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 |
| Akari Therapeutics Plc | COM | 00972G108 | 3,800 | 158,352 | SH | SOLE | 158,352 | 0 | 0 | ||
| Akari Therapeutics Plc | COM | 00972G108 | 8,866 | 369,490 | SH | DFND | 369,490 | 0 | 0 | ||
| Alcobra Ltd | COM | M2239P109 | 2,718 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
| Alcobra Ltd | COM | M2239P109 | 6,342 | 1,050,000 | SH | DFND | 1,050,000 | 0 | 0 | ||
| Anacor Pharmaceuticals Inc | COM | 032420101 | 138,718 | 1,178,474 | SH | SOLE | 1,178,474 | 0 | 0 | ||
| ARCA biopharma Inc | COM | 00211Y100 | 2,293 | 462,399 | SH | SOLE | 462,399 | 0 | 0 | ||
| ARCA biopharma Inc | COM | 00211Y100 | 5,352 | 1,078,932 | SH | DFND | 1,078,932 | 0 | 0 | ||
| Ascendis Pharma A/S | COM | 04351P101 | 1,593 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
| Ascendis Pharma A/S | COM | 04351P101 | 12,764 | 721,152 | SH | DFND | 721,152 | 0 | 0 | ||
| Avalanche Biotechnologies Inc | COM | 05337G107 | 9,087 | 1,102,735 | SH | SOLE | 1,102,735 | 0 | 0 | ||
| Avalanche Biotechnologies Inc | COM | 05337G107 | 2,307 | 280,000 | SH | DFND | 280,000 | 0 | 0 | ||
| Coherus Biosciences Inc | COM | 19249H103 | 12,245 | 611,010 | SH | SOLE | 611,010 | 0 | 0 | ||
| Coherus Biosciences Inc | COM | 19249H103 | 5,196 | 259,259 | SH | DFND | 259,259 | 0 | 0 | ||
| Cynapsus Therapeutics Inc | COM | 23257Y701 | 1,782 | 110,228 | SH | SOLE | 110,228 | 0 | 0 | ||
| Cynapsus Therapeutics Inc | COM | 23257Y701 | 4,158 | 257,199 | SH | DFND | 257,199 | 0 | 0 | ||
| DBV Technologies | COM | F2927N109 | 31,778 | 463,643 | SH | SOLE | 463,643 | 0 | 0 | ||
| DBV Technologies | COM | F2927N109 | 13,834 | 230,167 | SH | DFND | 230,167 | 0 | 0 | ||
| Flamel Technologies S.A. | COM | 338488109 | 8,155 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
| GW Pharmaceuticals | COM | 36197T103 | 28,494 | 311,853 | SH | SOLE | 311,853 | 0 | 0 | ||
| Heron Therapeutics Inc | COM | 427746102 | 26,736 | 1,095,734 | SH | SOLE | 1,095,734 | 0 | 0 | ||
| Lipocine Inc | COM | 53630X104 | 10,055 | 849,921 | SH | SOLE | 849,921 | 0 | 0 | ||
| Lipocine Inc | COM | 53630X104 | 4,969 | 420,000 | SH | DFND | 420,000 | 0 | 0 | ||
| Ocera Therapeutics | COM | 67552A108 | 2,224 | 703,730 | SH | SOLE | 703,730 | 0 | 0 | ||
| ProNAI Therapeutics Inc | COM | 74346L101 | 1,539 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
| ProNAI Therapeutics Inc | COM | 74346L101 | 3,591 | 175,000 | SH | DFND | 175,000 | 0 | 0 | ||
| REGENXBIO Inc | COM | 75901B107 | 1,157 | 52,500 | SH | SOLE | 52,500 | 0 | 0 | ||
| REGENXBIO Inc | COM | 75901B107 | 19,021 | 1,030,954 | SH | DFND | 1,030,954 | 0 | 0 | ||
| Stemline Therapeutics Inc | COM | 85858C107 | 1,196 | 135,420 | SH | SOLE | 135,420 | 0 | 0 | ||
| Stemline Therapeutics Inc | COM | 85858C107 | 2,790 | 315,980 | SH | DFND | 315,980 | 0 | 0 | ||
| Zafgen Inc | COM | 98885E103 | 17,300 | 541,480 | SH | SOLE | 541,480 | 0 | 0 | ||