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 |
Air Transport Services Group, | COM | 00922R105 | 29,965 | 1,313,691 | SH | DFND | 0 | 347,988 | 965,703 | 0 | |
Air Transport Services Group, | COM | 00922R105 | 1,255 | 55,000 | SH | Call | DFND | 0 | 55,000 | 0 | 0 |
Allergan PLC | COM | G0177J108 | 28,266 | 211,479 | SH | DFND | 0 | 49,106 | 162,373 | 0 | |
Allergan PLC | COM | G0177J108 | 267 | 2,000 | SH | Call | DFND | 0 | 2,000 | 0 | 0 |
Allergan PLC | COM | G0177J108 | 267 | 2,000 | SH | Put | DFND | 0 | 2,000 | 0 | 0 |
Aquaventure Holdings Limited | COM | G0443N107 | 1,512 | 80,060 | SH | DFND | 0 | 0 | 80,060 | 0 | |
At Home Group Inc. | COM | 04650Y100 | 20,134 | 1,078,973 | SH | DFND | 0 | 278,073 | 800,900 | 0 | |
Avid Technology, Inc. | COM | 05367P100 | 5,592 | 1,177,329 | SH | DFND | 0 | 115,673 | 1,061,656 | 0 | |
Carrols Restaurant Group, Inc. | COM | 14574X104 | 22,420 | 2,278,462 | SH | DFND | 0 | 609,538 | 1,668,924 | 0 | |
Celanese Corp. | COM | 150870103 | 11,248 | 125,015 | SH | DFND | 0 | 17,690 | 107,325 | 0 | |
Community Financial Corporatio | COM | 20368X101 | 5,700 | 194,934 | SH | DFND | 0 | 19,135 | 175,799 | 0 | |
Dirtt Environmental Solutions | COM | 25490H106 | 24,292 | 5,397,080 | SH | DFND | 0 | 1,396,200 | 4,000,880 | 0 | |
Everi Holdings, Inc. | COM | 30034T103 | 19,801 | 3,844,840 | SH | DFND | 0 | 975,546 | 2,869,294 | 0 | |
Fiesta Restaurant Group, Inc. | COM | 31660B101 | 14,232 | 917,623 | SH | DFND | 0 | 225,154 | 692,469 | 0 | |
Fiesta Restaurant Group, Inc. | COM | 31660B101 | 155 | 10,000 | SH | Call | DFND | 0 | 10,000 | 0 | 0 |
Fiesta Restaurant Group, Inc. | COM | 31660B101 | 155 | 10,000 | SH | Put | DFND | 0 | 10,000 | 0 | 0 |
First Northwest Bancorp | COM | 335834107 | 9,913 | 668,465 | SH | DFND | 0 | 133,075 | 535,390 | 0 | |
Gildan Activewear, Inc. | COM | 375916103 | 21,992 | 724,374 | SH | DFND | 0 | 167,865 | 556,509 | 0 | |
Hometrust Bancshares Inc. | COM | 437872104 | 12,397 | 473,546 | SH | DFND | 0 | 86,229 | 387,317 | 0 | |
INTL FCStone, Inc. | COM | 46116V105 | 26,187 | 715,879 | SH | DFND | 0 | 174,192 | 541,687 | 0 | |
Information Services Group | COM | 45675Y104 | 16,281 | 3,839,836 | SH | DFND | 0 | 1,129,230 | 2,710,606 | 0 | |
Jefferies Financial Group Inc. | COM | 47233W109 | 19,935 | 1,148,329 | SH | DFND | 0 | 297,205 | 851,124 | 0 | |
KKR & Co. Inc. Cl A | COM | 48251W104 | 35,169 | 1,791,610 | SH | DFND | 0 | 459,460 | 1,332,150 | 0 | |
Lakeland Industries Inc. | COM | 511795106 | 5,801 | 555,640 | SH | DFND | 0 | 100,230 | 455,410 | 0 | |
Motorcar Parts of America, Inc | COM | 620071100 | 26,607 | 1,598,996 | SH | DFND | 0 | 408,678 | 1,190,318 | 0 | |
National Fuel Gas Co. | COM | 636180101 | 19,864 | 388,113 | SH | DFND | 0 | 81,665 | 306,448 | 0 | |
Northrim BanCorp, Inc. | COM | 666762109 | 2,931 | 89,176 | SH | DFND | 0 | 13,200 | 75,976 | 0 | |
OceanFirst Financial Corp. | COM | 675234108 | 7,603 | 337,741 | SH | DFND | 0 | 90,399 | 247,342 | 0 | |
Old National Bancorp | COM | 680033107 | 2,985 | 193,803 | SH | DFND | 0 | 30,560 | 163,243 | 0 | |
OneSpan Inc. | COM | 68287N100 | 3,128 | 241,553 | SH | DFND | 0 | 0 | 241,553 | 0 | |
Peoples United Financial Inc. | COM | 712704105 | 595 | 41,249 | SH | DFND | 0 | 0 | 41,249 | 0 | |
Pope Resources Limited | COM | 732857107 | 2,922 | 44,605 | SH | DFND | 0 | 14,836 | 29,769 | 0 | |
QuinStreet, Inc. | COM | 74874Q100 | 62,588 | 3,856,335 | SH | DFND | 0 | 1,189,408 | 2,666,927 | 0 | |
Raymond James Financial, Inc. | COM | 754730109 | 12,111 | 162,765 | SH | DFND | 0 | 27,225 | 135,540 | 0 | |
Raymond James Financial, Inc. | COM | 754730109 | 208 | 2,800 | SH | Call | DFND | 0 | 2,800 | 0 | 0 |
Raymond James Financial, Inc. | COM | 754730109 | 208 | 2,800 | SH | Put | DFND | 0 | 2,800 | 0 | 0 |
Schwab US Large Cap ETF | COM | 808524201 | 296 | 4,965 | SH | DFND | 0 | 0 | 4,965 | 0 | |
SmartFinancial Inc. | COM | 83190L208 | 3,578 | 195,864 | SH | DFND | 0 | 29,500 | 166,364 | 0 | |
SpartanNash Co. | COM | 847215100 | 22,983 | 1,337,763 | SH | DFND | 0 | 355,589 | 982,174 | 0 | |
Standard & Poor's Depositary R | COM | 78462f103 | 365 | 1,460 | SH | DFND | 0 | 0 | 1,460 | 0 | |
State Bank Financial Corp. | COM | 856190103 | 11,766 | 544,957 | SH | DFND | 0 | 125,625 | 419,332 | 0 | |
Stoneridge, Inc. | COM | 86183P102 | 11,920 | 483,585 | SH | DFND | 0 | 98,425 | 385,160 | 0 | |
Synovus Financial Corp. | COM | 87161C501 | 6,361 | 198,856 | SH | DFND | 0 | 34,975 | 163,881 | 0 | |
Tronox Limited | COM | Q9235V101 | 16,676 | 2,143,419 | SH | DFND | 0 | 522,485 | 1,620,934 | 0 | |
Tronox Limited | COM | Q9235V101 | 115 | 14,800 | SH | Call | DFND | 0 | 14,800 | 0 | 0 |
Tronox Limited | COM | Q9235V101 | 115 | 14,800 | SH | Put | DFND | 0 | 14,800 | 0 | 0 |
Universal Health Services, Inc | COM | 913903100 | 18,154 | 155,748 | SH | DFND | 0 | 32,502 | 123,246 | 0 | |
Vista Outdoor Inc. | COM | 928377100 | 471 | 41,519 | SH | DFND | 0 | 0 | 41,519 | 0 | |
Visteon Corp. | COM | 92839U206 | 20,884 | 346,457 | SH | DFND | 0 | 94,320 | 252,137 | 0 | |
Zimmer Biomet Holdings, Inc. | COM | 98956P102 | 7,728 | 74,512 | SH | DFND | 0 | 14,320 | 60,192 | 0 | |
iShares Russell 2000 Index | COM | 464287655 | 1,373 | 10,252 | SH | DFND | 0 | 8,500 | 1,752 | 0 | |
iShares Russell 2000 Index | COM | 464287655 | 388 | 2,900 | SH | Put | DFND | 0 | 2,900 | 0 | 0 |
SPDR DJ Industrial Average ETF | COM | 78467X109 | 233 | 1,000 | SH | DFND | 0 | 1,000 | 0 | 0 | |
SPDR DJ Industrial Average ETF | COM | 78467X109 | 233 | 1,000 | SH | Put | DFND | 0 | 1,000 | 0 | 0 |