0001144204-14-069503.txt : 20141118
0001144204-14-069503.hdr.sgml : 20141118
20141118160314
ACCESSION NUMBER: 0001144204-14-069503
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141118
DATE AS OF CHANGE: 20141118
EFFECTIVENESS DATE: 20141118
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SABBY MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001535610
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15245
FILM NUMBER: 141231928
BUSINESS ADDRESS:
STREET 1: 10 MOUNTAINVIEW ROAD
STREET 2: SUITE 205
CITY: UPPER SADDLE RIVER
STATE: NJ
ZIP: 07458
BUSINESS PHONE: 646-307-4527
MAIL ADDRESS:
STREET 1: 10 MOUNTAINVIEW ROAD
STREET 2: SUITE 205
CITY: UPPER SADDLE RIVER
STATE: NJ
ZIP: 07458
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001535610
XXXXXXXX
09-30-2014
09-30-2014
true
1
RESTATEMENT
false
SABBY MANAGEMENT, LLC
10 Mountainview Road
Suite 205
Upper Saddle River
NJ
07458
13F HOLDINGS REPORT
028-15245
Y
This amendment is being filed to include 253,085 shares of ProQR Therapeutics NV that are held in book entry with the company. Such shares were not included in our brokerage portfolio report used in preparation of the initial filing and were inadvertantly not included in such filing.
Robert Grundstein
Chief Operating Officer
646-307-4527
/s/ Robert Grundstein
Upper Saddle River
NJ
11-18-2014
1
254
2604420
01
0001433766
028-13502
Mintz Hal
INFORMATION TABLE
2
infotable.xml
AASTROM BIOSCIENCES INC
COM
00253U404
2497
876173
SH
DFND
1
0
876173
0
ABBVIE INC
COM
00287Y909
43938
7607
SH
Call
DFND
1
0
7607
0
ACADIA PHARMACEUTICALS INC
COM
00404A109
16424
663324
SH
DFND
1
0
663324
0
ACADIA PHARMACEUTICALS INC
COM
00404A909
69509
28073
SH
Call
DFND
1
0
28073
0
ACADIA PHARMACEUTICALS INC
COM
00404A959
2530
1022
SH
Put
DFND
1
0
1022
0
ACHILLION PHARMACEUTICALS INC
COM
00448Q201
579
57971
SH
DFND
1
0
57971
0
ACHILLION PHARMACEUTICALS INC
COM
00448Q901
14187
14215
SH
Call
DFND
1
0
14215
0
ACHILLION PHARMACEUTICALS INC
COM
00448Q951
3930
3938
SH
Put
DFND
1
0
3938
0
ACTAVIS PLC SHS
SHS
G0083B108
15016
62233
SH
DFND
1
0
62233
0
ACTAVIS PLC SHS
SHS
G0083B908
36988
1533
SH
Call
DFND
1
0
1533
0
ACTAVIS PLC SHS
SHS
G0083B958
48449
2008
SH
Put
DFND
1
0
2008
0
AGILENT TECHNOLOGIES INC
COM
00846U901
28667
5031
SH
Call
DFND
1
0
5031
0
AGILENT TECHNOLOGIES INC
COM
00846U951
9476
1663
SH
Put
DFND
1
0
1663
0
ALCOBRA LTD
SHS
M2239P909
900
583
SH
Call
DFND
1
0
583
0
ALCOBRA LTD
SHS
M2239P959
5649
3659
SH
Put
DFND
1
0
3659
0
ALEXZA PHARMACEUTICALS INC
COM
015384909
475
2040
SH
Call
DFND
1
0
2040
0
ALIMERA SCIENCES INC
COM
016259103
271
50000
SH
DFND
1
0
50000
0
ALIMERA SCIENCES INC
COM
016259903
376
693
SH
Call
DFND
1
0
693
0
ALIMERA SCIENCES INC
COM
016259953
266
490
SH
Put
DFND
1
0
490
0
ALKERMES PLC
SHS
G01767105
1702
39695
SH
DFND
1
0
39695
0
ALKERMES PLC
SHS
G01767905
5740
1339
SH
Call
DFND
1
0
1339
0
ALKERMES PLC
SHS
G01767955
3061
714
SH
Put
DFND
1
0
714
0
ALLERGAN INC
COM
018490902
2512
141
SH
Call
DFND
1
0
141
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q907
18393
2355
SH
Call
DFND
1
0
2355
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q957
6037
773
SH
Put
DFND
1
0
773
0
AMERICAN TOWER CORP
COM
03027X900
2743
293
SH
Call
DFND
1
0
293
0
AMERICAN TOWER CORP
COM
03027X950
234
25
SH
Put
DFND
1
0
25
0
AMGEN INC
COM
031162900
15493
1103
SH
Call
DFND
1
0
1103
0
AMGEN INC
COM
031162950
7711
549
SH
Put
DFND
1
0
549
0
AMPIO PHARMACEUTICALS INC
COM
03209T109
497
140800
SH
DFND
1
0
140800
0
AMPIO PHARMACEUTICALS INC
COM
03209T959
497
1408
SH
Put
DFND
1
0
1408
0
ANTHERA PHARMACEUTICALS INC
COM
03674U901
131
683
SH
Call
DFND
1
0
683
0
APPLE INC
COM
037833900
3023
300
SH
Call
DFND
1
0
300
0
APPLE INC
COM
037833950
3023
300
SH
Put
DFND
1
0
300
0
APRICUS BIOSCIENCES INC
COM
03832V109
26
17800
SH
DFND
1
0
17800
0
APRICUS BIOSCIENCES INC
COM
03832V959
130
864
SH
Put
DFND
1
0
864
0
ARENA PHARMACEUTICALS INC
COM
040047102
1151
274782
SH
DFND
1
0
274782
0
ARENA PHARMACEUTICALS INC
COM
040047902
966
2306
SH
Call
DFND
1
0
2306
0
ARENA PHARMACEUTICALS INC
COM
040047952
1738
4149
SH
Put
DFND
1
0
4149
0
ARIAD PHARMACEUTICALS INC
COM
04033A100
1093
202445
SH
DFND
1
0
202445
0
ARIAD PHARMACEUTICALS INC
COM
04033A900
1227
2272
SH
Call
DFND
1
0
2272
0
ARIAD PHARMACEUTICALS INC
COM
04033A950
1316
2437
SH
Put
DFND
1
0
2437
0
ARROWHEAD RESEARCH CORP
COM
042797209
451
30513
SH
DFND
1
0
30513
0
ARROWHEAD RESEARCH CORP
COM
042797959
1477
1000
SH
Put
DFND
1
0
1000
0
ASTRAZENECA PLC
ADR
046353108
21
215323
SH
DFND
1
0
215323
0
ASTRAZENECA PLC
ADR
046353908
18874
1503
SH
Call
DFND
1
0
1503
0
ASTRAZENECA PLC
ADR
046353958
40365
4639
SH
Put
DFND
1
0
4639
0
ATHERSYS INC
COM
04744L906
90
647
SH
Call
DFND
1
0
647
0
ATHERSYS INC
COM
04744L956
142
1023
SH
Put
DFND
1
0
1023
0
AUSPEX PHARMACEUTICALS INC
COM
05211J102
3080
120000
SH
DFND
1
0
120000
0
AUXILIUM PHARMACEUTICALS INC
COM
05334D907
11483
3847
SH
Call
DFND
1
0
3847
0
AVALANCHE BIOTECHNOLOGIES IN
COM
05337G107
1710
50000
SH
DFND
1
0
50000
0
AVANIR PHARMACEUTICALS INC
CL A
05348P901
2839
2382
SH
Call
DFND
1
0
2382
0
BAXANO SURGICAL INC
COM
071773105
232
1269646
SH
DFND
1
0
1269646
0
BIODEL INC
COM
09064M204
2493
1492803
SH
DFND
1
0
1492803
0
BIODEL INC
COM
09064M954
30
182
SH
Put
DFND
1
0
182
0
BIOGEN IDEC INC
COM
09062X903
138279
4180
SH
Call
DFND
1
0
4180
0
BIOGEN IDEC INC
COM
09062X953
10817
327
SH
Put
DFND
1
0
327
0
BIOLINERX LTD
ADR
0971M106
2902
1884410
SH
DFND
1
0
1884410
0
BLUEBIRD BIO INC
COM
09609G100
882
24574
SH
DFND
1
0
24574
0
BLUEBIRD BIO INC
COM
09609G900
3563
993
SH
Call
DFND
1
0
993
0
BRAINSTORM CELL THERAPEUTICS
COM
10501E201
3322
808256
SH
DFND
1
0
808256
0
BRISTOL MYERS SQUIBB CO
COM
110122908
46748
9134
SH
Call
DFND
1
0
9134
0
BRISTOL MYERS SQUIBB CO
COM
110122958
12073
2359
SH
Put
DFND
1
0
2359
0
CARDICA INC
COM
14141R101
1090
1019137
SH
DFND
1
0
1019137
0
CASI PHARMACEUTICALS INC
COM
14757U109
1411
788485
SH
DFND
1
0
788485
0
CELATOR PHARMACEUTICALS INC
COM
15089R102
271
107129
SH
DFND
1
0
107129
0
CELGENE CORP
COM
151020904
21989
2320
SH
Call
DFND
1
0
2320
0
CELGENE CORP
COM
151020954
26046
2748
SH
Put
DFND
1
0
2748
0
CELLADON CORP
COM
15117E107
743
71000
SH
DFND
1
0
71000
0
CELLECTAR BIOSCIENCES INC
COM
15117F203
1658
730609
SH
DFND
1
0
730609
0
CELLECTAR BIOSCIENCES-WARRANTS
*W
15117F112
365
608800
SH
DFND
1
0
608800
0
CEL-SCI CORP
COM
150837508
12
12888
SH
DFND
1
0
12888
0
CEL-SCI CORP-WARRANTS
*W
150837177
874
3972437
SH
DFND
1
0
3972437
0
CELSION CORP
COM
15117N404
324
109435
SH
DFND
1
0
109435
0
CELSION CORP
COM
15117N954
2415
8160
SH
Put
DFND
1
0
8160
0
CELSUS THERAPEUTICS
ADR
15119A202
5059
860453
SH
DFND
1
0
860453
0
CEMPRA INC
COM
15130J109
776
70804
SH
DFND
1
0
70804
0
CEMPRA INC
COM
15130J909
1247
1138
SH
Call
DFND
1
0
1138
0
CEMPRA INC
COM
15130J959
1168
1066
SH
Put
DFND
1
0
1066
0
CERES INC
COM
156773103
205
500000
SH
DFND
1
0
500000
0
CESCA THERAPEUTICS INC
COM
157131103
4332
3551081
SH
DFND
1
0
3551081
0
CLEVELAND BIOLABS INC
COM
185860103
404
881056
SH
DFND
1
0
881056
0
COMPUGEN LTD
ORD
M25722105
29
3400
SH
DFND
1
0
3400
0
CONATUS PHARMACEUTICALS INC
COM
20600T108
294
48000
SH
DFND
1
0
48000
0
CORIUM INTERNATIONAL INC
COM
21887L107
803
130732
SH
DFND
1
0
130732
0
COVIDIEN PLC
SHS
G2554F113
5775
66752
SH
DFND
1
0
66752
0
COVIDIEN PLC
SHS
G2554F953
7890
912
SH
Put
DFND
1
0
912
0
CTI BIOPHARMA CORP
COM
12648L906
420
1735
SH
Call
DFND
1
0
1735
0
CTI BIOPHARMA CORP
COM
12648L956
62
256
SH
Put
DFND
1
0
256
0
CYMABAY THERAPEUTICS INC
COM
23257D103
1709
249900
SH
DFND
1
0
249900
0
CYTORI THERAPEUTICS INC
COM
23283K105
2363
3495368
SH
DFND
1
0
3495368
0
DEPOMED INC NOTE 2.5%
NOTE
249908AA2
316689
30000
SH
DFND
1
0
30000
0
DICERNA PHARMACEUTICALS INC
COM
253031108
3310
260000
SH
DFND
1
0
260000
0
DISCOVERY LABORATORIES INC
COM
254668403
120
65000
SH
DFND
1
0
65000
0
DISCOVERY LABORATORIES INC
COM
254668903
262
1424
SH
Call
DFND
1
0
1424
0
DYAX CORP
COM
26746E103
882
872
SH
Call
DFND
1
0
872
0
EDAP TMS SA
ADR
268311107
19
14524
SH
DFND
1
0
14524
0
EDAP TMS SA
ADR
268311907
55
423
SH
Call
DFND
1
0
423
0
EDAP TMS SA
ADR
268311957
18
139
SH
Put
DFND
1
0
139
0
ELEVEN BIOTHERAPEUTICS INC
COM
286221106
223
19997
SH
DFND
1
0
19997
0
ELI LILLY & CO
COM
532457908
28268
4359
SH
Call
DFND
1
0
4359
0
ENANTA PHARMACEUTICALS INC
COM
29251M906
514
130
SH
Call
DFND
1
0
130
0
ENDOCYTE INC
COM
29269A102
69
11300
SH
DFND
1
0
11300
0
ENDOCYTE INC
COM
29269A902
97
159
SH
Call
DFND
1
0
159
0
ENDOCYTE INC
COM
29269A952
525
863
SH
Put
DFND
1
0
863
0
EXACT SCIENCES CORP
COM
30063P105
425
21952
SH
DFND
1
0
21952
0
EXACT SCIENCES CORP
COM
30063P955
2236
1154
SH
Put
DFND
1
0
1154
0
EXELIXIS INC
COM
30161Q104
430
281322
SH
DFND
1
0
281322
0
EXELIXIS INC
COM
30161Q904
496
3244
SH
Call
DFND
1
0
3244
0
EXELIXIS INC
COM
30161Q954
438
2864
SH
Put
DFND
1
0
2864
0
FOAMIX PHARMACEUTICALS LTD
COM
M46135105
1478
271200
SH
DFND
1
0
271200
0
GALENA BIOPHARMA INC
COM
363256108
582
282704
SH
DFND
1
0
282704
0
GALENA BIOPHARMA INC
COM
363256958
1615
7839
SH
Put
DFND
1
0
7839
0
GERON CORP
COM
374163903
2454
4859
SH
Call
DFND
1
0
4859
0
GERON CORP
COM
374163953
65
107
SH
Put
DFND
1
0
107
0
GEVO INC
COM
374396109
1524
4448220
SH
DFND
1
0
4448220
0
GILEAD SCIENCES INC
COM
375558903
24356
2288
SH
Call
DFND
1
0
2288
0
GILEAD SCIENCES INC
COM
375558953
146933
13803
SH
Put
DFND
1
0
13803
0
GW PHARMACEUTICALS PLC
ADS
36197T103
2021
250
SH
Call
DFND
1
0
250
0
HARVARD APPARATUS REGENERATIVE TECH.
COM
41690A106
451
55621
SH
DFND
1
0
55621
0
HERON THERAPEUTICS INC
COM
427746102
1541
185000
SH
DFND
1
0
185000
0
HORIZON PHARMA ORD
SHS
G4617B905
6095
4963
SH
Call
DFND
1
0
4963
0
HORIZON PHARMA ORD
SHS
G4617B955
296
241
SH
Put
DFND
1
0
241
0
IDERA PHARMACEUTICALS INC
COM
45168K306
1923
839923
SH
DFND
1
0
839923
0
IDERA PHARMACEUTICALS INC
COM
45168K906
808
3529
SH
Call
DFND
1
0
3529
0
IGNYTA INC
COM
451731103
1851
229701
SH
DFND
1
0
229701
0
IMMUNOCELLULAR THERAPEUTICS LTD
COM
452536955
21
237
SH
Put
DFND
1
0
237
0
INCYTE CORP
COM
45337C902
2114
431
SH
Call
DFND
1
0
431
0
INFINITY PHARMACEUTICALS INC
COM
45665G303
73
5438
SH
DFND
1
0
5438
0
INFINITY PHARMACEUTICALS INC
COM
45665G903
1326
988
SH
Call
DFND
1
0
988
0
INFINITY PHARMACEUTICALS INC
COM
45665G953
1813
1351
SH
Put
DFND
1
0
1351
0
INSMED INC
COM
457669307
131
10000
SH
DFND
1
0
10000
0
INTELLIPHARMACEUTICS INTERNAINC COM
COM
458173951
207
689
SH
Put
DFND
1
0
689
0
INTERCEPT PHARMACEUTICALS INC
COM
45845P908
1302
55
SH
Call
DFND
1
0
55
0
INTEROIL CORP
COM
460951106
12153
223979
SH
DFND
1
0
223979
0
INTEROIL CORP
COM
460951956
23603
4350
SH
Put
DFND
1
0
4350
0
INTREXON CORP
COM
46122T102
471
25333
SH
DFND
1
0
25333
0
INTREXON CORP
COM
46122T902
1858
1000
SH
Call
DFND
1
0
1000
0
INTREXON CORP
COM
46122T952
1858
1000
SH
Put
DFND
1
0
1000
0
IRONWOOD PHARMACEUTICALS INC
COM
46333X908
464
142
SH
Call
DFND
1
0
142
0
ISHARES RUSSELL 2000 ETF
ETF
464287955
57835
5289
SH
Put
DFND
1
0
5289
0
ISIS PHARMACEUTICALS INC
COM
464330909
1476
380
SH
Call
DFND
1
0
380
0
KERYX BIOPHARMACEUTICALS
COM
492515901
344
250
SH
Call
DFND
1
0
250
0
KERYX BIOPHARMACEUTICALS
COM
492515951
138
100
SH
Put
DFND
1
0
100
0
LPATH INC
COM
548910306
5731
1628100
SH
DFND
1
0
1628100
0
MANNKIND CORP
COM
56400P201
3457
584918
SH
DFND
1
0
584918
0
MANNKIND CORP
COM
56400P901
19763
33440
SH
Call
DFND
1
0
33440
0
MANNKIND CORP
COM
56400P951
15099
25548
SH
Put
DFND
1
0
25548
0
MEDGENICS INC
COM
58436Q953
75
145
SH
Put
DFND
1
0
145
0
MEDGENICS INC-WARRANTS
*W
58436Q112
673
841712
SH
DFND
1
0
841712
0
MEDICINES CO
COM
584688955
315
141
SH
Put
DFND
1
0
141
0
MEDIVATION INC
COM
58501N901
17678
1788
SH
Call
DFND
1
0
1788
0
MEDIVATION INC
COM
58501N951
257
26
SH
Put
DFND
1
0
26
0
MEI PHARMA INC
COM
55279B202
1820
263723
SH
DFND
1
0
263723
0
MELA SCIENCES INC
COM
55277R308
128
74188
SH
DFND
1
0
74188
0
MERCK & CO INC
COM
58933Y905
37465
6320
SH
Call
DFND
1
0
6320
0
MERCK & CO INC
COM
58933Y955
16587
2798
SH
Put
DFND
1
0
2798
0
NEOSTEM INC
COM
640650404
63
11423
SH
DFND
1
0
11423
0
NEOSTEM INC
COM
640650904
192
348
SH
Call
DFND
1
0
348
0
NEOSTEM INC
COM
640650954
145
263
SH
Put
DFND
1
0
263
0
NEUROCRINE BIOSCIENCES INC
COM
64125C909
2625
1675
SH
Call
DFND
1
0
1675
0
NEUROCRINE BIOSCIENCES INC
COM
64125C959
2059
1314
SH
Put
DFND
1
0
1314
0
NEUROMETRIX INC
COM
641255302
561
311530
SH
DFND
1
0
311530
0
NORTHWEST BIOTHERAPEUTICS INC
COM
66737P950
1687
3353
SH
Put
DFND
1
0
3353
0
NPS PHARMACEUTICALS INC
COM
62936P103
375
14408
SH
DFND
1
0
14408
0
NPS PHARMACEUTICALS INC
COM
62936P903
1300
500
SH
Call
DFND
1
0
500
0
NPS PHARMACEUTICALS INC
COM
62936P953
1336
514
SH
Put
DFND
1
0
514
0
OCERA THERAPEUTICS INC
COM
67221A108
2067
421747
SH
DFND
1
0
421747
0
OCULAR THERAPEUTIX INC
COM
67576A100
4448
297107
SH
DFND
1
0
297107
0
OHR PHARMACEUTICAL INC
COM
67778H200
575
79300
SH
DFND
1
0
79300
0
OHR PHARMACEUTICAL INC
COM
67778H900
62
855
SH
Call
DFND
1
0
855
0
ONCOGENEX PHARMACEUTICAL INC
COM
68230A106
2102
787088
SH
DFND
1
0
787088
0
ONCOTHYREON INC
COM
682324108
2181
1136094
SH
DFND
1
0
1136094
0
ONCOTHYREON INC
COM
682324908
32
168
SH
Call
DFND
1
0
168
0
OPKO HEALTH INC
COM
68375N903
18997
22323
SH
Call
DFND
1
0
22323
0
OPKO HEALTH INC
COM
68375N953
1489
1750
SH
Put
DFND
1
0
1750
0
ORIENT PAPER INC
COM
68619F205
1426
1033214
SH
DFND
1
0
1033214
0
OXIGENE INC
COM
691828404
2554
1187598
SH
DFND
1
0
1187598
0
OXIGENE INC
COM
691828904
74
344
SH
Call
DFND
1
0
344
0
OXIGENE INC
COM
691828954
48
222
SH
Put
DFND
1
0
222
0
PACIFIC ETHANOL INC
COM
69423U305
320
22900
SH
DFND
1
0
22900
0
PACIFIC ETHANOL INC
COM
69423U955
443
317
SH
Put
DFND
1
0
317
0
PFIZER INC
COM
717081903
15258
5160
SH
Call
DFND
1
0
5160
0
PHARMACYCLICS INC
COM
716933956
341
29
SH
Put
DFND
1
0
29
0
PHARMATHENE INC
COM
71714G902
219
1230
SH
Call
DFND
1
0
1230
0
PLURISTEM THERAPEUTICS INC
COM
72940R102
340
119011
SH
DFND
1
0
119011
0
PLURISTEM THERAPEUTICS INC
COM
72940R952
943
3296
SH
Put
DFND
1
0
3296
0
PROQR THERAPEUTICS NV
SHS
N71542109
6554
381249
SH
DFND
1
0
381249
0
PSIVIDA CORP
COM
74440J101
394
89078
SH
DFND
1
0
89078
0
PSIVIDA CORP
COM
74440J901
155
350
SH
Call
DFND
1
0
350
0
PSIVIDA CORP
COM
74440J951
393
890
SH
Put
DFND
1
0
890
0
PUMA BIOTECHNOLOGY INC
COM
74587V907
8541
358
SH
Call
DFND
1
0
358
0
PUMA BIOTECHNOLOGY INC
COM
74587V957
5583
234
SH
Put
DFND
1
0
234
0
QUEST RESOURCE HOLDING CORP
COM
74836W104
3997
2323783
SH
DFND
1
0
2323783
0
RECEPTOS INC
COM
756207906
627
101
SH
Call
DFND
1
0
101
0
RECRO PHARMA INC
COM
75629F109
821
277502
SH
DFND
1
0
277502
0
REGADO BIOSCIENCE INC
COM
75874Q107
1143
1011550
SH
DFND
1
0
1011550
0
REGENERON PHARMACEUTICALS INC
COM
75886F907
9734
270
SH
Call
DFND
1
0
270
0
REPROS THERAPEUTICS INC
COM
76028H209
2927
295621
SH
DFND
1
0
295621
0
REPROS THERAPEUTICS INC
COM
76028H909
1076
1087
SH
Call
DFND
1
0
1087
0
REPROS THERAPEUTICS INC
COM
76028H959
3425
3460
SH
Put
DFND
1
0
3460
0
RETROPHIN INC
COM
761299906
1542
1710
SH
Call
DFND
1
0
1710
0
REVANCE THERAPEUTICS INC
COM
761330109
1852
95800
SH
DFND
1
0
95800
0
ROCKWELL MEDICAL INC
COM
774374102
1934
211635
SH
DFND
1
0
211635
0
ROCKWELL MEDICAL INC
COM
774374952
4758
5206
SH
Put
DFND
1
0
5206
0
SALIX PHARMACEUTICALS LTD
COM
795435106
312
2000
SH
DFND
1
0
2000
0
SALIX PHARMACEUTICALS LTD
COM
795435906
3125
200
SH
Call
DFND
1
0
200
0
SANGAMO BIOSCIENCES INC
COM
800677106
4531
420123
SH
DFND
1
0
420123
0
SANGAMO BIOSCIENCES INC
COM
800677906
10798
10012
SH
Call
DFND
1
0
10012
0
SAREPTA THERAPEUTICS INC
COM
803607100
2251
106663
SH
DFND
1
0
106663
0
SAREPTA THERAPEUTICS INC
COM
803607900
7541
3574
SH
Call
DFND
1
0
3574
0
SAREPTA THERAPEUTICS INC
COM
803607950
893
423
SH
Put
DFND
1
0
423
0
SEATTLE GENETICS INC
COM
812578102
1935
52047
SH
DFND
1
0
52047
0
SEATTLE GENETICS INC
COM
812578902
784
211
SH
Call
DFND
1
0
211
0
SEATTLE GENETICS INC
COM
812578952
2870
772
SH
Put
DFND
1
0
772
0
SEMLER SCIENTIFIC INC
COM
81684M104
789
281951
SH
DFND
1
0
281951
0
SHIRE PLC
ADR
82481R106
4741
9955
SH
DFND
1
0
9955
0
SHIRE PLC
ADR
82481R956
2579
183
SH
Put
DFND
1
0
183
0
SKYSTAR BIO-PHARMACEUTICAL
COM
830884300
1211
289110
SH
DFND
1
0
289110
0
SPDR S&P 500 ETF TRUST
TR UNIT
78462F953
86413
4386
SH
Put
DFND
1
0
4386
0
STEMCELLS INC
COM
85857R204
6081
4826383
SH
DFND
1
0
4826383
0
SUNESIS PHARMACEUTICALS INC
COM
867328901
2912
4079
SH
Call
DFND
1
0
4079
0
SUNESIS PHARMACEUTICALS INC
COM
867328951
650
910
SH
Put
DFND
1
0
910
0
SYNAGEVA BIOPHARMA CORP
COM
87159A103
9987
145200
SH
DFND
1
0
145200
0
SYNAGEVA BIOPHARMA CORP
COM
87159A953
9987
1452
SH
Put
DFND
1
0
1452
0
SYNERGY PHARMACEUTICALS - WARRANTS
*W
871639118
321
386391
SH
DFND
1
0
386391
0
T2 BIOSYSTEMS INC
COM
89853L104
1906
105367
SH
DFND
1
0
105367
0
TEKMIRA PHARMACEUTICALS CORP.
COM
87911B909
1867
883
SH
Call
DFND
1
0
883
0
TEKMIRA PHARMACEUTICALS CORP.
COM
87911B959
2562
1212
SH
Put
DFND
1
0
1212
0
TENAX THERAPEUTICS INC
COM
88032L100
11006
2800500
SH
DFND
1
0
2800500
0
TESARO INC
COM
881569907
4326
1607
SH
Call
DFND
1
0
1607
0
TESARO INC NOTE 3.00 %
NOTE
881569AA5
313125
30000
SH
DFND
1
0
30000
0
TESLA MOTORS INC
COM
88160R101
7927
32663
SH
DFND
1
0
32663
0
TESLA MOTORS INC
COM
88160R951
28175
1161
SH
Put
DFND
1
0
1161
0
TEVA PHARMACEUTICAL INDUSTRIES LTD
ADR
881624909
5612
1044
SH
Call
DFND
1
0
1044
0
TEVA PHARMACEUTICAL INDUSTRIES LTD
ADR
881624959
7611
1416
SH
Put
DFND
1
0
1416
0
TONIX PHARMACEUTICALS HOLDING CORP
COM
890260201
345
50394
SH
DFND
1
0
50394
0
TONIX PHARMACEUTICALS HOLDING CORP
COM
890260901
171
249
SH
Call
DFND
1
0
249
0
TONIX PHARMACEUTICALS HOLDING CORP
COM
890260951
708
1033
SH
Put
DFND
1
0
1033
0
TROVAGENE INC
COM
897238309
92
20000
SH
DFND
1
0
20000
0
TRUPANION INC
COM
898202106
1998
235000
SH
DFND
1
0
235000
0
UNIQURE B.V.
SHS
N90064101
620
67313
SH
DFND
1
0
67313
0
UNITED THERAPEUTICS CORP
COM
91307C902
11193
870
SH
Call
DFND
1
0
870
0
VANDA PHARMACEUTICALS INC
COM
921659108
847
81600
SH
DFND
1
0
81600
0
VANDA PHARMACEUTICALS INC
COM
921659908
1999
3316
SH
Call
DFND
1
0
3316
0
VERTEX PHARMACEUTICALS INC
COM
92532F900
254596
22669
SH
Call
DFND
1
0
22669
0
VERTEX PHARMACEUTICALS INC
COM
92532F950
107728
9592
SH
Put
DFND
1
0
9592
0
WAFERGEN BIO-SYSTEMS INC
COM
93041P308
2421
556600
SH
DFND
1
0
556600
0
XENCOR INC
COM
98401F105
1595
171275
SH
DFND
1
0
171275
0
XOMA CORP
COM
98419J107
1828
434318
SH
DFND
1
0
434318
0
XOMA CORP
COM
98419J907
1301
3090
SH
Call
DFND
1
0
3090
0
XOMA CORP
COM
98419J957
513
1218
SH
Put
DFND
1
0
1218
0
ZAFGEN INC
COM
98885E103
6437
327566
SH
DFND
1
0
327566
0