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 |
| AFFIMED N V | COM | N01045108 | 1,358 | 363,161 | SH | DFND | 1 | 363,161 | 0 | 0 | |
| AMAZON COM INC | COM | 023135106 | 38,587 | 65,000 | SH | Put | DFND | 1 | 65,000 | 0 | 0 |
| ANALOG DEVICES INC | COM | 032654105 | 17,757 | 300,000 | SH | Put | DFND | 1 | 300,000 | 0 | 0 |
| ANCHOR BANCORP WA | COM | 032838104 | 1,827 | 75,251 | SH | DFND | 1 | 75,251 | 0 | 0 | |
| BANCORP INC DEL | COM | 05969A105 | 8,861 | 1,549,212 | SH | DFND | 1 | 1,549,212 | 0 | 0 | |
| BANK AMER CORP | COM | 060505104 | 35,294 | 2,610,500 | SH | DFND | 1 | 2,610,500 | 0 | 0 | |
| BANK AMER CORP | COM | 060505104 | 5,408 | 400,000 | SH | Call | DFND | 1 | 400,000 | 0 | 0 |
| BLACKBERRY LTD | COM | 09228F103 | 1,628 | 201,200 | SH | DFND | 1 | 201,200 | 0 | 0 | |
| BROADCOM LTD | SHS | Y09827109 | 9,270 | 60,000 | SH | Put | DFND | 1 | 60,000 | 0 | 0 |
| CDN IMPERIAL BK COMM TORONTO | COM | 136069101 | 3,736 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| CENTRAL FD CDA LTD | CL A | 153501101 | 1,439 | 120,000 | SH | DFND | 1 | 120,000 | 0 | 0 | |
| CERES INC | COM NEW | 156773400 | 511 | 2,321,093 | SH | DFND | 1 | 2,321,093 | 0 | 0 | |
| CIRRUS LOGIC INC | COM | 172755100 | 21,700 | 596,000 | SH | Put | DFND | 1 | 596,000 | 0 | 0 |
| COMBIMATRIX CORPORATION | *W EXP 03/18/202 | 20009T147 | 1,399 | 387,596 | SH | DFND | 1 | 387,596 | 0 | 0 | |
| COMBIMATRIX CORPORATION | COM PAR | 20009T501 | 1,273 | 352,537 | SH | DFND | 1 | 352,537 | 0 | 0 | |
| CONTRAVIR PHARMACEUTICALS IN | COM | 21234W103 | 1,371 | 1,132,737 | SH | DFND | 1 | 1,132,737 | 0 | 0 | |
| COPSYNC INC | *W EXP 11/12/202 | 217712116 | 65 | 35,300 | SH | DFND | 1 | 35,300 | 0 | 0 | |
| DS HEALTHCARE GROUP INC | COM | 23336Q109 | 916 | 1,189,600 | SH | DFND | 1 | 1,189,600 | 0 | 0 | |
| ELLIS PERRY INTL INC | COM | 288853104 | 10,463 | 568,324 | SH | DFND | 1 | 568,324 | 0 | 0 | |
| ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 11,160 | 1,500,000 | SH | DFND | 1 | 1,500,000 | 0 | 0 | |
| ETFS PLATINUM TR | SH BEN INT | 26922V101 | 282 | 3,000 | SH | DFND | 1 | 3,000 | 0 | 0 | |
| FACEBOOK INC | CL A | 30303M102 | 23,961 | 210,000 | SH | Put | DFND | 1 | 210,000 | 0 | 0 |
| FORBES ENERGY SVCS LTD | COM | 345143101 | 440 | 936,475 | SH | DFND | 1 | 936,475 | 0 | 0 | |
| GREEN BRICK PARTNERS INC | COM | 392709101 | 582 | 76,700 | SH | DFND | 1 | 76,700 | 0 | 0 | |
| J2 GLOBAL INC | COM | 48123V102 | 1,312 | 21,300 | SH | Put | DFND | 1 | 21,300 | 0 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,777 | 30,000 | SH | DFND | 1 | 30,000 | 0 | 0 | |
| MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 8,169 | 133,300 | SH | Put | DFND | 1 | 133,300 | 0 | 0 |
| MEI PHARMA INC | COM NEW | 55279B202 | 3,094 | 2,455,793 | SH | DFND | 1 | 2,455,793 | 0 | 0 | |
| MICROSOFT CORP | COM | 594918104 | 10,758 | 194,787 | SH | DFND | 1 | 194,787 | 0 | 0 | |
| MOBILE TELESYSTEMS PJSC | SPONSORED ADR | 607409109 | 1,375 | 170,000 | SH | DFND | 1 | 170,000 | 0 | 0 | |
| MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 11,631 | 311,900 | SH | Put | DFND | 1 | 311,900 | 0 | 0 |
| NXP SEMICONDUCTORS N V | COM | N6596X109 | 8,107 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| NXT ID INC | *W EXP 02/09/201 | 67091J123 | 157 | 269,900 | SH | DFND | 1 | 269,900 | 0 | 0 | |
| OCULUS INNOVATIVE SCIENCES I | *W EXP 01/21/202 | 67575P116 | 430 | 450,229 | SH | DFND | 1 | 450,229 | 0 | 0 | |
| OCULUS INNOVATIVE SCIENCES I | COM NEW | 67575P207 | 348 | 365,000 | SH | DFND | 1 | 365,000 | 0 | 0 | |
| ONCONOVA THERAPEUTICS INC | COM | 68232V108 | 367 | 633,474 | SH | DFND | 1 | 633,474 | 0 | 0 | |
| ONCOTHYREON INC | COM | 682324108 | 870 | 685,000 | SH | DFND | 1 | 685,000 | 0 | 0 | |
| PLANET FITNESS INC | CL A | 72703H101 | 2,553 | 157,200 | SH | Put | DFND | 1 | 157,200 | 0 | 0 |
| POTASH CORP SASK INC | COM | 73755L107 | 1,106 | 65,000 | SH | DFND | 1 | 65,000 | 0 | 0 | |
| QORVO INC | COM | 74736K101 | 4,537 | 90,000 | SH | Put | DFND | 1 | 90,000 | 0 | 0 |
| QUANTUM CORP | COM DSSG | 747906204 | 1,837 | 3,011,316 | SH | DFND | 1 | 3,011,316 | 0 | 0 | |
| RANDGOLD RES LTD | ADR | 752344309 | 4,195 | 46,200 | SH | DFND | 1 | 46,200 | 0 | 0 | |
| ROYAL BK CDA MONTREAL QUE | COM | 780087102 | 34,611 | 601,300 | SH | Put | DFND | 1 | 601,300 | 0 | 0 |
| SKYLINE MED INC | COM NEW | 83084T309 | 405 | 2,345,095 | SH | DFND | 1 | 2,345,095 | 0 | 0 | |
| SKYWORKS SOLUTIONS INC | COM | 83088M102 | 14,630 | 187,800 | SH | Put | DFND | 1 | 187,800 | 0 | 0 |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 5,882 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 82,348 | 700,000 | SH | Call | DFND | 1 | 700,000 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 226,072 | 1,100,000 | SH | Call | DFND | 1 | 1,100,000 | 0 | 0 |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 10,301 | 1,017,849 | SH | DFND | 1 | 1,017,849 | 0 | 0 | |
| STEMCELLS INC | COM NEW | 85857R204 | 854 | 3,277,365 | SH | DFND | 1 | 3,277,365 | 0 | 0 | |
| SUNOPTA INC | COM | 8676EP108 | 2,863 | 641,880 | SH | DFND | 1 | 641,880 | 0 | 0 | |
| TEEKAY CORPORATION | COM | Y8564W103 | 8,896 | 1,027,236 | SH | DFND | 1 | 1,027,236 | 0 | 0 | |
| TESLA MTRS INC | COM | 88160R101 | 11,488 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| THE ONE GROUP HOSPITALITY IN | COM | 88338K103 | 5,178 | 1,726,004 | SH | DFND | 1 | 1,726,004 | 0 | 0 | |
| TORCHLIGHT ENERGY RES INC | COM | 89102U103 | 194 | 273,400 | SH | DFND | 1 | 273,400 | 0 | 0 | |
| TRIBUNE MEDIA CO | CL A | 896047503 | 5,753 | 150,000 | SH | DFND | 1 | 150,000 | 0 | 0 | |
| URANIUM ENERGY CORP | COM | 916896103 | 950 | 1,270,000 | SH | DFND | 1 | 1,270,000 | 0 | 0 | |
| VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 2,630 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| VERASTEM INC | COM | 92337C104 | 292 | 184,995 | SH | DFND | 1 | 184,995 | 0 | 0 | |
| VULCAN MATLS CO | COM | 929160109 | 8,847 | 83,800 | SH | DFND | 1 | 83,800 | 0 | 0 | |
| WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 4,371 | 100,000 | SH | DFND | 1 | 100,000 | 0 | 0 | |