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 |
| AETERNA ZENTARIS INC | COM PAR | 007975402 | 987 | 335,781 | SH | DFND | 1 | 335,781 | 0 | 0 | |
| ALPHABET INC | CAP STK CL A | 02079K305 | 5,225 | 5,000 | SH | Call | DFND | 1 | 5,000 | 0 | 0 |
| AMERICAN CAMPUS CMNTYS INC | COM | 024835100 | 207 | 5,000 | SH | DFND | 1 | 5,000 | 0 | 0 | |
| AQUINOX PHARMACEUTICALS INC | COM | 03842B101 | 474 | 219,395 | SH | DFND | 1 | 219,395 | 0 | 0 | |
| ARCADIA BIOSCIENCES INC | COM NEW | 039014204 | 175 | 55,261 | SH | DFND | 1 | 55,261 | 0 | 0 | |
| ARGAN INC | COM | 04010E109 | 1,642 | 43,385 | SH | DFND | 1 | 43,385 | 0 | 0 | |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 614 | 16,000 | SH | DFND | 1 | 16,000 | 0 | 0 | |
| BROOKFIELD PROPERTY REIT INC | CL A | 11282X103 | 1,531 | 95,000 | SH | DFND | 1 | 95,000 | 0 | 0 | |
| CATASYS INC | COM PAR | 149049504 | 1,131 | 120,742 | SH | DFND | 1 | 120,742 | 0 | 0 | |
| CELLDEX THERAPEUTICS INC NEW | COM | 15117B103 | 243 | 1,229,844 | SH | DFND | 1 | 1,229,844 | 0 | 0 | |
| CITIGROUP INC | COM NEW | 172967424 | 6,091 | 117,000 | SH | Call | DFND | 1 | 117,000 | 0 | 0 |
| CLEARSIDE BIOMEDICAL INC | COM | 185063104 | 250 | 233,392 | SH | DFND | 1 | 233,392 | 0 | 0 | |
| CYTORI THERAPEUTICS INC | *W EXP 05/28/202 | 23283K139 | 301 | 1,038,600 | SH | DFND | 1 | 1,038,600 | 0 | 0 | |
| DAVIDSTEA INC | COM | 238661102 | 385 | 326,414 | SH | DFND | 1 | 326,414 | 0 | 0 | |
| DIFFUSION PHARMACEUTICALS IN | COM PAR | 253748305 | 66 | 33,120 | SH | DFND | 1 | 33,120 | 0 | 0 | |
| DISNEY WALT CO | COM DISNEY | 254687106 | 7,127 | 65,000 | SH | Call | DFND | 1 | 65,000 | 0 | 0 |
| EDGE THERAPEUTICS INC | COM | 279870109 | 78 | 243,412 | SH | DFND | 1 | 243,412 | 0 | 0 | |
| FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 284 | 79,061 | SH | DFND | 1 | 79,061 | 0 | 0 | |
| FRANCESCAS HLDGS CORP | COM | 351793104 | 297 | 305,900 | SH | DFND | 1 | 305,900 | 0 | 0 | |
| GERON CORP | COM | 374163103 | 171 | 171,203 | SH | DFND | 1 | 171,203 | 0 | 0 | |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 | 5,429 | 32,500 | SH | Call | DFND | 1 | 32,500 | 0 | 0 |
| GTX INC DEL | COM NEW | 40052B207 | 207 | 265,215 | SH | DFND | 1 | 265,215 | 0 | 0 | |
| HEAT BIOLOGICS INC | COM NEW | 42237K300 | 413 | 421,725 | SH | DFND | 1 | 421,725 | 0 | 0 | |
| HUDSON PAC PPTYS INC | COM | 444097109 | 735 | 25,306 | SH | DFND | 1 | 25,306 | 0 | 0 | |
| INFINITY PHARMACEUTICALS INC | COM | 45665G303 | 346 | 293,427 | SH | DFND | 1 | 293,427 | 0 | 0 | |
| INSPIREMD INC | *W EXP 03/14/202 | 45779A135 | 40 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| INVITATION HOMES INC | COM | 46187W107 | 552 | 27,500 | SH | DFND | 1 | 27,500 | 0 | 0 | |
| LIBERTY PPTY TR | SH BEN INT | 531172104 | 377 | 9,000 | SH | DFND | 1 | 9,000 | 0 | 0 | |
| MACK CALI RLTY CORP | COM | 554489104 | 852 | 43,500 | SH | DFND | 1 | 43,500 | 0 | 0 | |
| MEDIGUS LTD | *W EXP 07/23/202 | 58471G128 | 55 | 21,000 | SH | DFND | 1 | 21,000 | 0 | 0 | |
| NEWLINK GENETICS CORP | COM | 651511107 | 429 | 282,262 | SH | DFND | 1 | 282,262 | 0 | 0 | |
| ONCOSEC MED INC | COM NEW | 68234L207 | 412 | 643,444 | SH | DFND | 1 | 643,444 | 0 | 0 | |
| PHIO PHARMACEUTICALS CORP | *W EXP 12/21/202 | 71880W105 | 72 | 217,023 | SH | DFND | 1 | 217,023 | 0 | 0 | |
| PROSHARES TR II | ULTRA VIX SHORT | 74347W148 | 16,166 | 197,800 | SH | Put | DFND | 1 | 197,800 | 0 | 0 |
| RESONANT INC | COM | 76118L102 | 280 | 210,631 | SH | DFND | 1 | 210,631 | 0 | 0 | |
| REXAHN PHARMACEUTICALS INC | COM NEW | 761640200 | 565 | 607,113 | SH | DFND | 1 | 607,113 | 0 | 0 | |
| SAFE T GROUP LTD | SPONSORED ADS | 78643B302 | 190 | 64,090 | SH | DFND | 1 | 64,090 | 0 | 0 | |
| SCHLUMBERGER LTD | COM | 806857108 | 13,779 | 381,900 | SH | Call | DFND | 1 | 381,900 | 0 | 0 |
| SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/202 | Y73760145 | 709 | 1,409,400 | SH | DFND | 1 | 1,409,400 | 0 | 0 | |
| SHINECO INC | COM NEW | 824567200 | 94 | 161,291 | SH | DFND | 1 | 161,291 | 0 | 0 | |
| SIMON PPTY GROUP INC NEW | COM | 828806109 | 520 | 3,100 | SH | DFND | 1 | 3,100 | 0 | 0 | |
| SL GREEN RLTY CORP | COM | 78440X101 | 612 | 7,750 | SH | DFND | 1 | 7,750 | 0 | 0 | |
| SMITH MICRO SOFTWARE INC | COM NEW | 832154207 | 409 | 227,032 | SH | DFND | 1 | 227,032 | 0 | 0 | |
| SYNTHETIC BIOLOGICS INC | COM NEW | 87164U201 | 88 | 156,915 | SH | DFND | 1 | 156,915 | 0 | 0 | |
| TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 380 | 335,931 | SH | DFND | 1 | 335,931 | 0 | 0 | |
| TILRAY INC | COM CL 2 | 88688T100 | 99,378 | 1,408,812 | SH | DFND | 1 | 1,408,812 | 0 | 0 | |
| TONIX PHARMACEUTICALS HLDG C | COM NEW | 890260508 | 68 | 31,136 | SH | DFND | 1 | 31,136 | 0 | 0 | |
| TRACON PHARMACEUTICALS INC | COM | 89237H100 | 158 | 250,182 | SH | DFND | 1 | 250,182 | 0 | 0 | |
| TRILLIUM THERAPEUTICS INC | COM NEW | 89620X506 | 298 | 174,174 | SH | DFND | 1 | 174,174 | 0 | 0 | |
| UXIN LTD | ADS | 91818X108 | 374 | 76,900 | SH | Call | DFND | 1 | 76,900 | 0 | 0 |
| VALERITAS HLDGS INC | COM NEW | 91914N202 | 563 | 1,729,620 | SH | DFND | 1 | 1,729,620 | 0 | 0 | |
| VASCULAR BIOGENICS LTD | COM | M96883109 | 45 | 45,998 | SH | DFND | 1 | 45,998 | 0 | 0 | |
| VIVEVE MED INC | COM NEW | 92852W204 | 263 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| XG TECHNOLOGY INC | COM PAR | 98372A705 | 29 | 94,279 | SH | DFND | 1 | 94,279 | 0 | 0 | |