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 |
|
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 | 29,605 | 1,261,923 | SH | DFND | 378,888 | 883,035 | 0 | ||
Asure Software Inc. | COM | 04649U102 | 10,957 | 1,339,474 | SH | DFND | 304,800 | 1,034,674 | 0 | ||
At Home Group Inc. | COM | 04650Y100 | 187 | 33,995 | SH | DFND | 26,485 | 7,510 | 0 | ||
Carrols Restaurant Group, Inc. | COM | 14574X104 | 19,201 | 2,723,490 | SH | DFND | 738,148 | 1,985,342 | 0 | ||
Celanese Corp. | COM | 150870103 | 6,663 | 54,120 | SH | DFND | 9,230 | 44,890 | 0 | ||
Community Financial Corporatio | COM | 20368X101 | 6,093 | 171,289 | SH | DFND | 16,885 | 154,404 | 0 | ||
Dirtt Environmental Solutions | COM | 25490H106 | 16,038 | 4,845,240 | SH | DFND | 1,306,070 | 3,539,170 | 0 | ||
ECN Capital Corporation | COM | 26829L107 | 31,097 | 8,404,688 | SH | DFND | 2,057,850 | 6,346,838 | 0 | ||
Everi Holdings, Inc. | COM | 30034T103 | 41,186 | 3,066,730 | SH | DFND | 751,081 | 2,315,649 | 0 | ||
Fiesta Restaurant Group, Inc. | COM | 31660B101 | 18,651 | 1,885,821 | SH | DFND | 499,648 | 1,386,173 | 0 | ||
First Northwest Bancorp | COM | 335834107 | 13,164 | 726,083 | SH | DFND | 162,037 | 564,046 | 0 | ||
Gildan Activewear, Inc. | COM | 375916103 | 9,408 | 318,590 | SH | DFND | 66,055 | 252,535 | 0 | ||
Hometrust Bancshares Inc. | COM | 437872104 | 13,926 | 519,033 | SH | DFND | 122,337 | 396,696 | 0 | ||
INTL FCStone, Inc. | COM | 46116V105 | 33,741 | 690,980 | SH | DFND | 183,492 | 507,488 | 0 | ||
Information Services Group | COM | 45675Y104 | 15,550 | 6,146,427 | SH | DFND | 1,704,849 | 4,441,578 | 0 | ||
Jefferies Financial Group Inc. | COM | 47233W109 | 24,158 | 1,130,440 | SH | DFND | 288,505 | 841,935 | 0 | ||
KKR & Co. Inc. Cl A | COM | 48251W104 | 30,234 | 1,036,467 | SH | DFND | 241,065 | 795,402 | 0 | ||
Lakeland Industries Inc. | COM | 511795106 | 11,032 | 1,021,508 | SH | DFND | 295,963 | 725,545 | 0 | ||
Motorcar Parts of America, Inc | COM | 620071100 | 32,630 | 1,481,163 | SH | DFND | 366,278 | 1,114,885 | 0 | ||
National Fuel Gas Co. | COM | 636180101 | 10,479 | 225,168 | SH | DFND | 52,475 | 172,693 | 0 | ||
Northrim BanCorp, Inc. | COM | 666762109 | 3,218 | 84,021 | SH | DFND | 13,200 | 70,821 | 0 | ||
OceanFirst Financial Corp. | COM | 675234108 | 7,609 | 297,929 | SH | DFND | 76,699 | 221,230 | 0 | ||
Old National Bancorp | COM | 680033107 | 2,936 | 160,501 | SH | DFND | 25,860 | 134,641 | 0 | ||
Peoples United Financial Inc. | COM | 712704105 | 563 | 33,295 | SH | DFND | 0 | 33,295 | 0 | ||
Perion Network Ltd. | COM | M78673114 | 546 | 87,825 | SH | DFND | 4,641 | 83,184 | 0 | ||
Pope Resources Limited | COM | 732857107 | 2,493 | 26,954 | SH | DFND | 0 | 26,954 | 0 | ||
QuinStreet, Inc. | COM | 74874Q100 | 53,928 | 3,522,394 | SH | DFND | 1,001,028 | 2,521,366 | 0 | ||
Raymond James Financial, Inc. | COM | 754730109 | 12,460 | 139,280 | SH | DFND | 22,925 | 116,355 | 0 | ||
Safeguard Scientifics, Inc. | COM | 786449207 | 253 | 23,000 | SH | DFND | 23,000 | 0 | 0 | ||
SmartFinancial Inc. | COM | 83190L208 | 11,151 | 471,482 | SH | DFND | 131,805 | 339,677 | 0 | ||
Stoneridge, Inc. | COM | 86183P102 | 11,768 | 401,348 | SH | DFND | 85,500 | 315,848 | 0 | ||
Synovus Financial Corp. | COM | 87161C501 | 13,838 | 353,009 | SH | DFND | 89,895 | 263,114 | 0 | ||
Target Hospitality Corp. | COM | 87615L107 | 13,684 | 2,736,815 | SH | DFND | 564,859 | 2,171,956 | 0 | ||
Tronox Holdings PLC | COM | G9087Q102 | 33,694 | 2,950,458 | SH | DFND | 718,510 | 2,231,948 | 0 | ||
Visteon Corp. | COM | 92839U206 | 20,304 | 234,485 | SH | DFND | 63,413 | 171,072 | 0 | ||
Zimmer Biomet Holdings, Inc. | COM | 98956P102 | 8,673 | 57,943 | SH | DFND | 9,645 | 48,298 | 0 | ||
iShares Russell 2000 Index | COM | 464287655 | 1,651 | 9,968 | SH | DFND | 800 | 9,168 | 0 | ||
iShares Russell 2000 Value ETF | COM | 464287630 | 281 | 2,189 | SH | DFND | 0 | 2,189 | 0 | ||
AMC Networks Inc. | COM | 00165C104 | 217 | 5,500 | SH | Put | DFND | 5,500 | 0 | 0 | |
AMC Networks Inc. | COM | 00165C104 | 217 | 5,500 | SH | Call | DFND | 5,500 | 0 | 0 | |
Cisco Systems Inc. | COM | 17275R102 | 225 | 4,700 | SH | Put | DFND | 4,700 | 0 | 0 | |
Cisco Systems Inc. | COM | 17275R102 | 225 | 4,700 | SH | Call | DFND | 4,700 | 0 | 0 | |
Clorox Co. | COM | 189054109 | 230 | 1,500 | SH | Put | DFND | 1,500 | 0 | 0 | |
Clorox Co. | COM | 189054109 | 230 | 1,500 | SH | Call | DFND | 1,500 | 0 | 0 | |
H&R Block Inc. | COM | 093671105 | 209 | 8,900 | SH | Put | DFND | 8,900 | 0 | 0 | |
H&R Block Inc. | COM | 093671105 | 209 | 8,900 | SH | Call | DFND | 8,900 | 0 | 0 | |
SPDR DJ Industrial Average ETF Trust | COM | 78467X109 | 570 | 2,000 | SH | Put | DFND | 2,000 | 0 | 0 | |
SPDR DJ Industrial Average ETF Trust | COM | 78467X109 | 570 | 2,000 | SH | Call | DFND | 2,000 | 0 | 0 | |
Tripadvisor Inc. | COM | 896945201 | 258 | 8,500 | SH | Put | DFND | 8,500 | 0 | 0 | |
Tripadvisor Inc. | COM | 896945201 | 258 | 8,500 | SH | Call | DFND | 8,500 | 0 | 0 |