The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
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
AMERI HLDGS INC *W EXP 11/08/202 02362F112 3 99,500 SH   DFND 12,8 99,500 0 0
ANI PHARMACEUTICALS INC NOTE 3.000%12/0 00182CAA1 10,902 9,000,000 PRN   DFND 12,8 0 0 0
APPLIED DNA SCIENCES INC *W EXP 11/21/201 03815U110 0 31,407 SH   DFND 12,8 31,407 0 0
AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 1,060 345,202 SH   DFND 12,8 345,202 0 0
ARCADIA BIOSCIENCES INC COM NEW 039014204 414 134,956 SH   DFND 12,8 134,956 0 0
AURYN RES INC COM 05208W108 29 17,011 SH   DFND 12,8 17,011 0 0
BEASLEY BROADCAST GROUP INC CL A 074014101 316 98,210 SH   DFND 12,8 98,210 0 0
BENITEC BIOPHARMA LTD *W EXP 08/14/202 082053117 1 50,000 SH   DFND 12,8 50,000 0 0
BIONDVAX PHARMACEUTICALS LTD *W EXP 05/15/202 09073Q113 52 72,800 SH   DFND 12,8 72,800 0 0
CALITHERA BIOSCIENCES INC COM 13089P101 3,289 843,234 SH   DFND 12,8 843,234 0 0
CELLECT BIOTECHNOLOGY LTD *W EXP 08/03/202 15116C110 1 12,498 SH   DFND 12,8 12,498 0 0
CELLECTAR BIOSCIENCES INC COM PAR 15117F500 231 106,026 SH   DFND 12,8 106,026 0 0
CHARLES & COLVARD LTD COM 159765106 452 285,854 SH   DFND 12,8 285,854 0 0
CHECK CAP LTD *W EXP 05/03/202 M2361E161 34 136,364 SH   DFND 12,8 136,364 0 0
CHINA JO-JO DRUGSTORES INC COM NEW 16949A206 88 79,634 SH   DFND 12,8 79,634 0 0
CO DIAGNOSTICS INC COM 189763105 90 109,320 SH   DFND 12,8 109,320 0 0
COMSCORE INC COM 20564W105 11,911 2,308,285 SH   DFND 12,8 2,308,285 0 0
CREATIVE REALITIES INC *W EXP 11/09/202 22530J119 6 15,000 SH   DFND 12,8 15,000 0 0
CYTORI THERAPEUTICS INC *W EXP 05/28/202 23283K139 1 259,200 SH   DFND 12,8 259,200 0 0
EKSO BIONICS HLDGS INC COM NEW 282644202 494 388,601 SH   DFND 12,8 388,601 0 0
ELOXX PHARMACEUTICALS INC COM 29014R103 742 74,380 SH   DFND 12,8 74,380 0 0
ENERGY FUELS INC *W EXP 09/20/202 292671179 0 277,777 SH   DFND 12,8 277,777 0 0
EROS INTL PLC SHS NEW G3788M114 195 144,367 SH   DFND 12,8 144,367 0 0
EYEPOINT PHARMACEUTICALS INC COM 30233G100 748 455,810 SH   DFND 12,8 455,810 0 0
FLEXSHOPPER INC *W EXP 09/28/202 33939J113 15 50,000 SH   DFND 12,8 50,000 0 0
GENFIT S A ADS 372279109 2,729 138,185 SH   DFND 12,8 138,185 0 0
HISTOGENICS CORP COM 43358V109 6,541 34,210,547 SH   DFND 12,8 34,210,547 0 0
INSMED INC COM PAR $.01 457669307 374 14,627 SH   DFND 12,8 14,627 0 0
INSPIREMD INC *W EXP 03/14/202 45779A135 1 48,000 SH   DFND 12,8 48,000 0 0
IZEA WORLDWIDE INC COM 46604H105 188 367,386 SH   DFND 12,8 367,386 0 0
KURA ONCOLOGY INC COM 50127T109 1,197 60,800 SH   DFND 12,8 60,800 0 0
LAUREATE EDUCATION INC CL A 518613203 1,913 121,792 SH   DFND 12,8 121,792 0 0
MANNKIND CORP COM NEW 56400P706 17 15,000 SH Put DFND 12,8 0 0 0
MEDICINES CO COM 584688105 4,119 112,950 SH   DFND 12,8 112,950 0 0
MEDIGUS LTD *W EXP 07/23/202 58471G128 14 64,286 SH   DFND 12,8 64,286 0 0
MOTUS GI HLDGS INC COM 62014P108 42 13,774 SH   DFND 12,8 13,774 0 0
MYND ANALYTICS INC *W EXP 06/29/202 62857N111 3 13,700 SH   DFND 12,8 13,700 0 0
ONCONOVA THERAPEUTICS INC *W EXP 07/11/202 68232V116 24 132,227 SH   DFND 12,8 132,227 0 0
ORAGENICS INC COM PAR 684023302 345 703,075 SH   DFND 12,8 703,075 0 0
ORCHARD THERAPEUTICS PLC ADS 68570P101 1,828 130,651 SH   DFND 12,8 130,651 0 0
PHIO PHARMACEUTICALS CORP COM 71880W204 154 406,358 SH   DFND 12,8 406,358 0 0
REGULUS THERAPEUTICS INC COM NEW 75915K200 368 294,631 SH   DFND 12,8 294,631 0 0
SCHOLAR ROCK HLDG CORP COM 80706P103 2,655 167,371 SH   DFND 12,8 167,371 0 0
SEANERGY MARITIME HLDGS CORP *W EXP 11/10/202 Y73760145 24 1,180,400 SH   DFND 12,8 1,180,400 0 0
SENMIAO TECHNOLOGY LTD COM 817225105 1,111 398,302 SH   DFND 12,8 398,302 0 0
SENSEONICS HLDGS INC NOTE 5.250% 2/0 81727UAA3 1,540 1,500,000 PRN   DFND 12,8 0 0 0
SERES THERAPEUTICS INC COM 81750R102 727 225,795 SH   DFND 12,8 225,795 0 0
SESEN BIO INC COM 817763105 12,169 8,112,882 SH   DFND 12,8 8,112,882 0 0
SIGMA LABS INC *W EXP 02/15/202 826598112 64 199,836 SH   DFND 12,8 199,836 0 0
SOLIGENIX INC *W EXP 11/14/202 834223117 1 16,599 SH   DFND 12,8 16,599 0 0
SORRENTO THERAPEUTICS INC COM NEW 83587F202 3,742 1,401,640 SH   DFND 12,8 1,401,640 0 0
TIMKENSTEEL CORP NOTE 6.000% 6/0 887399AA1 10,797 10,455,000 PRN   DFND 12,8 0 0 0
TITAN MED INC COM NEW 88830X819 167 70,748 SH   DFND 12,8 70,748 0 0
URBAN TEA INC ORD SHS G9396G100 166 261,400 SH   DFND 12,8 261,400 0 0
VASCULAR BIOGENICS LTD COM M96883109 1,181 908,770 SH   DFND 12,8 908,770 0 0
VERMILLION INC COM NEW 92407M206 71 79,468 SH   DFND 12,8 79,468 0 0
ZYMEWORKS INC COM 98985W102 373 16,956 SH   DFND 12,8 16,956 0 0