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 |
Air Transport Services Group, | COM | 00922R105 | 29,691 | 1,288,126 | SH | DFND | 338,488 | 949,638 | 0 | ||
Air Transport Services Group, | COM | 00922R105 | 1,268 | 55,000 | SH | Call | DFND | 55,000 | 0 | 0 | |
Allergan PLC | COM | G0177J108 | 30,512 | 208,401 | SH | DFND | 48,206 | 160,195 | 0 | ||
Aquaventure Holdings Limited | COM | G0443N107 | 1,031 | 53,305 | SH | DFND | 0 | 53,305 | 0 | ||
At Home Group Inc. | COM | 04650Y100 | 19,573 | 1,095,933 | SH | DFND | 279,073 | 816,860 | 0 | ||
Avid Technology, Inc. | COM | 05367P100 | 7,150 | 959,764 | SH | DFND | 38,040 | 921,724 | 0 | ||
Cadence Bancorporation | COM | 12739A100 | 10,371 | 559,080 | SH | DFND | 124,741 | 434,339 | 0 | ||
Carrols Restaurant Group, Inc. | COM | 14574X104 | 23,962 | 2,403,385 | SH | DFND | 652,580 | 1,750,805 | 0 | ||
Celanese Corp. | COM | 150870103 | 11,507 | 116,695 | SH | DFND | 17,690 | 99,005 | 0 | ||
Community Financial Corporatio | COM | 20368X101 | 5,364 | 189,089 | SH | DFND | 19,135 | 169,954 | 0 | ||
Dirtt Environmental Solutions | COM | 25490H106 | 34,080 | 5,347,070 | SH | DFND | 1,410,100 | 3,936,970 | 0 | ||
ECN Capital Corporation | COM | 26829L107 | 10,753 | 3,300,765 | SH | DFND | 680,450 | 2,620,315 | 0 | ||
Everi Holdings, Inc. | COM | 30034T103 | 37,588 | 3,573,000 | SH | DFND | 859,546 | 2,713,454 | 0 | ||
Fiesta Restaurant Group, Inc. | COM | 31660B101 | 12,998 | 991,474 | SH | DFND | 247,960 | 743,514 | 0 | ||
First Northwest Bancorp | COM | 335834107 | 11,240 | 721,918 | SH | DFND | 154,743 | 567,175 | 0 | ||
Gildan Activewear, Inc. | COM | 375916103 | 25,084 | 697,349 | SH | DFND | 161,765 | 535,584 | 0 | ||
Hometrust Bancshares Inc. | COM | 437872104 | 12,275 | 487,123 | SH | DFND | 96,364 | 390,759 | 0 | ||
INTL FCStone, Inc. | COM | 46116V105 | 27,450 | 708,206 | SH | DFND | 177,092 | 531,114 | 0 | ||
Information Services Group | COM | 45675Y104 | 17,048 | 4,570,564 | SH | DFND | 1,238,830 | 3,331,734 | 0 | ||
Jefferies Financial Group Inc. | COM | 47233W109 | 22,295 | 1,186,524 | SH | DFND | 305,805 | 880,719 | 0 | ||
KKR & Co. Inc. Cl A | COM | 48251W104 | 40,822 | 1,737,825 | SH | DFND | 433,060 | 1,304,765 | 0 | ||
Lakeland Industries Inc. | COM | 511795106 | 8,374 | 713,265 | SH | DFND | 128,526 | 584,739 | 0 | ||
Motorcar Parts of America, Inc | COM | 620071100 | 30,397 | 1,610,851 | SH | DFND | 412,978 | 1,197,873 | 0 | ||
National Fuel Gas Co. | COM | 636180101 | 15,769 | 258,678 | SH | DFND | 63,475 | 195,203 | 0 | ||
Northrim BanCorp, Inc. | COM | 666762109 | 2,911 | 84,582 | SH | DFND | 13,200 | 71,382 | 0 | ||
OceanFirst Financial Corp. | COM | 675234108 | 7,727 | 321,171 | SH | DFND | 82,199 | 238,972 | 0 | ||
Old National Bancorp | COM | 680033107 | 2,939 | 179,186 | SH | DFND | 30,560 | 148,626 | 0 | ||
Peoples United Financial Inc. | COM | 712704105 | 606 | 36,855 | SH | DFND | 0 | 36,855 | 0 | ||
Pope Resources Limited | COM | 732857107 | 2,384 | 35,854 | SH | DFND | 7,800 | 28,054 | 0 | ||
QuinStreet, Inc. | COM | 74874Q100 | 46,047 | 3,438,915 | SH | DFND | 1,037,808 | 2,401,107 | 0 | ||
Raymond James Financial, Inc. | COM | 754730109 | 12,177 | 151,435 | SH | DFND | 24,125 | 127,310 | 0 | ||
Schwab US Large Cap ETF | COM | 808524201 | 273 | 4,040 | SH | DFND | 0 | 4,040 | 0 | ||
SmartFinancial Inc. | COM | 83190L208 | 6,455 | 341,329 | SH | DFND | 77,340 | 263,989 | 0 | ||
SpartanNash Co. | COM | 847215100 | 18,869 | 1,188,991 | SH | DFND | 288,332 | 900,659 | 0 | ||
Standard & Poor's Depositary R | COM | 78462f103 | 412 | 1,460 | SH | DFND | 0 | 1,460 | 0 | ||
Stoneridge, Inc. | COM | 86183P102 | 13,813 | 478,625 | SH | DFND | 98,425 | 380,200 | 0 | ||
Synovus Financial Corp. | COM | 87161C501 | 6,406 | 186,430 | SH | DFND | 34,975 | 151,455 | 0 | ||
Target Hospitality Corp. | COM | 87615L107 | 9,646 | 1,015,318 | SH | DFND | 178,670 | 836,648 | 0 | ||
Tronox Holdings PLC | COM | G9087Q102 | 36,265 | 2,757,813 | SH | DFND | 698,135 | 2,059,678 | 0 | ||
Universal Health Services, Inc | COM | 913903100 | 13,082 | 97,793 | SH | DFND | 22,962 | 74,831 | 0 | ||
Vista Outdoor Inc. | COM | 928377100 | 325 | 40,544 | SH | DFND | 2,084 | 38,460 | 0 | ||
Visteon Corp. | COM | 92839U206 | 23,475 | 348,552 | SH | DFND | 97,195 | 251,357 | 0 | ||
Zimmer Biomet Holdings, Inc. | COM | 98956P102 | 8,667 | 67,867 | SH | DFND | 12,670 | 55,197 | 0 | ||
iShares Russell 2000 Index | COM | 464287655 | 1,607 | 10,500 | SH | DFND | 10,500 | 0 | 0 | ||
iShares Russell 2000 Index | COM | 464287655 | 383 | 2,500 | SH | Put | DFND | 2,500 | 0 | 0 | |
SPDR DJ Industrial Average ETF | COM | 78467X109 | 259 | 1,000 | SH | DFND | 1,000 | 0 | 0 | ||
SPDR DJ Industrial Average ETF | COM | 78467X109 | 259 | 1,000 | SH | Put | DFND | 1,000 | 0 | 0 |