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 |
| AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 1,495 | 240,000 | SH | DFND | 1 | 0 | 240,000 | 0 | |
| ALIGN TECHNOLOGY INC | COM | 016255101 | 2,222 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 2,028 | 8,000 | SH | DFND | 1 | 0 | 8,000 | 0 | |
| ALPHABET INC | CAP STK CL C | 02079K107 | 3,139 | 3,000 | SH | DFND | 1 | 0 | 3,000 | 0 | |
| AMAZON COM INC | COM | 023135106 | 5,847 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
| ANNALY CAP MGMT INC | COM | 035710409 | 2,378 | 200,000 | SH | Put | DFND | 1 | 0 | 200,000 | 0 |
| APPLE INC | COM | 037833100 | 2,691 | 15,900 | SH | DFND | 1 | 0 | 15,900 | 0 | |
| APTEVO THERAPEUTICS INC | COM | 03835L108 | 806 | 190,000 | SH | DFND | 1 | 0 | 190,000 | 0 | |
| AQUANTIA CORP | COM ADDED | 03842Q108 | 125 | 11,000 | SH | DFND | 1 | 0 | 11,000 | 0 | |
| ASURE SOFTWARE INC | COM | 04649U102 | 400 | 28,300 | SH | DFND | 1 | 0 | 28,300 | 0 | |
| AXCELIS TECHNOLOGIES INC | COM NEW | 054540208 | 1,148 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
| BIOTELEMETRY INC | COM | 090672106 | 1,465 | 49,000 | SH | DFND | 1 | 0 | 49,000 | 0 | |
| BOINGO WIRELESS INC | COM | 09739C102 | 1,350 | 60,000 | SH | DFND | 1 | 0 | 60,000 | 0 | |
| CARVANA CO | CL A | 146869102 | 574 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| CENTURY CMNTYS INC | COM | 156504300 | 3,141 | 101,000 | SH | DFND | 1 | 0 | 101,000 | 0 | |
| CHROMADEX CORP | COM NEW | 171077407 | 1,176 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| COHERENT INC | COM | 192479103 | 847 | 3,000 | SH | DFND | 1 | 0 | 3,000 | 0 | |
| COHERENT INC | COM | 192479103 | 847 | 3,000 | SH | Put | DFND | 1 | 0 | 3,000 | 0 |
| CUTERA INC | COM | 232109108 | 1,361 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| CUTERA INC | COM | 232109108 | 1,361 | 30,000 | SH | Put | DFND | 1 | 0 | 30,000 | 0 |
| DIGITAL TURBINE INC | COM NEW | 25400W102 | 2,510 | 1,402,333 | SH | DFND | 1 | 0 | 1,402,333 | 0 | |
| EAGLE MATERIALS INC | COM | 26969P108 | 1,700 | 15,000 | SH | DFND | 1 | 0 | 15,000 | 0 | |
| ENCORE WIRE CORP | COM | 292562105 | 613 | 12,600 | SH | DFND | 1 | 0 | 12,600 | 0 | |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 19,554 | 737,600 | SH | DFND | 1 | 0 | 737,600 | 0 | |
| EXTREME NETWORKS INC | COM | 30226D106 | 626 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 224 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
| GEO GROUP INC NEW | COM | 36162J106 | 1,062 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| GRAND CANYON ED INC | COM | 38526M106 | 4,477 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
| GTT COMMUNICATIONS INC | COM | 362393100 | 3,287 | 70,000 | SH | DFND | 1 | 0 | 70,000 | 0 | |
| HALCON RES CORP | COM PAR NEW | 40537Q605 | 1,514 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
| HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 8,622 | 345,570 | SH | DFND | 1 | 0 | 345,570 | 0 | |
| HORTONWORKS INC | COM | 440894103 | 825 | 41,000 | SH | DFND | 1 | 0 | 41,000 | 0 | |
| INTELLICHECK INC | COM NEW | 45817G201 | 666 | 260,000 | SH | DFND | 1 | 0 | 260,000 | 0 | |
| ISHARES | RUSSELL 2000 ETF | 464287655 | 26,681 | 175,000 | SH | Put | DFND | 1 | 0 | 175,000 | 0 |
| LGI HOMES INC | COM | 50187T106 | 525 | 7,000 | SH | DFND | 1 | 0 | 7,000 | 0 | |
| MATCH GROUP INC | COM | 57665R106 | 626 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
| MATCH GROUP INC | COM | 57665R106 | 2,192 | 70,000 | SH | Put | DFND | 1 | 0 | 70,000 | 0 |
| MICROSOFT CORP | COM | 594918104 | 3,849 | 45,000 | SH | DFND | 1 | 0 | 45,000 | 0 | |
| MICROSOFT CORP | COM | 594918104 | 3,849 | 45,000 | SH | Put | DFND | 1 | 0 | 45,000 | 0 |
| MITEL NETWORKS CORP | COM | 60671Q104 | 691 | 84,000 | SH | DFND | 1 | 0 | 84,000 | 0 | |
| MODEL N INC | COM | 607525102 | 2,363 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
| NEOS THERAPEUTICS INC | COM | 64052L106 | 673 | 66,000 | SH | DFND | 1 | 0 | 66,000 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N206 | 7,729 | 650,000 | SH | DFND | 1 | 0 | 650,000 | 0 | |
| NET 1 UEPS TECHNOLOGIES INC | COM NEW | 64107N906 | 5,945 | 500,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| NEXPOINT RESIDENTIAL TR INC | COM | 65341D102 | 847 | 30,300 | SH | DFND | 1 | 0 | 30,300 | 0 | |
| NOVO-NORDISK A S | ADR | 670100205 | 1,395 | 26,000 | SH | DFND | 1 | 0 | 26,000 | 0 | |
| OCLARO INC | COM NEW | 67555N206 | 3,033 | 450,000 | SH | DFND | 1 | 0 | 450,000 | 0 | |
| OCLARO INC | COM NEW | 67555N206 | 674 | 100,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
| ON SEMICONDUCTOR CORP | COM | 682189105 | 628 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
| PENNEY J C INC | COM | 708160106 | 221 | 70,000 | SH | Put | DFND | 1 | 0 | 70,000 | 0 |
| POINTS INTL LTD | COM NEW | 730843208 | 10 | 1,000 | SH | DFND | 1 | 0 | 1,000 | 0 | |
| PRIMORIS SVCS CORP | COM | 74164F103 | 2,083 | 76,600 | SH | DFND | 1 | 0 | 76,600 | 0 | |
| SAVARA INC | COM | 805111101 | 1,959 | 132,000 | SH | DFND | 1 | 0 | 132,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 4,955 | 38,000 | SH | DFND | 1 | 0 | 38,000 | 0 | |
| SERVICENOW INC | COM | 81762P102 | 2,608 | 20,000 | SH | Put | DFND | 1 | 0 | 20,000 | 0 |
| SINCLAIR BROADCAST GROUP INC | CL A | 829226109 | 4,277 | 113,000 | SH | DFND | 1 | 0 | 113,000 | 0 | |
| STAMPS COM INC | COM NEW | 852857200 | 376 | 2,000 | SH | DFND | 1 | 0 | 2,000 | 0 | |
| TIER REIT INC | COM NEW | 88650V208 | 1,407 | 69,000 | SH | DFND | 1 | 0 | 69,000 | 0 | |
| TYLER TECHNOLOGIES INC | COM | 902252105 | 1,771 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
| UPLAND SOFTWARE INC | COM | 91544A109 | 6,281 | 290,000 | SH | DFND | 1 | 0 | 290,000 | 0 | |