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
ADAMIS PHARMACEUTICALS CORP COM NEW 00547W208 1,214 3,397,916 SH   DFND 12,8 3,397,916 0 0
AMERI HLDGS INC *W EXP 11/08/202 02362F112 1 85,231 SH   DFND 12,8 85,231 0 0
AMYRIS INC COM NEW 03236M200 288 112,639 SH   DFND 12,8 112,639 0 0
ARTELO BIOSCIENCES INC *W EXP 06/25/202 04301G128 4 65,000 SH   DFND 12,8 65,000 0 0
BAUDAX BIO INC COM 07160F107 1,072 432,325 SH   DFND 12,8 432,325 0 0
BELLEROPHON THERAPEUTICS INC COM NEW 078771300 210 19,200 SH   DFND 12,8 19,200 0 0
BENITEC BIOPHARMA LTD *W EXP 08/14/202 082053117 2 50,000 SH   DFND 12,8 50,000 0 0
CEL SCI CORP COM PAR NEW 150837607 198 17,200 SH Put DFND 12,8 0 0 0
CELSION CORPORATION COM PAR NEW 15117N503 1,030 1,139,110 SH   DFND 12,8 1,139,110 0 0
CHECK CAP LTD *W EXP 05/03/202 M2361E161 23 136,364 SH   DFND 12,8 136,364 0 0
CONTANGO OIL & GAS CO COM NEW 21075N204 137 91,120 SH   DFND 12,8 91,120 0 0
CREATIVE REALITIES INC *W EXP 11/09/202 22530J119 1 15,000 SH   DFND 12,8 15,000 0 0
ENERGY FUELS INC *W EXP 09/20/202 292671179 0 277,777 SH   DFND 12,8 277,777 0 0
ENLIVEX THERAPEUTICS LTD COM M4130Y106 1,805 385,621 SH   DFND 12,8 385,621 0 0
EROS INTL PLC SHS NEW G3788M114 794 480,962 SH   DFND 12,8 480,962 0 0
EXICURE INC COM 30205M101 66 44,798 SH   DFND 12,8 44,798 0 0
FARMMI INC SHS G33277107 229 426,387 SH   DFND 12,8 426,387 0 0
INOVIO PHARMACEUTICALS INC NOTE 6.500% 3/0 45773HAB8 2,984 2,000,000 PRN   DFND 12,8 0 0 0
KITOV PHARMA LTD SPONSORED ADS 49803V107 605 1,977,554 SH   DFND 12,8 1,977,554 0 0
MEDIGUS LTD *W EXP 07/23/202 58471G128 1 63,286 SH   DFND 12,8 63,286 0 0
NOVAN INC COM 66988N106 435 2,914,854 SH   DFND 12,8 2,914,854 0 0
PHIO PHARMACEUTICALS CORP COM NEW 71880W303 637 360,094 SH   DFND 12,8 360,094 0 0
PLUS THERAPEUTICS INC *W EXP 05/28/202 72941H111 2 259,200 SH   DFND 12,8 259,200 0 0
POLARITYTE INC COM 731094108 487 451,240 SH   DFND 12,8 451,240 0 0
REGULUS THERAPEUTICS INC COM NEW 75915K200 129 280,152 SH   DFND 12,8 280,152 0 0
REPLIMUNE GROUP INC COM 76029N106 584 58,595 SH   DFND 12,8 58,595 0 0
RESONANT INC COM 76118L102 600 405,274 SH   DFND 12,8 405,274 0 0
SAVARA INC COM 805111101 434 204,666 SH   DFND 12,8 204,666 0 0
SENSEONICS HLDGS INC NOTE 5.250% 2/0 81727UAA3 1,479 1,500,000 PRN   DFND 12,8 0 0 0
SIGMA LABS INC *W EXP 02/15/202 826598112 9 48,100 SH   DFND 12,8 48,100 0 0
SOL GEL TECHNOLOGIES SHS M8694L103 71 10,068 SH   DFND 12,8 10,068 0 0
TETRAPHASE PHARMACEUTICALS I COM NEW 88165N204 266 208,074 SH   DFND 12,8 208,074 0 0
TIMKENSTEEL CORP NOTE 6.000% 6/0 887399AA1 8,429 10,455,000 PRN   DFND 12,8 0 0 0
VASCULAR BIOGENICS LTD COM M96883109 246 181,888 SH   DFND 12,8 181,888 0 0
VERASTEM INC COM 92337C104 614 232,559 SH   DFND 12,8 232,559 0 0
VERB TECHNOLOGY CO INC *W EXP 03/14/202 92337U112 67 240,000 SH   DFND 12,8 240,000 0 0
YUNHONG INTL UNIT 99/99/9999 G98882114 3,325 350,000 SH   DFND 12,8 350,000 0 0