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 | 27,404 | 1,303,718 | SH | DFND | 378,888 | 924,830 | 0 | ||
At Home Group Inc. | COM | 04650Y100 | 18,088 | 1,880,258 | SH | DFND | 462,253 | 1,418,005 | 0 | ||
At Home Group Inc. | COM | 04650Y100 | 96 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
Carnival Corp. | COM | 143658300 | 245 | 5,600 | SH | Call | DFND | 5,600 | 0 | 0 | |
Carnival Corp. | COM | 143658300 | 245 | 5,600 | SH | Put | DFND | 5,600 | 0 | 0 | |
Carrols Restaurant Group, Inc. | COM | 14574X104 | 23,334 | 2,814,706 | SH | DFND | 703,948 | 2,110,758 | 0 | ||
Celanese Corp. | COM | 150870103 | 10,607 | 86,735 | SH | DFND | 15,555 | 71,180 | 0 | ||
Community Financial Corporatio | COM | 20368X101 | 6,014 | 179,684 | SH | DFND | 19,135 | 160,549 | 0 | ||
Dirtt Environmental Solutions | COM | 25490H106 | 23,514 | 5,202,190 | SH | DFND | 1,306,070 | 3,896,120 | 0 | ||
ECN Capital Corporation | COM | 26829L107 | 28,175 | 8,140,798 | SH | DFND | 1,933,050 | 6,207,748 | 0 | ||
Everi Holdings, Inc. | COM | 30034T103 | 28,913 | 3,417,558 | SH | DFND | 823,431 | 2,594,127 | 0 | ||
Fedex Corp. | COM | 31428X106 | 247 | 1,700 | SH | Call | DFND | 1,700 | 0 | 0 | |
Fedex Corp. | COM | 31428X106 | 247 | 1,700 | SH | Put | DFND | 1,700 | 0 | 0 | |
Fiesta Restaurant Group, Inc. | COM | 31660B101 | 21,006 | 2,015,935 | SH | DFND | 504,648 | 1,511,287 | 0 | ||
First Northwest Bancorp | COM | 335834107 | 13,134 | 758,288 | SH | DFND | 162,037 | 596,251 | 0 | ||
GAP Inc. | COM | 364760108 | 252 | 14,500 | SH | Call | DFND | 14,500 | 0 | 0 | |
GAP Inc. | COM | 364760108 | 252 | 14,500 | SH | Put | DFND | 14,500 | 0 | 0 | |
Gildan Activewear, Inc. | COM | 375916103 | 11,535 | 324,919 | SH | DFND | 66,055 | 258,864 | 0 | ||
Hometrust Bancshares Inc. | COM | 437872104 | 14,132 | 542,068 | SH | DFND | 125,237 | 416,831 | 0 | ||
Information Services Group | COM | 45675Y104 | 15,193 | 6,113,959 | SH | DFND | 1,546,996 | 4,566,963 | 0 | ||
INTL FCStone, Inc. | COM | 46116V105 | 29,487 | 718,152 | SH | DFND | 184,292 | 533,860 | 0 | ||
iShares Russell 2000 Index | COM | 464287655 | 378 | 2,500 | SH | Call | DFND | 2,500 | 0 | 0 | |
iShares Russell 2000 Index | COM | 464287655 | 378 | 2,500 | SH | Put | DFND | 2,500 | 0 | 0 | |
iShares Russell 2000 Index | COM | 464287655 | 1,286 | 8,500 | SH | DFND | 8,500 | 0 | 0 | ||
Jefferies Financial Group Inc. | COM | 47233W109 | 21,724 | 1,180,640 | SH | DFND | 295,805 | 884,835 | 0 | ||
KKR & Co. Inc. Cl A | COM | 48251W104 | 39,712 | 1,479,027 | SH | DFND | 344,805 | 1,134,222 | 0 | ||
Lakeland Industries Inc. | COM | 511795106 | 11,440 | 943,917 | SH | DFND | 196,401 | 747,516 | 0 | ||
Motorcar Parts of America, Inc | COM | 620071100 | 26,714 | 1,580,713 | SH | DFND | 402,578 | 1,178,135 | 0 | ||
National Fuel Gas Co. | COM | 636180101 | 11,229 | 239,313 | SH | DFND | 52,475 | 186,838 | 0 | ||
Northrim BanCorp, Inc. | COM | 666762109 | 3,281 | 82,706 | SH | DFND | 13,200 | 69,506 | 0 | ||
OceanFirst Financial Corp. | COM | 675234108 | 7,376 | 312,534 | SH | DFND | 76,699 | 235,835 | 0 | ||
Old National Bancorp | COM | 680033107 | 2,975 | 172,928 | SH | DFND | 30,560 | 142,368 | 0 | ||
Peoples United Financial Inc. | COM | 712704105 | 528 | 33,740 | SH | DFND | 0 | 33,740 | 0 | ||
Pope Resources Limited | COM | 732857107 | 2,466 | 34,974 | SH | DFND | 7,800 | 27,174 | 0 | ||
QuinStreet, Inc. | COM | 74874Q100 | 45,672 | 3,627,643 | SH | DFND | 1,001,028 | 2,626,615 | 0 | ||
Raymond James Financial, Inc. | COM | 754730109 | 12,091 | 146,629 | SH | DFND | 24,125 | 122,504 | 0 | ||
Safeguard Scientifics, Inc. | COM | 786449207 | 261 | 23,000 | SH | DFND | 23,000 | 0 | 0 | ||
Slack Technologies | COM | 83088V102 | 237 | 10,000 | SH | Call | DFND | 10,000 | 0 | 0 | |
Slack Technologies | COM | 83088V102 | 237 | 10,000 | SH | Put | DFND | 10,000 | 0 | 0 | |
SmartFinancial Inc. | COM | 83190L208 | 10,270 | 493,047 | SH | DFND | 131,805 | 361,242 | 0 | ||
SPDR DJ Industrial Average ETF | COM | 78467X109 | 269 | 1,000 | SH | Put | DFND | 1,000 | 0 | 0 | |
SPDR DJ Industrial Average ETF | COM | 78467X109 | 269 | 1,000 | SH | DFND | 1,000 | 0 | 0 | ||
Stoneridge, Inc. | COM | 86183P102 | 14,297 | 461,648 | SH | DFND | 98,425 | 363,223 | 0 | ||
Synovus Financial Corp. | COM | 87161C501 | 12,828 | 358,717 | SH | DFND | 89,895 | 268,822 | 0 | ||
Target Hospitality Corp. | COM | 87615L107 | 16,561 | 2,431,847 | SH | DFND | 564,859 | 1,866,988 | 0 | ||
Tronox Holdings PLC | COM | G9087Q102 | 25,812 | 3,109,866 | SH | DFND | 751,010 | 2,358,856 | 0 | ||
Visteon Corp. | COM | 92839U206 | 26,573 | 321,941 | SH | DFND | 83,758 | 238,183 | 0 | ||
Zimmer Biomet Holdings, Inc. | COM | 98956P102 | 8,393 | 61,142 | SH | DFND | 10,170 | 50,972 | 0 |