The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| Allison Transmission Holdings, Inc. | COM | 01973R101 | 919 | 22,500 | SH | DFND | 1 | 0 | 22,500 | 0 | |
| Alphabet Inc. | CAP STK CL A | 02079K305 | 6,806 | 3,300 | SH | DFND | 1 | 0 | 3,300 | 0 | |
| Alphabet Inc. | CAP STK CL A | 02079K305 | 6,188 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
| Amazon.Com Inc. | COM | 023135106 | 10,829 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
| Amerant Bancorp Inc. | COM | 023576101 | 5,237 | 281,996 | SH | DFND | 1 | 0 | 281,996 | 0 | |
| Amerant Bancorp Inc. B Shares | COM | 023576200 | 2,749 | 167,083 | SH | DFND | 1 | 0 | 167,083 | 0 | |
| Anterix Inc | COM | 03676C100 | 26,457 | 561,000 | SH | DFND | 1 | 0 | 561,000 | 0 | |
| Atlantic Capital Bancshares | COM | 048269203 | 22,897 | 950,093 | SH | DFND | 1 | 0 | 950,093 | 0 | |
| BCB Bancorp, Inc. | COM | 055298103 | 14,087 | 1,020,808 | SH | DFND | 1 | 0 | 1,020,808 | 0 | |
| BKF Capital Group, Inc. | COM | 05548G201 | 353 | 29,380 | SH | DFND | 1 | 0 | 29,380 | 0 | |
| BRT Realty Trust | COM | 055645303 | 746 | 44,317 | SH | DFND | 1 | 0 | 44,317 | 0 | |
| Baker Hughes Company | COM | 05722G100 | 108 | 5,000 | SH | SOLE | 0 | 5,000 | 0 | 0 | |
| The Bancorp Bank | COM | 05969A105 | 8,443 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
| Banc of California, Inc. | COM | 05990K106 | 20,548 | 1,136,532 | SH | DFND | 1 | 0 | 1,136,532 | 0 | |
| Bank of America Corporation | COM | 060505104 | 155 | 4,000 | SH | SOLE | 0 | 4,000 | 0 | 0 | |
| Bank of San Francisco | COM | 064774102 | 2,495 | 102,687 | SH | DFND | 1 | 0 | 102,687 | 0 | |
| Bausch Health Companies Inc. | COM | 071734107 | 3,888 | 122,500 | SH | DFND | 1 | 0 | 122,500 | 0 | |
| Blackberry Limited | COM | 09228F103 | 13,328 | 1,581,000 | SH | DFND | 1 | 0 | 1,581,000 | 0 | |
| Blackberry Limited | COM | 09228F103 | 531 | 63,000 | SH | SOLE | 0 | 63,000 | 0 | 0 | |
| CIBL, Inc. | COM | 12543Y104 | 376 | 215 | SH | DFND | 1 | 0 | 215 | 0 | |
| CIT Group Inc. | COM NEW | 125581801 | 32,740 | 635,600 | SH | DFND | 1 | 0 | 635,600 | 0 | |
| CIT Group Inc. | COM NEW | 125581801 | 515 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
| CM Life Sciences II | UNIT 02/25/2028 | 125842203 | 3,840 | 300,000 | SH | DFND | 1 | 0 | 300,000 | 0 | |
| Camden Property Trust | SH BEN INT | 133131102 | 2,198 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| Carbon Energy Corp | COM | 14115T208 | 137 | 52,778 | SH | DFND | 1 | 0 | 52,778 | 0 | |
| Carter Bankshares | COM | 146103106 | 2,211 | 158,400 | SH | DFND | 1 | 0 | 158,400 | 0 | |
| Constellation Brands | CL A | 21036P108 | 798 | 3,500 | SH | DFND | 1 | 0 | 3,500 | 0 | |
| Continental Resources Inc. | COM | 212015101 | 776 | 30,000 | SH | SOLE | 0 | 30,000 | 0 | 0 | |
| Crimson Wine Group Ltd. | COM | 22662X100 | 7,598 | 1,142,600 | SH | DFND | 1 | 0 | 1,142,600 | 0 | |
| Crown Holdings, Inc. | COM | 228368106 | 970 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| Devon Energy Corp. New | COM | 25179M103 | 743 | 34,000 | SH | SOLE | 0 | 34,000 | 0 | 0 | |
| Dolby Laboratories Inc. | COM CL A | 25659T107 | 23,446 | 237,500 | SH | DFND | 1 | 0 | 237,500 | 0 | |
| Dolby Laboratories Inc. | COM CL A | 25659T107 | 321 | 3,255 | SH | SOLE | 0 | 3,255 | 0 | 0 | |
| Dow Inc. | COM | 260557103 | 1,292 | 20,212 | SH | SOLE | 0 | 20,212 | 0 | 0 | |
| Du Pont E I De Nemours & Co | COM | 26614N102 | 1,562 | 20,212 | SH | SOLE | 0 | 20,212 | 0 | 0 | |
| Edgewell Personal Care Company | COM | 28035Q102 | 1,953 | 49,307 | SH | DFND | 1 | 0 | 49,307 | 0 | |
| eHealth, Inc. | COM | 28238P109 | 3,637 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| Equity Residential | SH BEN INT | 29476L107 | 2,149 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| ES Bancshares, Inc | COM | 296049109 | 3,061 | 658,183 | SH | DFND | 1 | 0 | 658,183 | 0 | |
| Exxon Mobil Corp. | COM | 30231G102 | 614 | 11,000 | SH | SOLE | 0 | 11,000 | 0 | 0 | |
| FFBW Inc. | COM | 30260M103 | 3,296 | 293,022 | SH | DFND | 1 | 0 | 293,022 | 0 | |
| Facebook Inc. | COM | 30303M102 | 3,062 | 10,395 | SH | SOLE | 0 | 10,395 | 0 | 0 | |
| Falcon Capital Acquisition Corp | COM CL A | 30606L108 | 798 | 80,000 | SH | DFND | 1 | 0 | 80,000 | 0 | |
| Falcon Capital Acquisition Warrant 8/20/27 | *W EXP 08/20/202 | 30606L116 | 41 | 26,666 | SH | DFND | 1 | 0 | 26,666 | 0 | |
| Farmers & Merchants Bank | COM | 308243104 | 1,569 | 203 | SH | SOLE | 0 | 203 | 0 | 0 | |
| Federal Life Group, Inc. | COM | 313533101 | 1 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
| Federal Life Group, Inc. | COM | 313533101 | 1 | 100 | SH | SOLE | 0 | 100 | 0 | 0 | |
| Ferrellgas Partners, L.P. | COM | 315293100 | 586 | 677,925 | SH | DFND | 1 | 0 | 677,925 | 0 | |
| First Bank | COM | 31931U102 | 2,435 | 200,100 | SH | DFND | 1 | 0 | 200,100 | 0 | |
| First Citizens BancShares | COM | 31946M202 | 606 | 777 | SH | DFND | 1 | 0 | 777 | 0 | |
| First of Long Island Corp | COM | 320734106 | 1,806 | 85,000 | SH | DFND | 1 | 0 | 85,000 | 0 | |
| Franklin Resources Inc. | COM | 354613101 | 11,840 | 400,000 | SH | DFND | 1 | 0 | 400,000 | 0 | |
| Franklin Resources Inc. | COM | 354613101 | 1,111 | 37,530 | SH | SOLE | 0 | 37,530 | 0 | 0 | |
| GAMCO Investors, Inc. | COM | 361438104 | 1,171 | 63,124 | SH | DFND | 1 | 0 | 63,124 | 0 | |
| Goldman Sachs Group Inc. | COM | 38141G104 | 1,635 | 5,000 | SH | SOLE | 0 | 5,000 | 0 | 0 | |
| W.R. Grace & Co. | COM | 38388F108 | 25,536 | 426,600 | SH | DFND | 1 | 0 | 426,600 | 0 | |
| Great Lakes Dredge & Dock | COM | 390607109 | 729 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| Groupon, Inc. | COM | 399473107 | 505 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
| Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 200 | 5,000,000 | SH | DFND | 1 | 0 | 5,000,000 | 0 | |
| Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 29 | 721,942 | SH | SOLE | 0 | 721,942 | 0 | 0 | |
| Gyrodyne, LLC | COM | 403829104 | 1,242 | 80,850 | SH | DFND | 1 | 0 | 80,850 | 0 | |
| Gyrodyne, LLC | COM | 403829104 | 72 | 4,658 | SH | SOLE | 0 | 4,658 | 0 | 0 | |
| Helmerich & Payne Inc. | COM | 423452101 | 2,696 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| Hess Corporation | COM | 42809H107 | 2,001 | 28,282 | SH | SOLE | 0 | 28,282 | 0 | 0 | |
| Hexcel Corp | COM | 428291108 | 11,088 | 198,000 | SH | DFND | 1 | 0 | 198,000 | 0 | |
| Highwoods Properties | COM | 431284108 | 450 | 10,483 | SH | DFND | 1 | 0 | 10,483 | 0 | |
| Hugoton Realty Trust TEX Unit Ben Int | UNIT BEN INT | 444717102 | 1 | 8,719 | SH | DFND | 1 | 0 | 8,719 | 0 | |
| Hugoton Realty Trust TEX Unit Ben Int | UNIT BEN INT | 444717102 | 25 | 190,440 | SH | SOLE | 0 | 190,440 | 0 | 0 | |
| ICC Holdings, Inc. | COM | 44931Q104 | 734 | 49,630 | SH | DFND | 1 | 0 | 49,630 | 0 | |
| Intel Corp. | COM | 458140100 | 53,440 | 835,000 | SH | DFND | 1 | 0 | 835,000 | 0 | |
| Intel Corp. | COM | 458140100 | 77,250 | 1,207,025 | SH | SOLE | 0 | 1,207,025 | 0 | 0 | |
| Investors Bancorp, Inc. | COM | 46146L101 | 10,210 | 695,000 | SH | DFND | 1 | 0 | 695,000 | 0 | |
| Ironwood Pharmaceuticals | COM CL A | 46333X108 | 5,814 | 520,000 | SH | DFND | 1 | 0 | 520,000 | 0 | |
| Jefferies Financial Group | COM | 47233W109 | 4,160 | 138,200 | SH | DFND | 1 | 0 | 138,200 | 0 | |
| Kaiser Aluminum Corp. | COM PAR $0.01 | 483007704 | 1,635 | 14,800 | SH | DFND | 1 | 0 | 14,800 | 0 | |
| Kansas City Southern | COM NEW | 485170302 | 5,885 | 22,300 | SH | DFND | 1 | 0 | 22,300 | 0 | |
| Kearny Financial Corp. | COM | 48716P108 | 2,267 | 187,646 | SH | DFND | 1 | 0 | 187,646 | 0 | |
| Kohl's Corp. | COM | 500255104 | 1,788 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| LICT Corp. | COM | 50187G104 | 6,188 | 275 | SH | DFND | 1 | 0 | 275 | 0 | |
| Laboratory Corporation of America | COM NEW | 50540R409 | 25,503 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| Las Vegas Sands Corp. | COM | 517834107 | 255 | 4,195 | SH | SOLE | 0 | 4,195 | 0 | 0 | |
| Loral Space & Communications Inc. | COM | 543881106 | 7,780 | 206,542 | SH | DFND | 1 | 0 | 206,542 | 0 | |
| Madison Square Garden Sports | CL A | 55825T103 | 1,705 | 9,500 | SH | DFND | 1 | 0 | 9,500 | 0 | |
| Madison Square Garden Sports | CL A | 55825T103 | 110 | 612 | SH | SOLE | 0 | 612 | 0 | 0 | |
| Madison Square Garden Entertainment | CL A | 55826T102 | 3,068 | 37,500 | SH | DFND | 1 | 0 | 37,500 | 0 | |
| Madison Square Garden Entertainment | CL A | 55826T102 | 50 | 612 | SH | SOLE | 0 | 612 | 0 | 0 | |
| Meridian Corp. | COM | 58958P104 | 7,020 | 270,000 | SH | DFND | 1 | 0 | 270,000 | 0 | |
| Meridian Bancorp, Inc. | COM | 58958U103 | 1,842 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| Mid-Southern Bancorp | COM | 59548Q107 | 2,576 | 169,485 | SH | DFND | 1 | 0 | 169,485 | 0 | |
| Bunge Limited | COM | 616962105 | 31,312 | 395,000 | SH | DFND | 1 | 0 | 395,000 | 0 | |
| Bunge Limited | COM | 616962105 | 3,171 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | 0 | |
| Nathans Famous Inc. | COM | 632347100 | 673 | 10,675 | SH | DFND | 1 | 0 | 10,675 | 0 | |
| New Senior Investment Group | COM | 648691103 | 62 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| News Corp | COM | 65249B109 | 11,825 | 465,000 | SH | DFND | 1 | 0 | 465,000 | 0 | |
| NI Holdings Inc. | COM | 65342T106 | 9,772 | 528,791 | SH | DFND | 1 | 0 | 528,791 | 0 | |
| Northeast Bancorp | COM | 663904209 | 6,113 | 231,637 | SH | DFND | 1 | 0 | 231,637 | 0 | |
| One Liberty Properties, Inc. | COM | 682406103 | 6,146 | 275,963 | SH | DFND | 1 | 0 | 275,963 | 0 | |
| PDL Community Bancorp | COM | 69290X101 | 942 | 84,804 | SH | DFND | 1 | 0 | 84,804 | 0 | |
| Palantir Tech | CL A | 69608A108 | 647 | 27,769 | SH | SOLE | 0 | 27,769 | 0 | 0 | |
| Park Aerospace Corp | COM | 70014A104 | 198 | 15,000 | SH | DFND | 1 | 0 | 15,000 | 0 | |
| Peapack-Gladstone Financial Corp. | COM | 704699107 | 4,498 | 145,650 | SH | DFND | 1 | 0 | 145,650 | 0 | |
| Permian Basin Rlty Trust | UNIT BEN INT | 714236106 | 55 | 13,841 | SH | SOLE | 0 | 13,841 | 0 | 0 | |
| Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 3,708 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
| Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 101 | 11,081 | SH | SOLE | 0 | 11,081 | 0 | 0 | |
| Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 1,562 | 166,130 | SH | DFND | 1 | 0 | 166,130 | 0 | |
| Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 887 | 94,388 | SH | SOLE | 0 | 94,388 | 0 | 0 | |
| Popular, Inc. | COM UNIT RP IN | 733174700 | 22,031 | 313,296 | SH | DFND | 1 | 0 | 313,296 | 0 | |
| Positive Phyisicians Holdings Inc | COM | 73740G106 | 5 | 450 | SH | DFND | 1 | 0 | 450 | 0 | |
| Positive Phyisicians Holdings Inc | COM | 73740G106 | 5 | 450 | SH | SOLE | 0 | 450 | 0 | 0 | |
| Provident Bancorp Inc | COM NEW | 74383L105 | 828 | 57,500 | SH | DFND | 1 | 0 | 57,500 | 0 | |
| QualComm Inc. | COM | 747525103 | 97 | 732 | SH | SOLE | 0 | 732 | 0 | 0 | |
| Resources Connection Inc | COM | 76122q105 | 745 | 55,000 | SH | DFND | 1 | 0 | 55,000 | 0 | |
| Ruth's Hospitality Group, Inc. | COM | 783332109 | 2,726 | 109,800 | SH | DFND | 1 | 0 | 109,800 | 0 | |
| S&W Seed Company | COM | 785135104 | 58,425 | 16,050,785 | SH | DFND | 1 | 0 | 16,050,785 | 0 | |
| William H. Sadlier, Inc. | COM | 786327106 | 615 | 21,217 | SH | DFND | 1 | 0 | 21,217 | 0 | |
| San Juan Basin Realty Trust Unit | UNIT BEN INT | 798241105 | 397 | 100,240 | SH | SOLE | 0 | 100,240 | 0 | 0 | |
| SIGA Technologies | COM | 826917106 | 7,838 | 1,205,900 | SH | DFND | 1 | 0 | 1,205,900 | 0 | |
| Skyworks Solutions Inc. | COM | 83088M102 | 355 | 1,936 | SH | SOLE | 0 | 1,936 | 0 | 0 | |
| SolarWinds | COM | 83417Q105 | 2,878 | 165,000 | SH | DFND | 1 | 0 | 165,000 | 0 | |
| Starboard Value Acq Corp | COM CL A | 85521J109 | 1,490 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
| Steel Holdings LP Ltd Prshp Unit | LTD PRTRSHIP U | 85814R107 | 79 | 5,773 | SH | SOLE | 0 | 5,773 | 0 | 0 | |
| Tastemaker Acquisition Corp | COM CL A | 876545104 | 575 | 59,075 | SH | DFND | 1 | 0 | 59,075 | 0 | |
| Tastemaker ACQ WNT | *W EXP 01/07/202 | 876545112 | 17 | 29,537 | SH | DFND | 1 | 0 | 29,537 | 0 | |
| Tastemaker Acquisition Corp | UNIT 12/31/2025 | 876545203 | 18 | 1,800 | SH | DFND | 1 | 0 | 1,800 | 0 | |
| Tejon Ranch Co. | COM | 879080109 | 7,676 | 458,523 | SH | DFND | 1 | 0 | 458,523 | 0 | |
| Textron, Inc. | COM | 883203101 | 8,132 | 145,000 | SH | DFND | 1 | 0 | 145,000 | 0 | |
| Tidewater Warrant Exp 11/24/24 | *W EXP 11/24/202 | 88642R174 | 3 | 7,444 | SH | DFND | 1 | 0 | 7,444 | 0 | |
| Traditions Bancorp Inc | COM | 89269L102 | 2,911 | 144,100 | SH | DFND | 1 | 0 | 144,100 | 0 | |
| Trinity Place Holdings Inc. | COM | 89656D101 | 14,021 | 6,708,538 | SH | DFND | 1 | 0 | 6,708,538 | 0 | |
| TWC Tech Holdings II Corp | COM | 90117G105 | 590 | 60,000 | SH | DFND | 1 | 0 | 60,000 | 0 | |
| TWC Tech Holdings Warrant 9/15/27 | *W EXP 09/15/202 | 90117G113 | 21 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| COM | 90184L102 | 19,089 | 300,000 | SH | DFND | 1 | 0 | 300,000 | 0 | ||
| Univar Solutions Inc. | COM | 91336L107 | 1,725 | 80,100 | SH | DFND | 1 | 0 | 80,100 | 0 | |
| Vericity, Inc. | COM | 92347D100 | 413 | 41,728 | SH | DFND | 1 | 0 | 41,728 | 0 | |
| ViasSat, Inc. | COM | 92552v100 | 1,346 | 28,000 | SH | DFND | 1 | 0 | 28,000 | 0 | |
| Viemed Healthcare | COM | 92663R105 | 1,371 | 135,442 | SH | DFND | 1 | 0 | 135,442 | 0 | |
| Vornado Realty Trust | SH BEN INT | 929042109 | 4,984 | 109,814 | SH | DFND | 1 | 0 | 109,814 | 0 | |
| Waterstone Financial Inc. | COM | 94188P101 | 11,727 | 574,300 | SH | DFND | 1 | 0 | 574,300 | 0 | |
| Wells Fargo & Co. | COM | 949746101 | 7,814 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| Westlake Chemical Corp. | COM | 960413102 | 7,103 | 80,000 | SH | DFND | 1 | 0 | 80,000 | 0 | |
| William Penn Bancorp | COM | 96927A105 | 4,605 | 405,000 | SH | DFND | 1 | 0 | 405,000 | 0 | |
| Wright Investors Service Holdings | COM | 982345100 | 119 | 594,097 | SH | DFND | 1 | 0 | 594,097 | 0 | |
| Alkermes PLC | SHS | G01767105 | 5,697 | 305,000 | SH | DFND | 1 | 0 | 305,000 | 0 | |
| Brookfield Property Partners LP | UNIT LTD PARTN | G16249107 | 6,141 | 345,200 | SH | DFND | 1 | 0 | 345,200 | 0 | |
| Genesis Park Acquisition | SHS CL A | G38245109 | 1,049 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| Invesco Ltd. | SHS | G491BT108 | 2,782 | 110,300 | SH | DFND | 1 | 0 | 110,300 | 0 | |
| Nielsen Holdings PLC | SHS EUR | G6518L108 | 5,341 | 212,368 | SH | DFND | 1 | 0 | 212,368 | 0 | |
| Sarissa Capital Acquisition Corp | CL A | G7823W102 | 657 | 65,000 | SH | DFND | 1 | 0 | 65,000 | 0 | |
| Sarissa Capital Acq Warrants 10/23/27 | *W EXP 10/23/202 | G7823W110 | 32 | 21,666 | SH | DFND | 1 | 0 | 21,666 | 0 | |
| Pioneer Merger Corp. | CL A SHS | G7s24c103 | 972 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
| Pioneer Merger Corp Warrant 1/7/26 | *W EXP 01/07/202 | G7s24c111 | 31 | 33,332 | SH | DFND | 1 | 0 | 33,332 | 0 | |
| TechnipFMC plc | COM | G87110105 | 1,926 | 249,500 | SH | DFND | 1 | 0 | 249,500 | 0 | |
| Chubb Limited | COM | H1467j104 | 4,028 | 25,500 | SH | DFND | 1 | 0 | 25,500 | 0 | |