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 |
| ACTINIUM PHARMACEUTICALS INC | COM | 00507W107 | 1,502 | 4,113,892 | SH | DFND | 1 | 4,113,892 | 0 | 0 | |
| ALTA MESA RES INC | CL A | 02133L109 | 3,301 | 412,580 | SH | DFND | 1 | 412,580 | 0 | 0 | |
| ALTA MESA RES INC | *W EXP 03/28/202 | 02133L117 | 4,176 | 522,006 | SH | DFND | 1 | 522,006 | 0 | 0 | |
| CAN-FITE BIOPHARMA LTD | SPONSORED ADR | 13471N102 | 1,955 | 1,357,586 | SH | DFND | 1 | 1,357,586 | 0 | 0 | |
| CENTRAL FD CDA LTD | CL A | 153501101 | 1,586 | 120,000 | SH | DFND | 1 | 120,000 | 0 | 0 | |
| GENIUS BRANDS INTL INC | COM PAR | 37229T301 | 1,400 | 529,960 | SH | DFND | 1 | 529,960 | 0 | 0 | |
| HD SUPPLY HLDGS INC | COM | 40416M105 | 6,610 | 392,125 | SH | DFND | 1 | 392,125 | 0 | 0 | |
| IMAX CORP | COM | 45245E109 | 960 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| IMMUNOCELLULAR THERAPEUTICS | *W EXP 08/12/202 | 452536121 | 29 | 117,188 | SH | DFND | 1 | 117,188 | 0 | 0 | |
| INSPIREMD INC | *W EXP 03/14/202 | 45779A135 | 260 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| INTEC PHARMA LTD JERUSALEM | SHS | M53644106 | 316 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| INTELLIPHARMACEUTICS INTL IN | COM | 458173101 | 1,210 | 2,128,720 | SH | DFND | 1 | 2,128,720 | 0 | 0 | |
| LONGFIN CORP | COM CLASS A | 54304F106 | 1,036 | 60,000 | SH | Put | DFND | 1 | 60,000 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 5,457 | 59,787 | SH | DFND | 1 | 59,787 | 0 | 0 | |
| RANDGOLD RES LTD | ADR | 752344309 | 4,162 | 50,000 | SH | DFND | 1 | 50,000 | 0 | 0 | |
| ROKU INC | COM CL A | 77543R102 | 933 | 30,000 | SH | DFND | 1 | 30,000 | 0 | 0 | |
| RXI PHARMACEUTICALS CORP NEW | *W EXP 12/21/202 | 74979C121 | 715 | 222,173 | SH | DFND | 1 | 222,173 | 0 | 0 | |
| SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/202 | Y73760145 | 1,250 | 1,432,500 | SH | DFND | 1 | 1,432,500 | 0 | 0 | |
| SECOND SIGHT MED PRODS INC | *W EXP 03/06/202 | 81362J118 | 2,568 | 1,337,580 | SH | DFND | 1 | 1,337,580 | 0 | 0 | |
| SHAW COMMUNICATIONS INC | CL B CONV | 82028K200 | 4,964 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | |
| SHOPIFY INC | CL A | 82509L107 | 1,333 | 7,500 | SH | DFND | 1 | 7,500 | 0 | 0 | |
| SMITH MICRO SOFTWARE INC | COM NEW | 832154207 | 1,063 | 714,286 | SH | DFND | 1 | 714,286 | 0 | 0 | |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 79,208 | 301,000 | SH | Call | DFND | 1 | 301,000 | 0 | 0 |
| THE ONE GROUP HOSPITALITY IN | COM | 88338K103 | 3,338 | 1,213,821 | SH | DFND | 1 | 1,213,821 | 0 | 0 | |
| WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 4,817 | 86,000 | SH | DFND | 1 | 86,000 | 0 | 0 | |