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 |
| ADVANCED MICRO DEVICES INC | COM | 007903107 | 2,073 | 300,000 | SH | Put | DFND | 1 | 300,000 | 0 | 0 |
| AFFIMED N V | COM | N01045108 | 1,010 | 363,161 | SH | DFND | 1 | 363,161 | 0 | 0 | |
| AMAZON COM INC | COM | 023135106 | 45,633 | 54,500 | SH | Put | DFND | 1 | 54,500 | 0 | 0 |
| ANALOG DEVICES INC | COM | 032654105 | 3,545 | 55,000 | SH | Put | DFND | 1 | 55,000 | 0 | 0 |
| ANCHOR BANCORP WA | COM | 032838104 | 1,919 | 75,251 | SH | DFND | 1 | 75,251 | 0 | 0 | |
| APRICUS BIOSCIENCES INC | COM | 03832V109 | 1,723 | 5,092,580 | SH | DFND | 1 | 5,092,580 | 0 | 0 | |
| BANK AMER CORP | COM | 060505104 | 40,854 | 2,610,500 | SH | DFND | 1 | 2,610,500 | 0 | 0 | |
| BELLATRIX EXPLORATION LTD | COM | 078314101 | 13,843 | 12,250,000 | SH | DFND | 1 | 12,250,000 | 0 | 0 | |
| BIOPHARMX CORP | COM | 09072X101 | 114 | 205,959 | SH | DFND | 1 | 205,959 | 0 | 0 | |
| BROADCOM LTD | SHS | Y09827109 | 18,546 | 107,500 | SH | Put | DFND | 1 | 107,500 | 0 | 0 |
| CANCER GENETICS INC | COM | 13739U104 | 476 | 271,722 | SH | DFND | 1 | 271,722 | 0 | 0 | |
| CASCADIAN THERAPEUTICS INC | COM | 14740B101 | 1,046 | 637,700 | SH | DFND | 1 | 637,700 | 0 | 0 | |
| CEL SCI CORP | COM PAR $0.01 | 150837508 | 307 | 1,005,512 | SH | DFND | 1 | 1,005,512 | 0 | 0 | |
| CENTRAL FD CDA LTD | CL A | 153501101 | 1,660 | 120,000 | SH | DFND | 1 | 120,000 | 0 | 0 | |
| CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 974 | 2,300 | SH | DFND | 1 | 2,300 | 0 | 0 | |
| CIRRUS LOGIC INC | COM | 172755100 | 20,075 | 377,700 | SH | Put | DFND | 1 | 377,700 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 | 472 | 10,000 | SH | DFND | 1 | 10,000 | 0 | 0 | |
| CITIGROUP INC | COM NEW | 172967424 | 4,525 | 95,800 | SH | Call | DFND | 1 | 95,800 | 0 | 0 |
| COMBIMATRIX CORPORATION | *W EXP 03/18/202 | 20009T147 | 567 | 134,199 | SH | DFND | 1 | 134,199 | 0 | 0 | |
| CORRECTIONS CORP AMER NEW | COM NEW | 22025Y407 | 7,034 | 507,103 | SH | DFND | 1 | 507,103 | 0 | 0 | |
| CYTORI THERAPEUTICS INC | *W EXP 12/09/201 | 23283K121 | 914 | 450,000 | SH | DFND | 1 | 450,000 | 0 | 0 | |
| DS HEALTHCARE GROUP INC | COM | 23336Q109 | 274 | 1,189,600 | SH | DFND | 1 | 1,189,600 | 0 | 0 | |
| DU PONT E I DE NEMOURS & CO | COM | 263534109 | 1,339 | 20,000 | SH | DFND | 1 | 20,000 | 0 | 0 | |
| ELLIS PERRY INTL INC | COM | 288853104 | 9,405 | 487,790 | SH | DFND | 1 | 487,790 | 0 | 0 | |
| ENERGY FUELS INC | COM NEW | 292671708 | 367 | 231,068 | SH | DFND | 1 | 231,068 | 0 | 0 | |
| ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 9,765 | 1,279,871 | SH | DFND | 1 | 1,279,871 | 0 | 0 | |
| ETFS PLATINUM TR | SH BEN INT | 26922V101 | 296 | 3,000 | SH | DFND | 1 | 3,000 | 0 | 0 | |
| GENVEC INC | COM NEW | 37246C307 | 155 | 330,206 | SH | DFND | 1 | 330,206 | 0 | 0 | |
| HEMISPHERX BIOPHARMA INC | COM NEW | 42366C301 | 1,654 | 1,312,688 | SH | DFND | 1 | 1,312,688 | 0 | 0 | |
| IMMUNOCELLULAR THERAPEUTICS | *W EXP 08/12/202 | 452536113 | 553 | 4,687,500 | SH | DFND | 1 | 4,687,500 | 0 | 0 | |
| INTEL CORP | COM | 458140100 | 13,129 | 347,800 | SH | Put | DFND | 1 | 347,800 | 0 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,998 | 30,000 | SH | DFND | 1 | 30,000 | 0 | 0 | |
| MICROSOFT CORP | COM | 594918104 | 18,420 | 319,787 | SH | DFND | 1 | 319,787 | 0 | 0 | |
| MOBILE TELESYSTEMS PJSC | SPONSORED ADR | 607409109 | 1,727 | 226,292 | SH | DFND | 1 | 226,292 | 0 | 0 | |
| MOUNTAIN PROV DIAMONDS INC | COM NEW | 62426E402 | 217 | 31,700 | SH | DFND | 1 | 31,700 | 0 | 0 | |
| NVIDIA CORP | COM | 67066G104 | 7,852 | 114,600 | SH | Put | DFND | 1 | 114,600 | 0 | 0 |
| NXT ID INC | *W EXP 02/09/201 | 67091J123 | 815 | 269,900 | SH | DFND | 1 | 269,900 | 0 | 0 | |
| OCULUS INNOVATIVE SCIENCES I | *W EXP 01/21/202 | 67575P116 | 1,156 | 266,363 | SH | DFND | 1 | 266,363 | 0 | 0 | |
| POTASH CORP SASK INC | COM | 73755L107 | 1,061 | 65,000 | SH | DFND | 1 | 65,000 | 0 | 0 | |
| QORVO INC | COM | 74736K101 | 2,497 | 44,800 | SH | Put | DFND | 1 | 44,800 | 0 | 0 |
| QUANTUM CORP | COM DSSG | 747906204 | 888 | 1,206,724 | SH | DFND | 1 | 1,206,724 | 0 | 0 | |
| RANDGOLD RES LTD | ADR | 752344309 | 6,855 | 68,504 | SH | DFND | 1 | 68,504 | 0 | 0 | |
| REXAHN PHARMACEUTICALS INC | COM | 761640101 | 1,926 | 9,170,000 | SH | DFND | 1 | 9,170,000 | 0 | 0 | |
| ROYAL BK CDA MONTREAL QUE | COM | 780087102 | 6,816 | 110,000 | SH | Put | DFND | 1 | 110,000 | 0 | 0 |
| SALESFORCE COM INC | COM | 79466L302 | 3,567 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| SERVICEMASTER GLOBAL HLDGS I | COM | 81761R109 | 1,684 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| SKYWORKS SOLUTIONS INC | COM | 83088M102 | 29,253 | 384,200 | SH | Put | DFND | 1 | 384,200 | 0 | 0 |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 121,130 | 964,100 | SH | Call | DFND | 1 | 964,100 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 7,338 | 33,925 | SH | DFND | 1 | 33,925 | 0 | 0 | |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 11,145 | 1,017,849 | SH | DFND | 1 | 1,017,849 | 0 | 0 | |
| STELLAR BIOTECHNOLOGIES INC | COM NEW | 85855A203 | 1,712 | 713,306 | SH | DFND | 1 | 713,306 | 0 | 0 | |
| TEEKAY CORPORATION | COM | Y8564W103 | 8,971 | 1,163,597 | SH | DFND | 1 | 1,163,597 | 0 | 0 | |
| TEXAS INSTRS INC | COM | 882508104 | 2,498 | 35,600 | SH | Put | DFND | 1 | 35,600 | 0 | 0 |
| THE ONE GROUP HOSPITALITY IN | COM | 88338K103 | 4,865 | 1,946,609 | SH | DFND | 1 | 1,946,609 | 0 | 0 | |
| VULCAN MATLS CO | COM | 929160109 | 9,531 | 83,800 | SH | DFND | 1 | 83,800 | 0 | 0 | |
| WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 7,080 | 165,000 | SH | DFND | 1 | 165,000 | 0 | 0 | |