOCEPT INC | COM | 09072V204 | 36 | 177,601 | SH | DFND | 1 | 0 | 177,601 | 0 | |
BIOGEN INC | COM | 09062X103 | 44,146 | 152,102 | SH | DFND | 1 | 0 | 152,102 | 0 | |
BIOGEN INC | COM | 09062X903 | 871 | 30 | SH | Call | DFND | 1 | 0 | 30 | 0 |
BIOGEN INC | COM | 09062X953 | 62,891 | 2,451 | SH | Put | DFND | 1 | 0 | 2,451 | 0 |
BRAINSTORM CELL THERAPEUTICS INC | COM | 10501E201 | 3,626 | 929,725 | SH | DFND | 1 | 0 | 929,725 | 0 | |
CAN FITE BIOPHARMA LTD | COM | 13471N102 | 130 | 109,905 | SH | DFND | 1 | 0 | 109,905 | 0 | |
CEL SCI CORP | COM | 150837607 | 15 | 16,591 | SH | DFND | 1 | 0 | 16,591 | 0 | |
CELLECT BIOTECHNOLOGY LTD | ADR | 15116C102 | 798 | 111,540 | SH | DFND | 1 | 0 | 111,540 | 0 | |
CESCA THERAPEUTICS INC | COM | 157131202 | 61 | 146,472 | SH | DFND | 1 | 0 | 146,472 | 0 | |
CHECK CAP LTD | *W | M2361E161 | 428 | 628,846 | SH | DFND | 1 | 0 | 628,846 | 0 | |
CHECK CAP LTD | COM | M2361E203 | 264 | 65,139 | SH | DFND | 1 | 0 | 65,139 | 0 | |
CHF SOLUTIONS INC | COM | 12542Q508 | 837 | 454,811 | SH | DFND | 1 | 0 | 454,811 | 0 | |
CITIUS PHARMACEUTICALS INC | COM | 17322U207 | 937 | 407,180 | SH | DFND | 1 | 0 | 407,180 | 0 | |
CYCLACEL PHARMACEUTICALS INC | COM | 23254L405 | 36 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
CYTORI THERAPEUTICS | *W | 23283K121 | 3 | 300,413 | SH | DFND | 1 | 0 | 300,413 | 0 | |
CYTRX CORP | COM | 232828608 | 1,892 | 1,674,431 | SH | DFND | 1 | 0 | 1,674,431 | 0 | |
DBV TECHNOLOGIES SA | ADR | 23306J901 | 534 | 277 | SH | Call | DFND | 1 | 0 | 277 | 0 |
DURECT CORP | COM | 266605104 | 168 | 107,675 | SH | DFND | 1 | 0 | 107,675 | 0 | |
DURECT CORP | COM | 266605904 | 95 | 607 | SH | Call | DFND | 1 | 0 | 607 | 0 |
EGALET CORP | COM | 28226B104 | 1 | 2,134 | SH | DFND | 1 | 0 | 2,134 | 0 | |
EIDOS THERAPEUTICS INC | COM | 28249H104 | 1,014 | 49,833 | SH | DFND | 1 | 0 | 49,833 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W105 | 5,828 | 148,704 | SH | DFND | 1 | 0 | 148,704 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W905 | 1,450 | 370 | SH | Call | DFND | 1 | 0 | 370 | 0 |
ESPERION THERAPEUTICS INC | COM | 29664W955 | 27,386 | 6,988 | SH | Put | DFND | 1 | 0 | 6,988 | 0 |
EYENOVIA INC | COM | 30234E104 | 845 | 134,164 | SH | DFND | 1 | 0 | 134,164 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 657 | 10,492 | SH | DFND | 1 | 0 | 10,492 | 0 | |
FIBROGEN INC | COM | 31572Q958 | 2,285 | 365 | SH | Put | DFND | 1 | 0 | 365 | 0 |
FUELCELL ENERGY INC | COM | 35952H502 | 40 | 30,140 | SH | DFND | 1 | 0 | 30,140 | 0 | |
FUELCELL ENERGY INC | COM | 35952H952 | 695 | 5,268 | SH | Put | DFND | 1 | 0 | 5,268 | 0 |
GALECTIN THERAPEUTICS INC | COM | 363225202 | 89 | 14,029 | SH | DFND | 1 | 0 | 14,029 | 0 | |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 2,763 | 232,224 | SH | DFND | 1 | 0 | 232,224 | 0 | |
GENPREX INC. | COM | 372446104 | 3,174 | 414,250 | SH | DFND | 1 | 0 | 414,250 | 0 | |
GLOBAL BLOOD THERAPEUTICS INC | COM | 37890U908 | 3,779 | 836 | SH | Call | DFND | 1 | 0 | 836 | 0 |
HELIOS AND MATHESON ANALYTICS INC | COM | 42327L200 | 259 | 834,318 | SH | DFND | 1 | 0 | 834,318 | 0 | |
HELIOS AND MATHESON ANALYTICS INC | COM | 42327L900 | 30 | 965 | SH | Call | DFND | 1 | 0 | 965 | 0 |
HELIOS AND MATHESON ANALYTICS INC | COM | 42327L950 | 8 | 246 | SH | Put | DFND | 1 | 0 | 246 | 0 |
HEMISPHERX BIOPHARMA INC | COM | 42366C301 | 620 | 1,938,374 | SH | DFND | 1 | 0 | 1,938,374 | 0 | |
IMMUNOCELLULAR THERAPEUTICS | *W | 452536121 | 1 | 74,443 | SH | DFND | 1 | 0 | 74,443 | 0 | |
INCYTE CORP | COM | 45337C102 | 2,775 | 41,419 | SH | DFND | 1 | 0 | 41,419 | 0 | |
INCYTE CORP | COM | 45337C952 | 2,720 | 406 | SH | Put | DFND | 1 | 0 | 406 | 0 |
INPIXON | COM | 45790J305 | 273 | 1,685,814 | SH | DFND | 1 | 0 | 1,685,814 | 0 | |
INSMED INC | COM | 457669307 | 421 | 17,800 | SH | DFND | 1 | 0 | 17,800 | 0 | |
INSMED INC | COM | 457669957 | 3,928 | 1,661 | SH | Put | DFND | 1 | 0 | 1,661 | 0 |
INSPIREMD INC | *W | 45779A127 | 8 | 837,977 | SH | DFND | 1 | 0 | 837,977 | 0 | |
INSPIREMD INC | *W | 45779A135 | 36 | 1,982,317 | SH | DFND | 1 | 0 | 1,982,317 | 0 | |
INSPIREMD INC | COM | 45779A861 | 155 | 623,521 | SH | DFND | 1 | 0 | 623,521 | 0 | |
INTERPACE DIAGNOSTICS GROUP INC | COM | 46062X204 | 830 | 932,954 | SH | DFND | 1 | 0 | 932,954 | 0 | |
INVIVO THERAPEUTICS HLDGS CORP | COM | 46186M407 | 288 | 169,661 | SH | DFND | 1 | 0 | 169,661 | 0 | |
ISHARES RUSSELL 2000 | ETF | 464287905 | 61,414 | 3,750 | SH | Call | DFND | 1 | 0 | 3,750 | 0 |
KEZAR LIFE SCIENCES INC | COM | 49372L100 | 735 | 42,507 | SH | DFND | 1 | 0 | 42,507 | 0 | |
MADRIGAL PHARMACEUTICALS INC | COM | 558868905 | 2,238 | 80 | SH | Call | DFND | 1 | 0 | 80 | 0 |
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 1,023 | 75,800 | SH | DFND | 1 | 0 | 75,800 | 0 | |
MANNKIND CORP | COM | 56400P956 | 1,458 | 4,550 | SH | Put | DFND | 1 | 0 | 4,550 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q901 | 896 | 1,268 | SH | Call | DFND | 1 | 0 | 1,268 | 0 |
MICROBOT MED | COM | 59503A105 | 366 | 494,686 | SH | DFND | 1 | 0 | 494,686 | 0 | |
NEKTAR THERAPEUTICS | COM | 640268108 | 11,813 | 241,922 | SH | DFND | 1 | 0 | 241,922 | 0 | |
NEKTAR THERAPEUTICS | COM | 640268908 | 3,193 | 654 | SH | Call | DFND | 1 | 0 | 654 | 0 |
NEKTAR THERAPEUTICS | COM | 640268958 | 14,537 | 2,977 | SH | Put | DFND | 1 | 0 | 2,977 | 0 |
NEUROMETRIX INC | COM | 641255708 | 451 | 343,947 | SH | DFND | 1 | 0 | 343,947 | 0 | |
NOVAN INC | COM | 66988N106 | 1,361 | 462,898 | SH | DFND | 1 | 0 | 462,898 | 0 | |
NOVO NORDISK A/S | ADR | 670100205 | 19,802 | 429,355 | SH | DFND | 1 | 0 | 429,355 | 0 | |
NOVO NORDISK A/S | ADR | 670100905 | 18,319 | 3,972 | SH | Call | DFND | 1 | 0 | 3,972 | 0 |
NOVO NORDISK A/S | ADR | 670100955 | 28,691 | 6,221 | SH | Put | DFND | 1 | 0 | 6,221 | 0 |
ODONATE THERAPEUTICS INC | COM | 676079106 | 12,775 | 578,599 | SH | DFND | 1 | 0 | 578,599 | 0 | |
ONCOBIOLOGICS INC | COM | 68235M105 | 3,120 | 3,692,737 | SH | DFND | 1 | 0 | 3,692,737 | 0 | |
ONCONOVA THERAPEUTICS | COM | 68232V306 | 26 | 63,218 | SH | DFND | 1 | 0 | 63,218 | 0 | |
ONCONOVA THERAPEUTICS | *W | 68232V116 | 8 | 654,019 | SH | DFND | 1 | 0 | 654,019 | 0 | |
OPGEN INC COM NEW | COM | 68373L208 | 431 | 242,257 | SH | DFND | 1 | 0 | 242,257 | 0 | |
OPHTHOTECH CORP | COM | 683745103 | 3,577 | 1,310,078 | SH | DFND | 1 | 0 | 1,310,078 | 0 | |
OPHTHOTECH CORP | COM | 683745903 | 332 | 1,217 | SH | Call | DFND | 1 | 0 | 1,217 | 0 |
OPHTHOTECH CORP | COM | 683745953 | 36 | 133 | SH | Put | DFND | 1 | 0 | 133 | 0 |
OVASCIENCE INC | COM | 69014Q101 | 866 | 954,505 | SH | DFND | 1 | 0 | 954,505 | 0 | |
PAVMED INC | *W | 70387R122 | 704 | 2,128,700 | SH | DFND | 1 | 0 | 2,128,700 | 0 | |
PAVMED INC | COM | 70387R106 | 1,329 | 1,398,850 | SH | DFND | 1 | 0 | 1,398,850 | 0 | |
PLURISTEM THERAPEUTICS INC | COM | 72940R952 | 35 | 288 | SH | Put | DFND | 1 | 0 | 288 | 0 |
RESHAPE LIFESCIENCES INC | COM | 761123405 | 542 | 235,498 | SH | DFND | 1 | 0 | 235,498 | 0 | |
ROSETTA GENOMICS LTD | SHS | M82183209 | 19 | 941,693 | SH | DFND | 1 | 0 | 941,693 | 0 | |
RXI PHARMACEUTICALS | *W | 74979C121 | 49 | 196,222 | SH | DFND | 1 | 0 | 196,222 | 0 | |
RXI PHARMACEUTICALS | COM | 74979C808 | 325 | 168,462 | SH | DFND | 1 | 0 | 168,462 | 0 | |
SANGAMO THERAPEUTICS INC | COM | 800677106 | 2,389 | 168,239 | SH | DFND | 1 | 0 | 168,239 | 0 | |
SANGAMO THERAPEUTICS INC | COM | 800677906 | 1,247 | 878 | SH | Call | DFND | 1 | 0 | 878 | 0 |
SANGAMO THERAPEUTICS INC | COM | 800677956 | 5,027 | 3,540 | SH | Put | DFND | 1 | 0 | 3,540 | 0 |
SAREPTA THERAPEUTICS INC | COM | 803607900 | 27,983 | 2,117 | SH | Call | DFND | 1 | 0 | 2,117 | 0 |
SAREPTA THERAPEUTICS INC | COM | 803607950 | 12,002 | 908 | SH | Put | DFND | 1 | 0 | 908 | 0 |
SESEN BIO INC | COM | 817763955 | 196 | 1,003 | SH | Put | DFND | 1 | 0 | 1,003 | 0 |
SIGMA LABS | *W | 826598112 | 100 | 284,329 | SH | DFND | 1 | 0 | 284,329 | 0 | |
SOLENO THERAPEUTICS INC | COM | 834203200 | 1,839 | 785,955 | SH | DFND | 1 | 0 | 785,955 | 0 | |
SOPHIRIS BIO INC | COM | 83578Q959 | 50 | 1,519 | SH | Put | DFND | 1 | 0 | 1,519 | 0 |
SPARK THERAPEUTICS INC | COM | 84652J903 | 4,527 | 547 | SH | Call | DFND | 1 | 0 | 547 | 0 |
SPARK THERAPEUTICS INC | COM | 84652J953 | 1,324 | 160 | SH | Put | DFND | 1 | 0 | 160 | 0 |
SPDR S&P 500 | TR | 78462F903 | 54,229 | 1,999 | SH | Call | DFND | 1 | 0 | 1,999 | 0 |
SPDR S&P 500 | TR | 78462F953 | 65,107 | 2,400 | SH | Put | DFND | 1 | 0 | 2,400 | 0 |
SPDR S&P BIOTECH | TR | 78464A900 | 13,603 | 1,429 | SH | Call | DFND | 1 | 0 | 1,429 | 0 |
SPDR S&P BIOTECH | TR | 78464A950 | 4,760 | 500 | SH | Put | DFND | 1 | 0 | 500 | 0 |
STRATA SKIN SCIENCES INC | COM | 86272A206 | 3,449 | 1,682,279 | SH | DFND | 1 | 0 | 1,682,279 | 0 | |
SUNESIS PHARMACEUTICALS INC | COM | 867328700 | 1,086 | 512,036 | SH | DFND | 1 | 0 | 512,036 | 0 | |
SUNESIS PHARMACEUTICALS INC | COM | 867328900 | 488 | 2,302 | SH | Call | DFND | 1 | 0 | 2,302 | 0 |
SUPERCONDUCTOR TECHNOLOGIES | COM | 867931503 | 21 | 22,748 | SH | DFND | 1 | 0 | 22,748 | 0 | |
SYNERGY PHARMACEUTICALS INC | COM | 871639908 | 914 | 5,254 | SH | Call | DFND | 1 | 0 | 5,254 | 0 |
TESARO INC | COM | 881569907 | 1,472 | 331 | SH | Call | DFND | 1 | 0 | 331 | 0 |
TRANSLATE BIO INC | COM | 89374L104 | 152 | 12,000 | SH | DFND | 1 | 0 | 12,000 | 0 | |
TROVAGENE INC | COM | 897238408 | 578 | 750,550 | SH | DFND | 1 | 0 | 750,550 | 0 | |
UNUM THERAPEUTICS INC | COM | 903214104 | 8,342 | 581,303 | SH | DFND | 1 | 0 | 581,303 | 0 | |
VASCULAR BIOGENICS LTD | COM | M96883109 | 4,084 | 1,856,169 | SH | DFND | 1 | 0 | 1,856,169 | 0 | |
VERSARTIS INC | COM | 92529L102 | 447 | 220,600 | SH | DFND | 1 | 0 | 220,600 | 0 | |
VIKING THERAPEUTICS INC | COM | 92686J906 | 1,038 | 1,094 | SH | Call | DFND | 1 | 0 | 1,094 | 0 |
XERIS PARMACEUTICALS INC | COM | 98422L107 | 8,497 | 447,686 | SH | DFND | 1 | 0 | 447,686 | 0 | |
YIELD10 BIOSCIENCE INC | COM | 98585K201 | 67 | 47,740 | SH | DFND | 1 | 0 | 47,740 | 0 | |
ZOGENIX INC | COM | 98978L904 | 7,616 | 1,723 | SH | Call | DFND | 1 | 0 | 1,723 | 0 |
ZOGENIX INC | COM | 98978L954 | 561 | 127 | SH | Put | DFND | 1 | 0 | 127 | 0 |
ZOSANO PHARMA | COM | 98979H202 | 2,043 | 500,700 | SH | DFND | 1 | 0 | 500,700 | 0 |