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 | 00773U908 | 1,349 | 2,230 | SH | Call | DFND | 1 | 0 | 2,230 | 0 |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U958 | 102 | 168 | SH | Put | DFND | 1 | 0 | 168 | 0 |
ALDEYRA THERAPEUTICS INC | COM | 01438T906 | 589 | 427 | SH | Call | DFND | 1 | 0 | 427 | 0 |
ALKERMES PLC | SHS | G01767905 | 2,423 | 571 | SH | Call | DFND | 1 | 0 | 571 | 0 |
AMARIN CORPORATION PLC | ADR | 023111956 | 828 | 509 | SH | Put | DFND | 1 | 0 | 509 | 0 |
AMARIN CORPORATION PLC | ADR | 023111906 | 16,000 | 9,834 | SH | Call | DFND | 1 | 0 | 9,834 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W109 | 1,874 | 155,044 | SH | DFND | 1 | 0 | 155,044 | 0 | |
AMICUS THERAPEUTICS INC | COM | 03152W959 | 2,002 | 1,656 | SH | Put | DFND | 1 | 0 | 1,656 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W909 | 2,841 | 2,350 | SH | Call | DFND | 1 | 0 | 2,350 | 0 |
APPLIED DNA SCIENCES | *W | 03815U110 | 136 | 616,043 | SH | DFND | 1 | 0 | 616,043 | 0 | |
APTINYX INC | COM | 03836N103 | 1,188 | 41,037 | SH | DFND | 1 | 0 | 41,037 | 0 | |
ARCADIA BIOSCIENCES INC | COM | 039014204 | 1,355 | 277,181 | SH | DFND | 1 | 0 | 277,181 | 0 | |
ASTRAZENECA PLC | ADR | 046353958 | 14,265 | 3,605 | SH | Put | DFND | 1 | 0 | 3,605 | 0 |
ASTRAZENECA PLC | ADR | 046353908 | 15,155 | 3,830 | SH | Call | DFND | 1 | 0 | 3,830 | 0 |
ATOSSA GENETICS INC | COM | 04962H506 | 814 | 465,039 | SH | DFND | 1 | 0 | 465,039 | 0 | |
AVEO PHARMACEUTICALS INC | COM | 053588909 | 4,032 | 12,182 | SH | Call | DFND | 1 | 0 | 12,182 | 0 |
AXOVANT SCIENCES LTD | COM | G0750W104 | 327 | 135,272 | SH | DFND | 1 | 0 | 135,272 | 0 | |
AYTU BIOSCIENCE INC | COM | 054754700 | 98 | 35,466 | SH | DFND | 1 | 0 | 35,466 | 0 | |
BENITEC BIOPHARMA LTD | *W | 082053117 | 7 | 58,050 | SH | DFND | 1 | 0 | 58,050 | 0 | |
BIO PATH HOLDINGS INC | COM | 09057N201 | 437 | 970,877 | SH | DFND | 1 | 0 | 970,877 | 0 | |
BIOCEPT INC | COM | 09072V402 | 392 | 142,417 | SH | DFND | 1 | 0 | 142,417 | 0 | |
BIOGEN INC | COM | 09062X103 | 12,555 | 35,534 | SH | DFND | 1 | 0 | 35,534 | 0 | |
BIOGEN INC | COM | 09062X953 | 61,723 | 1,747 | SH | Put | DFND | 1 | 0 | 1,747 | 0 |
BRAINSTORM CELL THERAPEUTICS INC | COM | 10501E201 | 3,465 | 906,956 | SH | DFND | 1 | 0 | 906,956 | 0 | |
CELLECT BIOTECHNOLOGY LTD | COM | 15116C102 | 412 | 86,517 | SH | DFND | 1 | 0 | 86,517 | 0 | |
CEL-SCI CORP | COM | 150837607 | 101 | 24,816 | SH | DFND | 1 | 0 | 24,816 | 0 | |
CESCA THERAPEUTICS INC | COM | 157131202 | 6 | 19,988 | SH | DFND | 1 | 0 | 19,988 | 0 | |
CHECK CAP LTD | *W | M2361E161 | 230 | 306,878 | SH | DFND | 1 | 0 | 306,878 | 0 | |
CHECK CAP LTD | SHS | M2361E203 | 363 | 90,771 | SH | DFND | 1 | 0 | 90,771 | 0 | |
CHF SOLUTIONS INC | COM | 12542Q508 | 499 | 423,218 | SH | DFND | 1 | 0 | 423,218 | 0 | |
CITIUS PHARMACEUTICALS INC | COM | 17322U207 | 20 | 11,564 | SH | DFND | 1 | 0 | 11,564 | 0 | |
CONATUS PHARMACEUTICALS INC | COM | 20600T908 | 253 | 437 | SH | Call | DFND | 1 | 0 | 437 | 0 |
CORMEDIX INC | COM | 21900C950 | 28 | 287 | SH | Put | DFND | 1 | 0 | 287 | 0 |
CYTORI THERAPEUTICS | *W | 23283K121 | 0 | 37,793 | SH | DFND | 1 | 0 | 37,793 | 0 | |
CYTRX CORP | COM | 232828608 | 1,333 | 1,269,731 | SH | DFND | 1 | 0 | 1,269,731 | 0 | |
DBV TECHNOLOGIES SA | ADR | 23306J901 | 261 | 116 | SH | Call | DFND | 1 | 0 | 116 | 0 |
DURECT CORP | COM | 266605904 | 69 | 627 | SH | Call | DFND | 1 | 0 | 627 | 0 |
DURECT CORP | COM | 266605104 | 145 | 131,900 | SH | DFND | 1 | 0 | 131,900 | 0 | |
EIDOS THERAPEUTICS INC | COM | 28249H104 | 766 | 76,740 | SH | DFND | 1 | 0 | 76,740 | 0 | |
ELECTRAMECCANICA VEHICLES CORP | *W | 284849114 | 38 | 101,000 | SH | DFND | 1 | 0 | 101,000 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W105 | 4,453 | 100,369 | SH | DFND | 1 | 0 | 100,369 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W955 | 29,692 | 6,692 | SH | Put | DFND | 1 | 0 | 6,692 | 0 |
EYENOVIA INC | COM | 30234E104 | 657 | 163,357 | SH | DFND | 1 | 0 | 163,357 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 730 | 12,019 | SH | DFND | 1 | 0 | 12,019 | 0 | |
FIBROGEN INC | COM | 31572Q908 | 5,565 | 916 | SH | Call | DFND | 1 | 0 | 916 | 0 |
FIBROGEN INC | COM | 31572Q958 | 8,772 | 1,444 | SH | Put | DFND | 1 | 0 | 1,444 | 0 |
FUELCELL ENERGY INC | COM | 35952H952 | 372 | 3,480 | SH | Put | DFND | 1 | 0 | 3,480 | 0 |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 599 | 44,136 | SH | DFND | 1 | 0 | 44,136 | 0 | |
GENPREX INC | COM | 372446104 | 1,664 | 733,200 | SH | DFND | 1 | 0 | 733,200 | 0 | |
GLOBAL BLOOD THERAPEUTICS INC | COM | 37890U908 | 4,986 | 1,312 | SH | Call | DFND | 1 | 0 | 1,312 | 0 |
HELIOS AND MATHESON ANALYTICS INC | COM | 42327L909 | 0 | 125 | SH | Call | DFND | 1 | 0 | 125 | 0 |
HEMISPHERX BIOPHARMA INC | COM | 42366C301 | 263 | 1,143,632 | SH | DFND | 1 | 0 | 1,143,632 | 0 | |
INSMED INC | COM | 457669307 | 303 | 15,000 | SH | DFND | 1 | 0 | 15,000 | 0 | |
INSMED INC | COM | 457669957 | 833 | 412 | SH | Put | DFND | 1 | 0 | 412 | 0 |
INSPIREMD INC | *W | 45779A127 | 1 | 498,797 | SH | DFND | 1 | 0 | 498,797 | 0 | |
INSPIREMD INC | *W | 45779A135 | 7 | 1,847,636 | SH | DFND | 1 | 0 | 1,847,636 | 0 | |
INSPIREMD INC | COM | 45779A861 | 236 | 1,071,004 | SH | DFND | 1 | 0 | 1,071,004 | 0 | |
ISHARES RUSSELL 2000 | ETF | 464287905 | 35,648 | 2,115 | SH | Call | DFND | 1 | 0 | 2,115 | 0 |
ISHARES RUSSELL 2000 | ETF | 464287955 | 67,420 | 4,000 | SH | Put | DFND | 1 | 0 | 4,000 | 0 |
ISORAY INC | COM | 46489V104 | 999 | 1,925,487 | SH | DFND | 1 | 0 | 1,925,487 | 0 | |
KITOV PHARMA LTD | ADR | 49803V107 | 47 | 27,043 | SH | DFND | 1 | 0 | 27,043 | 0 | |
MADRIGAL PHARMACEUTICALS INC | COM | 558868105 | 321 | 1,500 | SH | DFND | 1 | 0 | 1,500 | 0 | |
MADRIGAL PHARMACEUTICALS INC | COM | 558868905 | 3,298 | 154 | SH | Call | DFND | 1 | 0 | 154 | 0 |
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 1,132 | 94,224 | SH | DFND | 1 | 0 | 94,224 | 0 | |
MANNKIND CORP | COM | 56400P956 | 1,309 | 7,154 | SH | Put | DFND | 1 | 0 | 7,154 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q901 | 1,595 | 1,595 | SH | Call | DFND | 1 | 0 | 1,595 | 0 |
MEDIGUS LTD | *W | 58471G128 | 926 | 1,268,146 | SH | DFND | 1 | 0 | 1,268,146 | 0 | |
MEDIGUS LTD | ADS | 58471G300 | 1,006 | 296,712 | SH | DFND | 1 | 0 | 296,712 | 0 | |
MICROBOT MED INC | COM | 59503A204 | 405 | 54,518 | SH | DFND | 1 | 0 | 54,518 | 0 | |
MONAKER GROUP INC | COM | 609011200 | 956 | 444,572 | SH | DFND | 1 | 0 | 444,572 | 0 | |
NEKTAR THERAPEUTICS | COM | 640268908 | 3,609 | 592 | SH | Call | DFND | 1 | 0 | 592 | 0 |
NEKTAR THERAPEUTICS | COM | 640268108 | 18,008 | 295,405 | SH | DFND | 1 | 0 | 295,405 | 0 | |
NEKTAR THERAPEUTICS | COM | 640268958 | 28,560 | 4,685 | SH | Put | DFND | 1 | 0 | 4,685 | 0 |
NEUROMETRIX INC | COM | 641255708 | 496 | 372,913 | SH | DFND | 1 | 0 | 372,913 | 0 | |
NOVAN INC | COM | 66988N106 | 700 | 250,958 | SH | DFND | 1 | 0 | 250,958 | 0 | |
ODONATE THERAPEUTICS INC | COM | 676079106 | 10,164 | 523,653 | SH | DFND | 1 | 0 | 523,653 | 0 | |
ONCOBIOLOGICS INC | COM | 68235M105 | 3,318 | 3,354,909 | SH | DFND | 1 | 0 | 3,354,909 | 0 | |
ONCONOVA THERAPEUTICS INC | *W | 68232V116 | 67 | 665,470 | SH | DFND | 1 | 0 | 665,470 | 0 | |
OPGEN INC COM NEW | COM | 68373L208 | 34 | 16,958 | SH | DFND | 1 | 0 | 16,958 | 0 | |
OPHTHOTECH CORP | COM | 683745953 | 31 | 133 | SH | Put | DFND | 1 | 0 | 133 | 0 |
OPHTHOTECH CORP | COM | 683745903 | 287 | 1,217 | SH | Call | DFND | 1 | 0 | 1,217 | 0 |
OPHTHOTECH CORP | COM | 683745103 | 3,820 | 1,618,820 | SH | DFND | 1 | 0 | 1,618,820 | 0 | |
OPIANT PHARMACEUTICALS INC | COM | 683750103 | 781 | 43,736 | SH | DFND | 1 | 0 | 43,736 | 0 | |
ORAMED PHARMACEUTICALS INC | COM | 68403P203 | 3,876 | 801,242 | SH | DFND | 1 | 0 | 801,242 | 0 | |
OVASCIENCE INC | COM | 69014Q101 | 187 | 255,803 | SH | DFND | 1 | 0 | 255,803 | 0 | |
PAVMED INC | *W | 70387R122 | 915 | 1,946,838 | SH | DFND | 1 | 0 | 1,946,838 | 0 | |
PLURISTEM THERAPEUTICS INC | COM | 72940R952 | 41 | 312 | SH | Put | DFND | 1 | 0 | 312 | 0 |
PROTEOSTASIS THERAPEUTICS INC | COM | 74373B109 | 482 | 199,900 | SH | DFND | 1 | 0 | 199,900 | 0 | |
RESHAPE LIFESCIENCES INC | COM | 761123405 | 20 | 461,704 | SH | DFND | 1 | 0 | 461,704 | 0 | |
RICEBRAN TECHNOLOGIES | COM | 762831204 | 807 | 281,061 | SH | DFND | 1 | 0 | 281,061 | 0 | |
RITTER PHARMACEUTICALS INC | COM | 767836307 | 186 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
RXI PHARMACEUTICALS | *W | 74979C121 | 68 | 195,259 | SH | DFND | 1 | 0 | 195,259 | 0 | |
SANGAMO THERAPEUTICS INC | COM | 800677106 | 2,660 | 156,913 | SH | DFND | 1 | 0 | 156,913 | 0 | |
SANGAMO THERAPEUTICS INC | COM | 800677956 | 5,251 | 3,098 | SH | Put | DFND | 1 | 0 | 3,098 | 0 |
SAREPTA THERAPEUTICS INC | COM | 803607950 | 14,665 | 908 | SH | Put | DFND | 1 | 0 | 908 | 0 |
SAREPTA THERAPEUTICS INC | COM | 803607900 | 28,200 | 1,746 | SH | Call | DFND | 1 | 0 | 1,746 | 0 |
SCYNEXIS INC | COM | 811292101 | 50 | 41,579 | SH | DFND | 1 | 0 | 41,579 | 0 | |
SELLAS LIFE SCIENCES GROUP INC | COM | 81642T100 | 96 | 78,294 | SH | DFND | 1 | 0 | 78,294 | 0 | |
SENESTECH INC | COM | 81720R109 | 675 | 978,702 | SH | DFND | 1 | 0 | 978,702 | 0 | |
SESEN BIO INC | COM | 817763955 | 392 | 1,823 | SH | Put | DFND | 1 | 0 | 1,823 | 0 |
SIGMA LABS INC | *W | 826598112 | 87 | 280,529 | SH | DFND | 1 | 0 | 280,529 | 0 | |
SOLENO THERAPEUTICS INC | COM | 834203200 | 1,631 | 755,312 | SH | DFND | 1 | 0 | 755,312 | 0 | |
SOPHIRIS BIO INC | COM | 83578Q959 | 440 | 1,578 | SH | Put | DFND | 1 | 0 | 1,578 | 0 |
SPDR S&P 500 | TR | 78462F903 | 116,317 | 4,001 | SH | Call | DFND | 1 | 0 | 4,001 | 0 |
SPDR S&P 500 | TR | 78462F953 | 117,044 | 4,026 | SH | Put | DFND | 1 | 0 | 4,026 | 0 |
SPDR S&P BIOTECH | TR | 78464A950 | 5,177 | 540 | SH | Put | DFND | 1 | 0 | 540 | 0 |
SPDR S&P BIOTECH | TR | 78464A900 | 18,014 | 1,879 | SH | Call | DFND | 1 | 0 | 1,879 | 0 |
STELLAR BIOTECHNOLOGIES INC | COM | 85855A302 | 65 | 46,859 | SH | DFND | 1 | 0 | 46,859 | 0 | |
SUNESIS PHARMACEUTICALS INC | COM | 867328900 | 191 | 955 | SH | Call | DFND | 1 | 0 | 955 | 0 |
SUNESIS PHARMACEUTICALS INC | COM | 867328700 | 556 | 278,184 | SH | DFND | 1 | 0 | 278,184 | 0 | |
SUPERCONDUCTOR TECHNOLOGIES INC | COM | 867931602 | 533 | 287,948 | SH | DFND | 1 | 0 | 287,948 | 0 | |
SYNERGY PHARMACEUTICALS INC | COM | 871639908 | 915 | 5,382 | SH | Call | DFND | 1 | 0 | 5,382 | 0 |
TILRAY INC | COM | 88688T950 | 15,252 | 1,062 | SH | Put | DFND | 1 | 0 | 1,062 | 0 |
TITAN PHARMACEUTICALS INC | COM | 888314309 | 314 | 1,518,294 | SH | DFND | 1 | 0 | 1,518,294 | 0 | |
TROVAGENE INC | COM | 897238408 | 125 | 153,638 | SH | DFND | 1 | 0 | 153,638 | 0 | |
UNUM THERAPEUTICS INC | COM | 903214104 | 5,577 | 541,420 | SH | DFND | 1 | 0 | 541,420 | 0 | |
VASCULAR BIOGENICS LTD | COM | M96883109 | 3,454 | 2,125,738 | SH | DFND | 1 | 0 | 2,125,738 | 0 | |
VIKING THERAPEUTICS INC | COM | 92686J906 | 941 | 540 | SH | Call | DFND | 1 | 0 | 540 | 0 |
VIKING THERAPEUTICS INC | COM | 92686J106 | 2,848 | 163,463 | SH | DFND | 1 | 0 | 163,463 | 0 | |
VIKING THERAPEUTICS INC | COM | 92686J956 | 6,747 | 3,873 | SH | Put | DFND | 1 | 0 | 3,873 | 0 |
XERIS PARMACEUTICALS INC | COM | 98422L107 | 8,560 | 486,938 | SH | DFND | 1 | 0 | 486,938 | 0 | |
YIELD10 BIOSCIENCE INC | COM | 98585K201 | 68 | 47,740 | SH | DFND | 1 | 0 | 47,740 | 0 | |
ZOGENIX INC | COM | 98978L904 | 13,084 | 2,638 | SH | Call | DFND | 1 | 0 | 2,638 | 0 |
ZOSANO PHARMA CORP | COM | 98979H202 | 12,439 | 250,783 | SH | DFND | 1 | 0 | 250,783 | 0 |