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 |
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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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 86,296,971 | 4,979,629 | SH | DFND | 4,979,629 | 0 | 0 | |||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 20,105,122 | 1,160,134 | SH | DFND | 1 | 1,160,134 | 0 | 0 | ||
AMYRIS INC | NOTE 1.500%11/1 | 03236MAJ0 | 92,500 | 500,000 | SH | DFND | 1 | 500,000 | 0 | 0 | ||
THE ARENA GROUP HOLDINGS INC | COM | 040044109 | 19,253,917 | 4,203,912 | SH | DFND | 4,203,912 | 0 | 0 | |||
THE ARENA GROUP HOLDINGS INC | COM | 040044109 | 64,862 | 14,162 | SH | DFND | 14,162 | 0 | 0 | |||
THE ARENA GROUP HOLDINGS INC | COM | 040044109 | 6,243,667 | 1,363,246 | SH | DFND | 1 | 1,363,246 | 0 | 0 | ||
BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 117,080,627 | 19,844,174 | SH | DFND | 19,844,174 | 0 | 0 | |||
BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 43,922,343 | 7,444,465 | SH | DFND | 1 | 7,444,465 | 0 | 0 | ||
CADIZ INC | COM NEW | 127537207 | 1,481,600 | 364,926 | SH | DFND | 1 | 364,926 | 0 | 0 | ||
CHICKEN SOUP FOR THE SOUL EN | CL A | 16842Q100 | 23,016 | 19,423 | SH | DFND | 1 | 19,423 | 0 | 0 | ||
DOUBLEDOWN INTERACTIVE CO LT | ADS | 25862B109 | 36,380,575 | 3,801,523 | SH | DFND | 3,801,523 | 0 | 0 | |||
DOUBLEDOWN INTERACTIVE CO LT | ADS | 25862B109 | 2,134,081 | 222,997 | SH | DFND | 1 | 222,997 | 0 | 0 | ||
EOS ENERGY ENTERPRISES INC | *W EXP 05/06/202 | 29415C119 | 455,000 | 325,000 | SH | DFND | 325,000 | 0 | 0 | |||
FAZE HOLDINGS INC | COMMON STOCK | 31423J102 | 5,403,794 | 11,028,151 | SH | DFND | 11,028,151 | 0 | 0 | |||
FAZE HOLDINGS INC | *W EXP 03/01/202 | 31423J110 | 3,120 | 156,001 | SH | DFND | 156,001 | 0 | 0 | |||
GREENLIGHT BIOSCIENCS HLDS P | *W EXP 02/02/202 | 39536G113 | 2,078 | 156,227 | SH | DFND | 1 | 156,227 | 0 | 0 | ||
IPERIONX LTD | SPONSORED ADS | 44916E100 | 3,203,955 | 439,500 | SH | DFND | 1 | 439,500 | 0 | 0 | ||
IMEDIA BRANDS INC | COM CL A | 452465206 | 12,132 | 91,911 | SH | DFND | 1 | 91,911 | 0 | 0 | ||
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 2,735,268 | 290,986 | SH | DFND | 1 | 290,986 | 0 | 0 | ||
INSEEGO CORP | NOTE 3.250% 5/0 | 45782BAD6 | 23,411 | 47,000 | SH | DFND | 1 | 47,000 | 0 | 0 | ||
JOURNEY MED CORP | COM | 48115J109 | 1,198,054 | 753,493 | SH | DFND | 1 | 753,493 | 0 | 0 | ||
LANDSEA HOMES CORP | COM | 51509P103 | 1,352,824 | 144,842 | SH | DFND | 1 | 144,842 | 0 | 0 | ||
LIFEMD INC | COM | 53216B104 | 2,017,630 | 463,823 | SH | DFND | 1 | 463,823 | 0 | 0 | ||
THE LION ELECTRIC COMPANY | *W EXP 12/16/202 | 536221120 | 602,272 | 1,399,006 | SH | DFND | 1 | 1,399,006 | 0 | 0 | ||
MARCHEX INC | CL B | 56624R108 | 4,336,485 | 2,045,512 | SH | DFND | 1 | 2,045,512 | 0 | 0 | ||
NEXTNAV INC | *W EXP 10/28/202 | 65345N114 | 39,182 | 55,974 | SH | DFND | 1 | 55,974 | 0 | 0 | ||
PERPETUA RESOURCES CORP | COM | 714266103 | 4,510,092 | 1,228,908 | SH | DFND | 1 | 1,228,908 | 0 | 0 | ||
QUANTUM CORP | COM NEW | 747906501 | 2,631,207 | 2,436,303 | SH | DFND | 1 | 2,436,303 | 0 | 0 | ||
SPLUNK INC | NOTE 1.125% 6/1 | 848637AF1 | 174,225 | 202,000 | SH | DFND | 1 | 202,000 | 0 | 0 | ||
SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 11,227,772 | 12,080,499 | SH | DFND | 1 | 12,080,499 | 0 | 0 | ||
TRANSACT TECHNOLOGIES INC | COM | 892918103 | 9,969,192 | 1,112,633 | SH | DFND | 1 | 1,112,633 | 0 | 0 | ||
FERROGLOBE PLC | SHS | G33856108 | 954,000 | 200,000 | SH | DFND | 1 | 200,000 | 0 | 0 | ||
LILIUM N V | CLASS A ORD SHS | N52586109 | 1,926,855 | 1,094,804 | SH | DFND | 1 | 1,094,804 | 0 | 0 |