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 |
| ADAMIS PHARMACEUTICALS CORP | COM | 00547W208 | 1,018 | 1,444,578 | SH | DFND | 1 | 1,444,578 | 0 | 0 | |
| AIM IMMUNOTECH INC | COM | 00901B105 | 393 | 515,124 | SH | DFND | 1 | 515,124 | 0 | 0 | |
| AURORA CANNABIS INC | DEBT 5.500% 2/28/2024 | C0534LAA3 | 6,234 | 7,165,000 | SH | DFND | 1 | 7,165,000 | 0 | 0 | |
| ARGAN INC | COM | 04010E109 | 2,777 | 70,689 | SH | DFND | 1 | 70,689 | 0 | 0 | |
| BEYOND MEAT INC | COM | 08862E109 | 45,151 | 303,800 | SH | Put | DFND | 1 | 303,800 | 0 | 0 |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 534 | 10,066 | SH | DFND | 1 | 10,066 | 0 | 0 | |
| BROOKFIELD PROPERTY REIT INC | UNIT LTD PARTN | G16249107 | 1,421 | 70,000 | SH | DFND | 1 | 70,000 | 0 | 0 | |
| BARRICK GOLD CORPORATION | COM | 067901108 | 7,695 | 444,000 | SH | Call | DFND | 1 | 444,000 | 0 | 0 |
| COLUMBIA PPTY TR INC | COM | 198287203 | 603 | 28,500 | SH | DFND | 1 | 28,500 | 0 | 0 | |
| ESSEX PPTY TR INC | COM | 297178105 | 752 | 2,303 | SH | DFND | 1 | 2,303 | 0 | 0 | |
| FRONT YD RESIDENTIAL CORP | COM | 35904G107 | 289 | 25,000 | SH | DFND | 1 | 25,000 | 0 | 0 | |
| GENIUS BRANDS INTL INC | COM | 37229T301 | 286 | 445,732 | SH | DFND | 1 | 445,732 | 0 | 0 | |
| GREENLANE HOLDINGS LLC | COM | 395330103 | 3,358 | 1,044,454 | SH | DFND | 1 | 1,044,454 | 0 | 0 | |
| HUDSON PAC PPTYS INC | COM | 444097109 | 637 | 19,042 | SH | DFND | 1 | 19,042 | 0 | 0 | |
| INSPIREMD INC | *W EXP 03/14/2022 | 45779A135 | 325 | 250,000 | SH | DFND | 1 | 250,000 | 0 | 0 | |
| LIBERTY PPTY TR | SH BEN INT | 531172104 | 1,694 | 33,000 | SH | DFND | 1 | 33,000 | 0 | 0 | |
| MACERICH CO | COM | 554382101 | 704 | 22,300 | SH | DFND | 1 | 22,300 | 0 | 0 | |
| MACK CALI RLTY CORP | COM | 554489104 | 3,108 | 143,500 | SH | DFND | 1 | 143,500 | 0 | 0 | |
| MEDIGUS LTD | *W EXP 07/23/2023 | 58471G128 | 36 | 21,000 | SH | DFND | 1 | 21,000 | 0 | 0 | |
| NEW SR INVT GROUP INC | COM | 648691103 | 167 | 25,000 | SH | DFND | 1 | 25,000 | 0 | 0 | |
| OASIS PETE INC NEW | COM | 674215108 | 1,038 | 300,000 | SH | DFND | 1 | 300,000 | 0 | 0 | |
| PHIO PHARMACEUTICALS CORP | *W EXP 12/21/2021 | 71880W105 | 60 | 217,023 | SH | DFND | 1 | 217,023 | 0 | 0 | |
| PLUS THERAPEUTICS | COM | 72941H400 | 428 | 125,000 | SH | DFND | 1 | 125,000 | 0 | 0 | |
| PLUS THERAPEUTICS | *W EXP 05/28/2020 | 72941H111 | 3,552 | 1,038,600 | SH | DFND | 1 | 1,038,600 | 0 | 0 | |
| PRICESMART INC | COM | 741511109 | 4,266 | 60,000 | SH | Put | DFND | 1 | 60,000 | 0 | 0 |
| SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/2021 | Y73760145 | 440 | 914,702 | SH | DFND | 1 | 914,702 | 0 | 0 | |
| SEANERGY MARITIME HLDGS CORP | *W EXP 05/13/2022 | Y73760152 | 351 | 730,000 | SH | DFND | 1 | 730,000 | 0 | 0 | |
| SL GREEN RLTY CORP | COM | 78440X101 | 780 | 9,536 | SH | DFND | 1 | 9,536 | 0 | 0 | |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 26,413 | 89,000 | SH | Put | DFND | 1 | 89,000 | 0 | 0 |
| SRAX INC | CL A | 78472M106 | 2,124 | 923,626 | SH | DFND | 1 | 923,626 | 0 | 0 | |
| TUSCAN HOLDINGS CORP | *W EXP 04/01/2026 | 90069K112 | 18,563 | 1,900,000 | SH | DFND | 1 | 1,900,000 | 0 | 0 | |
| UMH PPTYS INC | COM | 903002103 | 553 | 39,250 | SH | DFND | 1 | 39,250 | 0 | 0 | |
| VIEWRAY INC | COM | 92672L107 | 421 | 145,176 | SH | DFND | 1 | 145,176 | 0 | 0 | |