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 |
ACKRELL SPAC PARTNERS I CO | UNIT 12/01/2026 | 00461L204 | 1,544 | 150,000 | SH | DFND | 150,000 | 0 | 0 | ||
ACLARIS THERAPEUTICS INC | COM | 00461U105 | 299 | 46,168 | SH | DFND | 46,168 | 0 | 0 | ||
ADICET BIO INC | COM | 007002108 | 362 | 25,744 | SH | DFND | 25,744 | 0 | 0 | ||
ADIENT PLC | ORD SHS | G0084W101 | 41,849 | 1,203,588 | SH | DFND | 1,203,588 | 0 | 0 | ||
ADMA BIOLOGICS INC | COM | 000899104 | 3,900 | 2,000,000 | SH | DFND | 2,000,000 | 0 | 0 | ||
AFFIMED NV | COM | N01045108 | 24,966 | 4,289,712 | SH | DFND | 4,289,712 | 0 | 0 | ||
ALDEYRA THERAPEUTICS INC | COM | 01438T106 | 1,487 | 216,818 | SH | DFND | 216,818 | 0 | 0 | ||
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 13,646 | 105,000 | SH | DFND | 105,000 | 0 | 0 | ||
ALPINE IMMUNE SCIENCES INC | COM | 02083G100 | 296 | 23,493 | SH | DFND | 23,493 | 0 | 0 | ||
ALTIMMUNE INC | COM NEW | 02155H200 | 369 | 32,678 | SH | DFND | 32,678 | 0 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 18,608 | 453,860 | SH | DFND | 453,860 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 39,083 | 12,000 | SH | DFND | 12,000 | 0 | 0 | ||
AMCI ACQUISITION CORP | *W EXP 05/20/202 | 00165R119 | 676 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
AMERICAN VRTUAL CLOUD TECH I | COM | 030382105 | 314 | 43,590 | SH | DFND | 43,590 | 0 | 0 | ||
AMERICAS TECHNOLOGY ACQSN CO | UNIT 99/99/9999 | G0404A128 | 1,542 | 150,000 | SH | DFND | 150,000 | 0 | 0 | ||
ANGI HOMESERVICES INC | COM CL A | 00183L102 | 30,019 | 2,275,000 | SH | DFND | 2,275,000 | 0 | 0 | ||
APPLIED GENETIC TECHNOLOGIES | COM | 03820J100 | 716 | 175,000 | SH | DFND | 175,000 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 5,111 | 1,166,887 | SH | DFND | 1,166,887 | 0 | 0 | ||
AQUABOUNTY TECHNOLOGIES INC | COM NEW | 03842K200 | 342 | 39,045 | SH | DFND | 39,045 | 0 | 0 | ||
ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 355 | 99,925 | SH | DFND | 99,925 | 0 | 0 | ||
ARCIMOTO INC | COM | 039587100 | 324 | 24,492 | SH | DFND | 24,492 | 0 | 0 | ||
ARDELYX INC | COM | 039697107 | 15,011 | 2,320,000 | SH | DFND | 2,320,000 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | COM CL A | G3166W106 | 4,340 | 400,000 | SH | DFND | 400,000 | 0 | 0 | ||
AT HOME GROUP INC | COM | 04650Y100 | 9,442 | 610,793 | SH | DFND | 610,793 | 0 | 0 | ||
ATARA BIOTHERAPEUTICS INC | COM | 046513107 | 4,335 | 220,848 | SH | DFND | 220,848 | 0 | 0 | ||
AUDIOEYE INC | COM NEW | 050734201 | 345 | 13,340 | SH | DFND | 13,340 | 0 | 0 | ||
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 349 | 10,226 | SH | DFND | 10,226 | 0 | 0 | ||
BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 351 | 99,925 | SH | DFND | 99,925 | 0 | 0 | ||
BARNES & NOBLE ED INC | COM | 06777U101 | 296 | 63,680 | SH | DFND | 63,680 | 0 | 0 | ||
BARRICK GOLD CORP | COM | 067901108 | 12,790 | 561,477 | SH | DFND | 561,477 | 0 | 0 | ||
BASSETT FURNITURE INDS INC | COM | 070203104 | 356 | 17,711 | SH | DFND | 17,711 | 0 | 0 | ||
BCLS ACQUISITION CORP | COM CL A | G0904B105 | 223 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
BEAM GLOBAL | COM | 07373B109 | 406 | 5,497 | SH | DFND | 5,497 | 0 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 11,594 | 50,000 | SH | Put | DFND | 50,000 | 0 | 0 | |
BETTER WORLD ACQUISITION COR | UNIT 11/15/2027 | 08772B203 | 3,315 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
BLINK CHARGING CO | COM | 09354A100 | 331 | 7,734 | SH | DFND | 7,734 | 0 | 0 | ||
BLUELINX HLDGS INC | COM NEW | 09624H208 | 356 | 12,156 | SH | DFND | 12,156 | 0 | 0 | ||
BONANZA CREEK ENERGY INC | COM NEW | 097793400 | 242 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
BRAEMAR HOTELS & RESORTS INC | COM | 10482B101 | 302 | 65,428 | SH | DFND | 65,428 | 0 | 0 | ||
BROOGE ENERGY LTD | *W EXP 12/20/202 | G1611B115 | 199 | 321,684 | SH | DFND | 321,684 | 0 | 0 | ||
CALIFORNIA RES CORP | COMMON STOCK | 13057Q305 | 383 | 16,218 | SH | DFND | 16,218 | 0 | 0 | ||
CAPITAL ONE FINL CORP | COM | 14040H105 | 48,596 | 491,617 | SH | DFND | 491,617 | 0 | 0 | ||
CARDLYTICS INC | COM | 14161W105 | 94,228 | 659,997 | SH | DFND | 659,997 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 161,690 | 675,000 | SH | DFND | 675,000 | 0 | 0 | ||
CELLDEX THERAPEUTICS INC NEW | COM NEW | 15117B202 | 363 | 20,727 | SH | DFND | 20,727 | 0 | 0 | ||
CELLECTAR BIOSCIENCES INC | COM PAR | 15117F500 | 1,926 | 925,925 | SH | DFND | 925,925 | 0 | 0 | ||
CELLECTIS S A | SPON ADS | 15117K103 | 5,829 | 215,386 | SH | DFND | 215,386 | 0 | 0 | ||
CENTRUS ENERGY CORP | CL A | 15643U104 | 318 | 13,750 | SH | DFND | 13,750 | 0 | 0 | ||
CHIMERIX INC | COM | 16934W106 | 1,594 | 330,061 | SH | DFND | 330,061 | 0 | 0 | ||
CIMPRESS PLC | SHS EURO | G2143T103 | 7,681 | 87,536 | SH | DFND | 87,536 | 0 | 0 | ||
CLEARPOINT NEURO INC | COM | 18507C103 | 329 | 20,690 | SH | DFND | 20,690 | 0 | 0 | ||
CLENE INC | *W EXP 11/07/202 | 185634110 | 95 | 475,090 | SH | DFND | 475,090 | 0 | 0 | ||
CLEVER LEAVES HOLDINGS INC | *W EXP 12/18/202 | 186760112 | 398 | 258,424 | SH | DFND | 258,424 | 0 | 0 | ||
CM LIFE SCIENCES INC | *W EXP 09/04/202 | 18978W117 | 683 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
CM LIFE SCIENCES INC | COM CL A | 18978W109 | 8,280 | 750,000 | SH | DFND | 750,000 | 0 | 0 | ||
COMMERCIAL VEH GROUP INC | COM | 202608105 | 339 | 39,214 | SH | DFND | 39,214 | 0 | 0 | ||
CONCORD ACQUISITION CORP | UNIT 12/28/2025 | 206071201 | 10,310 | 1,000,000 | SH | DFND | 1,000,000 | 0 | 0 | ||
CONTRAFECT CORP | COM NEW | 212326300 | 3,030 | 600,000 | SH | DFND | 600,000 | 0 | 0 | ||
CONTURA ENERGY INC | COM | 21241B100 | 253 | 22,227 | SH | DFND | 22,227 | 0 | 0 | ||
CRESUD S A C I F Y A | SPONSORED ADR | 226406106 | 6,606 | 1,379,039 | SH | DFND | 1,379,039 | 0 | 0 | ||
CTI BIOPHARMA CORP | COM | 12648L601 | 355 | 110,251 | SH | DFND | 110,251 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 4,003 | 320,000 | SH | DFND | 320,000 | 0 | 0 | ||
CULP INC | COM | 230215105 | 377 | 23,785 | SH | DFND | 23,785 | 0 | 0 | ||
CUMULUS MEDIA INC | COM CL A | 231082801 | 363 | 41,645 | SH | DFND | 41,645 | 0 | 0 | ||
CURO GROUP HOLDINGS CORP | COM | 23131L107 | 2,596 | 181,164 | SH | DFND | 181,164 | 0 | 0 | ||
DD3 ACQUISITION CORP II | UNIT 99/99/9999 | 23318M209 | 2,625 | 250,000 | SH | DFND | 250,000 | 0 | 0 | ||
DHT HOLDINGS INC | SHS NEW | Y2065G121 | 8,452 | 1,616,100 | SH | DFND | 1,616,100 | 0 | 0 | ||
DIAGEO PLC | SPON ADR NEW | 25243Q205 | 34,271 | 215,800 | SH | DFND | 215,800 | 0 | 0 | ||
DIAMOND S SHIPPING INC | COM | Y20676105 | 1,399 | 210,000 | SH | DFND | 210,000 | 0 | 0 | ||
DIANA SHIPPING INC | COM | Y2066G104 | 180 | 93,229 | SH | DFND | 93,229 | 0 | 0 | ||
DIRTT ENVIRONMENTAL SOLUTION | COM | 25490H106 | 18,239 | 7,465,024 | SH | DFND | 7,465,024 | 0 | 0 | ||
DRIVE SHACK INC | COM | 262077100 | 220 | 92,431 | SH | DFND | 92,431 | 0 | 0 | ||
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 32,982 | 2,683,600 | SH | DFND | 2,683,600 | 0 | 0 | ||
ENERGY RECOVERY INC | COM | 29270J100 | 7,093 | 520,000 | SH | DFND | 520,000 | 0 | 0 | ||
ENOVA INTL INC | COM | 29357K103 | 75,524 | 3,049,000 | SH | DFND | 3,049,000 | 0 | 0 | ||
EUCRATES BIOMEDICAL ACQU COR | UNIT 10/23/2027 ADDED | G3141W114 | 6,396 | 600,000 | SH | DFND | 600,000 | 0 | 0 | ||
EURONAV NV | SHS | B38564108 | 5,096 | 637,000 | SH | DFND | 637,000 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 11,366 | 125,000 | SH | DFND | 125,000 | 0 | 0 | ||
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 8,269 | 1,110,000 | SH | DFND | 1,110,000 | 0 | 0 | ||
FIRSTENERGY CORP | COM | 337932107 | 104,579 | 3,416,488 | SH | DFND | 3,416,488 | 0 | 0 | ||
FISKER INC | *W EXP 12/01/202 | 33813J114 | 1,132 | 230,000 | SH | DFND | 230,000 | 0 | 0 | ||
FLEXSTEEL INDS INC | COM | 339382103 | 373 | 10,668 | SH | DFND | 10,668 | 0 | 0 | ||
FORTE BIOSCIENCES INC | COM | 34962G109 | 1,661 | 45,614 | SH | DFND | 45,614 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 635 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
FRONTLINE LTD | SHS NEW | G3682E192 | 441 | 70,979 | SH | DFND | 70,979 | 0 | 0 | ||
FUSION FUEL GREEN PLC | *W EXP 07/01/202 | G3R25D100 | 67 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
GENCO SHIPPING & TRADING LTD | SHS | Y2685T131 | 1,328 | 180,496 | SH | DFND | 180,496 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 154,068 | 3,700,000 | SH | Call | DFND | 3,700,000 | 0 | 0 | |
GLOBALSTAR INC | COM | 378973408 | 4,009 | 11,838,836 | SH | DFND | 11,838,836 | 0 | 0 | ||
GLOBALSTAR INC | NOTE 5.750% 4/0 | 378973AD3 | 371 | 525,342 | PRN | DFND | 525,342 | 0 | 0 | ||
GLOBIS ACQUISITION CORP | UNIT 11/01/2025 | 379582208 | 3,084 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
GLRY STR NW MDIA GRUP HLDG L | *W EXP 02/13/202 | G39973113 | 18 | 225,000 | SH | DFND | 225,000 | 0 | 0 | ||
GOLAR LNG PARTNERS LP | COM UNIT LPI | Y2745C102 | 2,487 | 963,969 | SH | DFND | 963,969 | 0 | 0 | ||
GREIF INC | CL B | 397624206 | 576 | 11,910 | SH | DFND | 11,910 | 0 | 0 | ||
GSX TECHEDU INC | SPONSORED ADS | 36257Y109 | 24,304 | 470,000 | SH | Put | DFND | 470,000 | 0 | 0 | |
HEALTH SCIENCES ACQ CORP 2 | ORD SHS | G4411D109 | 128 | 10,000 | SH | DFND | 10,000 | 0 | 0 | ||
HELIX ACQUISITION CORP | COM CL A | G4444C102 | 1,706 | 150,000 | SH | DFND | 150,000 | 0 | 0 | ||
HORIZON GLOBAL CORP | COM | 44052W104 | 366 | 42,624 | SH | DFND | 42,624 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 4,007 | 2,520,000 | SH | DFND | 2,520,000 | 0 | 0 | ||
HOVNANIAN ENTERPRISES INC | CL A NEW | 442487401 | 337 | 10,249 | SH | DFND | 10,249 | 0 | 0 | ||
HYCROFT MINING HOLDING CORP | COM CL A | 44862P109 | 1,130 | 143,925 | SH | DFND | 143,925 | 0 | 0 | ||
HYCROFT MINING HOLDING CORP | *W EXP 02/12/202 | 44862P117 | 2,840 | 2,000,000 | SH | DFND | 2,000,000 | 0 | 0 | ||
IAC INTERACTIVECORP NEW | COM | 44891N109 | 63,527 | 335,500 | SH | DFND | 335,500 | 0 | 0 | ||
IAMGOLD CORP | COM | 450913108 | 1,101 | 300,000 | SH | DFND | 300,000 | 0 | 0 | ||
IDERA PHARMACEUTICALS INC | COM PAR | 45168K405 | 325 | 88,470 | SH | DFND | 88,470 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 11,762 | 1,090,000 | SH | DFND | 1,090,000 | 0 | 0 | ||
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 1,440 | 500,000 | SH | DFND | 500,000 | 0 | 0 | ||
INFRA AND ENERGY ALTRNTIVE I | COM | 45686J104 | 330 | 19,908 | SH | DFND | 19,908 | 0 | 0 | ||
INNOVIVA INC | COM | 45781M101 | 1,684 | 135,886 | SH | DFND | 135,886 | 0 | 0 | ||
INSPIRED ENTMT INC | COM | 45782N108 | 6,376 | 969,081 | SH | DFND | 969,081 | 0 | 0 | ||
INTL GNRL INSURANCE HLDNGS L | *W EXP 03/17/202 | G4809J114 | 356 | 450,000 | SH | DFND | 450,000 | 0 | 0 | ||
IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 4,640 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
IRSA INVERSIONES Y REP S A | GLOBL DEP RCPT | 450047204 | 4,492 | 996,023 | SH | DFND | 996,023 | 0 | 0 | ||
IRSA PROPIEDADES COMERCIALES | SPONSORED ADR | 463588103 | 4,523 | 493,183 | SH | DFND | 493,183 | 0 | 0 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 34,773 | 300,000 | SH | Put | DFND | 300,000 | 0 | 0 | |
JIYA ACQUISITION CORP | COM CL A | 47760M102 | 2,060 | 200,000 | SH | DFND | 200,000 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 4,447 | 35,000 | SH | DFND | 35,000 | 0 | 0 | ||
KADMON HLDGS INC | COM | 48283N106 | 706 | 170,000 | SH | DFND | 170,000 | 0 | 0 | ||
KAIXIN AUTO HLDGS | SHS | G5223X100 | 75 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
KROGER CO | COM | 501044101 | 3,176 | 100,000 | SH | Call | DFND | 100,000 | 0 | 0 | |
LARIMAR THERAPEUTICS INC | COM | 517125100 | 4,713 | 220,136 | SH | DFND | 220,136 | 0 | 0 | ||
LEAP THERAPEUTICS INC | COM | 52187K101 | 452 | 200,766 | SH | DFND | 200,766 | 0 | 0 | ||
LEISURE ACQUISITION CORP | *W EXP 99/99/999 | 52539T115 | 99 | 125,000 | SH | DFND | 125,000 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 250 | 38,435 | SH | DFND | 38,435 | 0 | 0 | ||
LMP AUTOMOTIVE HLDGS INC | COM | 53952P101 | 333 | 13,316 | SH | DFND | 13,316 | 0 | 0 | ||
LUMOS PHARMA INC | COM | 55028X109 | 375 | 10,510 | SH | DFND | 10,510 | 0 | 0 | ||
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 72,877 | 1,717,202 | SH | DFND | 1,717,202 | 0 | 0 | ||
MAIDEN HOLDINGS LTD | SHS | G5753U112 | 18,974 | 7,620,000 | SH | DFND | 7,620,000 | 0 | 0 | ||
MAMMOTH ENERGY SVCS INC | COM | 56155L108 | 290 | 65,166 | SH | DFND | 65,166 | 0 | 0 | ||
MARATHON PATENT GROUP INC | COM | 56585W401 | 262 | 25,089 | SH | DFND | 25,089 | 0 | 0 | ||
MARINUS PHARMACEUTICALS INC | COM NEW | 56854Q200 | 22,218 | 1,821,149 | SH | DFND | 1,821,149 | 0 | 0 | ||
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 1,019 | 351,365 | SH | DFND | 351,365 | 0 | 0 | ||
MEIRAGTX HLDGS PLC | COM | G59665102 | 15,690 | 1,036,322 | SH | DFND | 1,036,322 | 0 | 0 | ||
MOHAWK GROUP HLDGS INC | COM | 608189106 | 343 | 19,941 | SH | DFND | 19,941 | 0 | 0 | ||
MUDRICK CAPITAL ACQU CORP II | UNIT 99/99/9999 | 62477L206 | 20,620 | 2,000,000 | SH | DFND | 2,000,000 | 0 | 0 | ||
MULTIPLAN CORPORATION | *W EXP 02/13/202 | 62548M118 | 243 | 161,700 | SH | DFND | 161,700 | 0 | 0 | ||
MUSTANG BIO INC | COM | 62818Q104 | 1,741 | 460,000 | SH | DFND | 460,000 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 1,013 | 698,895 | SH | DFND | 698,895 | 0 | 0 | ||
NAVIOS MARITIME CONTAINERS L | COM UNIT RP LP | Y62151108 | 9,163 | 2,235,000 | SH | DFND | 2,235,000 | 0 | 0 | ||
NEURONETICS INC | COM | 64131A105 | 275 | 24,713 | SH | DFND | 24,713 | 0 | 0 | ||
NIKOLA CORP | COM | 654110105 | 2,830 | 185,500 | SH | Call | DFND | 185,500 | 0 | 0 | |
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 195 | 14,400 | SH | DFND | 14,400 | 0 | 0 | ||
ONCOSEC MED INC | COM | 68234L306 | 801 | 124,191 | SH | DFND | 124,191 | 0 | 0 | ||
ONCTERNAL THERAPEUTICS INC | COM | 68236P107 | 3,572 | 728,890 | SH | DFND | 728,890 | 0 | 0 | ||
OTONOMY INC | COM | 68906L105 | 6,212 | 960,054 | SH | DFND | 960,054 | 0 | 0 | ||
PALANTIR TECHNOLOGIES INC | CL A | 69608A108 | 1,178 | 50,000 | SH | Call | DFND | 50,000 | 0 | 0 | |
PANACEA ACQUISITION CORP | *W EXP 07/07/202 | 698102118 | 2,641 | 825,323 | SH | DFND | 825,323 | 0 | 0 | ||
PANACEA ACQUISITION CORP | CL A | 698102100 | 7,644 | 653,300 | SH | DFND | 653,300 | 0 | 0 | ||
PAYA HOLDINGS INC | *W EXP 10/16/202 | 70434P111 | 410 | 114,000 | SH | DFND | 114,000 | 0 | 0 | ||
PBF LOGISTICS LP | UNIT LTD PTNR | 69318Q104 | 143 | 15,663 | SH | DFND | 15,663 | 0 | 0 | ||
PENN VA CORP | COM | 70788V102 | 7,308 | 720,000 | SH | DFND | 720,000 | 0 | 0 | ||
PG&E CORP | COM | 69331C108 | 16,030 | 1,286,529 | SH | DFND | 1,286,529 | 0 | 0 | ||
PG&E CORP | COM | 69331C108 | 1,193 | 95,800 | SH | Call | DFND | 95,800 | 0 | 0 | |
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 225 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
PLX PHARMA INC | COM | 72942A107 | 166 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
PORCH GROUP INC | COM | 733245104 | 1,427 | 100,000 | SH | DFND | 100,000 | 0 | 0 | ||
POSTAL REALTY TRUST INC | CL A | 73757R102 | 374 | 22,185 | SH | DFND | 22,185 | 0 | 0 | ||
PROG HOLDINGS INC | COM NPV | 74319R101 | 21,076 | 391,239 | SH | DFND | 391,239 | 0 | 0 | ||
PROSHARES TR II | ULTA BLMBG 2017 | 74347Y888 | 7,254 | 200,000 | SH | Put | DFND | 200,000 | 0 | 0 | |
PROVENTION BIO INC | COM | 74374N102 | 14,557 | 859,314 | SH | DFND | 859,314 | 0 | 0 | ||
QUANTUMSCAPE CORP | COM CL A | 74767V109 | 106,614 | 1,262,400 | SH | Put | DFND | 1,262,400 | 0 | 0 | |
QUANTUMSCAPE CORP | *W EXP 11/25/202 | 74767V117 | 35,432 | 932,417 | SH | DFND | 932,417 | 0 | 0 | ||
REKOR SYSTEMS INC | COM | 759419104 | 365 | 45,284 | SH | DFND | 45,284 | 0 | 0 | ||
REMARK HLDGS INC | COM | 75955K102 | 258 | 136,031 | SH | DFND | 136,031 | 0 | 0 | ||
REZOLUTE INC | COM NEW | 76200L309 | 480 | 40,000 | SH | DFND | 40,000 | 0 | 0 | ||
RIOT BLOCKCHAIN INC | COM | 767292105 | 357 | 21,015 | SH | DFND | 21,015 | 0 | 0 | ||
ROTH CH ACQUISITION I CO | *W EXP 01/28/202 | 778675116 | 611 | 138,750 | SH | DFND | 138,750 | 0 | 0 | ||
ROTH CH ACQUISITION I CO | COM | 778675108 | 2,984 | 185,000 | SH | DFND | 185,000 | 0 | 0 | ||
ROTH CH ACQUISITION II CO | UNIT 12/11/2025 | 778673202 | 1,560 | 150,000 | SH | DFND | 150,000 | 0 | 0 | ||
SARISSA CAPITAL ACQUISITN CO | UNIT 10/23/2027 | G7823W128 | 12,780 | 1,200,000 | SH | DFND | 1,200,000 | 0 | 0 | ||
SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 368 | 51,451 | SH | DFND | 51,451 | 0 | 0 | ||
SELECTA BIOSCIENCES INC | COM | 816212104 | 2,165 | 714,619 | SH | DFND | 714,619 | 0 | 0 | ||
SHARPSPRING INC | COM | 820054104 | 354 | 21,733 | SH | DFND | 21,733 | 0 | 0 | ||
SIERRA ONCOLOGY INC | COM NEW | 82640U404 | 2,247 | 140,156 | SH | DFND | 140,156 | 0 | 0 | ||
SMILEDIRECTCLUB INC | CL A COM | 83192H106 | 17,549 | 1,469,786 | SH | DFND | 1,469,786 | 0 | 0 | ||
SQZ BIOTECHNOLOGIES CO | COM | 78472W104 | 13,510 | 466,176 | SH | DFND | 466,176 | 0 | 0 | ||
STABLE RD ACQUISITION CORP | COM CL A | 85236Q109 | 15,438 | 859,592 | SH | DFND | 859,592 | 0 | 0 | ||
STABLE RD ACQUISITION CORP | COM CL A | 85236Q109 | 15,801 | 879,800 | SH | Put | DFND | 879,800 | 0 | 0 | |
STABLE RD ACQUISITION CORP | *W EXP 05/15/202 | 85236Q117 | 546 | 103,300 | SH | DFND | 103,300 | 0 | 0 | ||
STRATTEC SEC CORP | COM | 863111100 | 377 | 7,628 | SH | DFND | 7,628 | 0 | 0 | ||
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 3,876 | 1,595,082 | SH | DFND | 1,595,082 | 0 | 0 | ||
SURFACE ONCOLOGY INC | COM | 86877M209 | 346 | 37,433 | SH | DFND | 37,433 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 21,982 | 988,406 | SH | DFND | 988,406 | 0 | 0 | ||
TEEKAY TANKERS LTD | CL A | Y8565N300 | 970 | 88,124 | SH | DFND | 88,124 | 0 | 0 | ||
TESLA INC | COM | 88160R101 | 17,642 | 25,000 | SH | Call | DFND | 25,000 | 0 | 0 | |
TESLA INC | COM | 88160R101 | 148,191 | 210,000 | SH | Put | DFND | 210,000 | 0 | 0 | |
TFF PHARMACEUTICALS INC | COM | 87241J104 | 2,034 | 142,024 | SH | DFND | 142,024 | 0 | 0 | ||
TG THERAPEUTICS INC | COM | 88322Q108 | 20,719 | 398,271 | SH | DFND | 398,271 | 0 | 0 | ||
TITAN INTL INC ILL | COM | 88830M102 | 361 | 74,329 | SH | DFND | 74,329 | 0 | 0 | ||
TRACON PHARMACEUTICALS INC | COM NEW | 89237H209 | 878 | 75,000 | SH | DFND | 75,000 | 0 | 0 | ||
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 343 | 10,529 | SH | DFND | 10,529 | 0 | 0 | ||
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 3,597 | 1,570,899 | SH | DFND | 1,570,899 | 0 | 0 | ||
TRITERRAS INC | *W EXP 02/02/202 | G9103H110 | 311 | 140,000 | SH | DFND | 140,000 | 0 | 0 | ||
UCOMMUNE INTERNATIONAL LTD | *W EXP 11/17/202 | G9449A118 | 13 | 50,000 | SH | DFND | 50,000 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 17,343 | 480,000 | SH | DFND | 480,000 | 0 | 0 | ||
US ECOLOGY INC | *W EXP 10/17/202 | 91734M111 | 726 | 105,350 | SH | DFND | 105,350 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 7,356 | 150,000 | SH | Call | DFND | 150,000 | 0 | 0 | |
VENTAS INC | COM | 92276F100 | 7,356 | 150,000 | SH | Put | DFND | 150,000 | 0 | 0 | |
VONTIER CORPORATION | COM | 928881101 | 8,307 | 248,716 | SH | DFND | 248,716 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 361 | 39,729 | SH | DFND | 39,729 | 0 | 0 | ||
VYNE THERAPEUTICS INC | COM NEW | 92941V100 | 9,431 | 5,968,957 | SH | DFND | 5,968,957 | 0 | 0 | ||
WARRIOR MET COAL INC | COM | 93627C101 | 3,838 | 180,000 | SH | DFND | 180,000 | 0 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 31,689 | 1,050,000 | SH | DFND | 1,050,000 | 0 | 0 | ||
WORLD ACCEP CORP DEL | COM | 981419104 | 1,881 | 18,400 | SH | DFND | 18,400 | 0 | 0 | ||
XERIS PHARMACEUTICALS INC | NOTE 5.000% 7/1 | 98422LAA5 | 14,094 | 8,100,000 | PRN | DFND | 8,100,000 | 0 | 0 | ||
XERIS PHARMACEUTICALS INC | COM | 98422L107 | 877 | 178,200 | SH | DFND | 178,200 | 0 | 0 | ||
YRC WORLDWIDE INC | COM PAR $.01 | 984249607 | 346 | 78,174 | SH | DFND | 78,174 | 0 | 0 | ||
ZILLOW GROUP INC | CL A | 98954M101 | 12,235 | 90,000 | SH | DFND | 90,000 | 0 | 0 | ||
ZOGENIX INC | COM NEW | 98978L204 | 2,299 | 115,000 | SH | DFND | 115,000 | 0 | 0 |