0001144204-17-008083.txt : 20170214 0001144204-17-008083.hdr.sgml : 20170214 20170213185529 ACCESSION NUMBER: 0001144204-17-008083 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170213 EFFECTIVENESS DATE: 20170214 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-15245 FILM NUMBER: 17601552 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 1 primary_doc.xml 13F-HR LIVE false false false 0001535610 XXXXXXXX 12-31-2016 12-31-2016 false SABBY MANAGEMENT, LLC

10 Mountainview Road Suite 205 Upper Saddle River NJ 07458

13F HOLDINGS REPORT 028-15245 N Robert Grundstein 646-307-4527 /s/ Robert Grundstein Upper Saddle River NJ 02-13-2017 1 293 1719016 01 0001433766 028-13502 Mintz Hal INFORMATION TABLE 2 infotable.xml ABBVIE INC COM 00287Y909 13801 2204 SH Call DFND 1 0 2204 0 ABBVIE INC COM 00287Y959 7377 1178 SH Put DFND 1 0 1178 0 ACADIA PHARMACEUTICALS INC COM 004225908 18659 6470 SH Call DFND 1 0 6470 0 ACADIA PHARMACEUTICALS INC COM 004225958 1580 548 SH Put DFND 1 0 548 0 ACHILLION PHARMACEUTICALS INC COM 00448Q901 4166 10087 SH Call DFND 1 0 10087 0 ACORDA THERAPEUTICS INC COM 00484M106 4962 263947 SH DFND 1 0 263947 0 ACORDA THERAPEUTICS INC COM 00484M906 748 398 SH Call DFND 1 0 398 0 ACORDA THERAPEUTICS INC COM 00484M956 11553 6145 SH Put DFND 1 0 6145 0 ACTINIUM PHARMACEUTICALS INC COM 00507W107 760 868608 SH DFND 1 0 868608 0 ACURA PHARMACEUTICALS INC. COM 00509L802 79 103444 SH DFND 1 0 103444 0 ADAMIS PHARMACEUTICALS CORP COM 00547W958 42 134 SH Put DFND 1 0 134 0 ADVAXIS INC COM 007624208 75 10443 SH DFND 1 0 10443 0 ADVAXIS INC COM 007624908 193 270 SH Call DFND 1 0 270 0 ADVAXIS INC COM 007624958 296 414 SH Put DFND 1 0 414 0 ADVERUM BIOTECHNOLOGIES INC. COM 00773U108 822 283306 SH DFND 1 0 283306 0 AETERNA ZENTARIS INC COM 007975402 1442 400560 SH DFND 1 0 400560 0 AETERNA ZENTARIS INC COM 007975952 221 614 SH Put DFND 1 0 614 0 AEVI GENOMIC MEDICINE INC. COM 00835P105 716 138195 SH DFND 1 0 138195 0 AGENUS INC COM 00847G955 1031 2503 SH Put DFND 1 0 2503 0 AGIOS PHARMACEUTICALS INC COM 00847X904 2274 545 SH Call DFND 1 0 545 0 AKARI THERAPEUTICS PLC ADR 00972G108 120 17428 SH DFND 1 0 17428 0 ALCOBRA LTD SHS M2239P109 193 91858 SH DFND 1 0 91858 0 ALCOBRA LTD SHS M2239P909 651 3102 SH Call DFND 1 0 3102 0 ALCOBRA LTD SHS M2239P959 117 559 SH Put DFND 1 0 559 0 ALEXION PHARMACEUTICALS INC COM 015351909 19405 1586 SH Call DFND 1 0 1586 0 ALKERMES PLC SHS G01767905 9110 1639 SH Call DFND 1 0 1639 0 ALLIQUA BIOMEDICAL INC COM 019621200 649 1100398 SH DFND 1 0 1100398 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 518 13823 SH DFND 1 0 13823 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q907 4643 1240 SH Call DFND 1 0 1240 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q957 7698 2056 SH Put DFND 1 0 2056 0 AMARIN CORPORATION PLC ADR 023111906 3803 12346 SH Call DFND 1 0 12346 0 AMARIN CORPORATION PLC ADR 023111956 344 1118 SH Put DFND 1 0 1118 0 AMGEN INC COM 031162100 36961 252795 SH DFND 1 0 252795 0 AMGEN INC COM 031162900 4401 301 SH Call DFND 1 0 301 0 AMGEN INC COM 031162950 54010 3694 SH Put DFND 1 0 3694 0 AMICUS THERAPEUTICS INC COM 03152W109 300 60309 SH DFND 1 0 60309 0 AMICUS THERAPEUTICS INC COM 03152W909 5077 10216 SH Call DFND 1 0 10216 0 AMICUS THERAPEUTICS INC COM 03152W959 567 1140 SH Put DFND 1 0 1140 0 AMPLIPHI BIOSCIENCES CORP COM 03211P202 668 1518814 SH DFND 1 0 1518814 0 ANTHERA PHARMACEUTICALS INC COM 03674U201 59 91055 SH DFND 1 0 91055 0 ANTHERA PHARMACEUTICALS INC COM 03674U901 64 987 SH Call DFND 1 0 987 0 APPLIED DNA SCIENCES *W 03815U110 1139 2277612 SH DFND 1 0 2277612 0 APPLIED DNA SCIENCES COM 03815U201 3903 2109601 SH DFND 1 0 2109601 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1942 792617 SH DFND 1 0 792617 0 ARBUTUS BIOPHARMA CORP COM 03879J900 498 2033 SH Call DFND 1 0 2033 0 ASTERIAS BIOTHERAPEUTICS INC COM 04624N907 92 200 SH Call DFND 1 0 200 0 ASTRAZENECA PLC ADR 004635308 12985 4753 SH Call DFND 1 0 4753 0 ATHERSYS INC COM 04744L106 66 43263 SH DFND 1 0 43263 0 AXOVANT SCIENCES LTD COM G0750W104 1254 100998 SH DFND 1 0 100998 0 AXOVANT SCIENCES LTD COM G0750W904 7112 5726 SH Call DFND 1 0 5726 0 AXOVANT SCIENCES LTD COM G0750W954 3276 2638 SH Put DFND 1 0 2638 0 AZURRX BIOPHARMA INC. COM 05502L105 564 118993 SH DFND 1 0 118993 0 BARCLAYS BANK PLC IPATH 06740Q260 1743 50000 SH DFND 1 0 50000 0 BELLEROPHON THERAPEUTICS INC COM 078771102 414 789857 SH DFND 1 0 789857 0 BENITEC BIOPHARMA LTD *W 082053117 10 98146 SH DFND 1 0 98146 0 BENITEC BIOPHARMA LTD ADR 082053307 389 254445 SH DFND 1 0 254445 0 BIO PATH HOLDINGS INC. COM 09057N102 896 664046 SH DFND 1 0 664046 0 BIOBLAST PHARMA LTD SHS M20156101 687 660157 SH DFND 1 0 660157 0 BIOCEPT INC COM 09072V204 319 411432 SH DFND 1 0 411432 0 BIODELIVERY SCIENCES INTL INC. COM 09060J106 1222 698235 SH DFND 1 0 698235 0 BIOGEN INC COM 09062X103 5672 20000 SH DFND 1 0 20000 0 BIOGEN INC COM 09062X903 3261 115 SH Call DFND 1 0 115 0 BIOGEN INC COM 09062X953 2836 100 SH Put DFND 1 0 100 0 BIOPHARMX CORP COM 09072X101 265 708046 SH DFND 1 0 708046 0 BLUEBIRD BIO INC COM 09609G900 3665 597 SH Call DFND 1 0 597 0 BLUEPRINT MEDICINES CORP COM 09627Y959 533 190 SH Put DFND 1 0 190 0 BRAINSTORM CELL THERAPEUTICS COM 10501E201 637 250766 SH DFND 1 0 250766 0 BRISTOL MYERS SQUIBB CO COM 110122108 16900 289183 SH DFND 1 0 289183 0 BRISTOL MYERS SQUIBB CO COM 110122908 31669 5419 SH Call DFND 1 0 5419 0 BRISTOL MYERS SQUIBB CO COM 110122958 49545 8478 SH Put DFND 1 0 8478 0 CANCER GENETICS INC COM 13739U104 97 71971 SH DFND 1 0 71971 0 CAPNIA INC COM 14066L105 145 179002 SH DFND 1 0 179002 0 CAPRICOR THERAPEUTICS INC COM 14070B101 990 372046 SH DFND 1 0 372046 0 CARDIOME PHARMA CORP COM 14159U301 1208 437720 SH DFND 1 0 437720 0 CEL SCI CORP COM 150837508 427 6360207 SH DFND 1 0 6360207 0 CELLECT BIOTECHNOLOGY LTD ADS 15116C102 177 57348 SH DFND 1 0 57348 0 CELLECTAR BIOSCIENCES INC *W 15117F120 85 201889 SH DFND 1 0 201889 0 CELLECTAR BIOSCIENCES INC COM 15117F302 395 323515 SH DFND 1 0 323515 0 CELSION CORP COM 15117N404 416 1333093 SH DFND 1 0 1333093 0 CEMPRA INC COM 15130J109 121 43121 SH DFND 1 0 43121 0 CHAMPIONS ONCOLOGY INC COM 15870P307 641 253504 SH DFND 1 0 253504 0 CHECK CAP LTD SHS M2361E112 1352 575113 SH DFND 1 0 575113 0 CHIMERIX INC COM 16934W106 368 79900 SH DFND 1 0 79900 0 CIDARA THERAPEUTICS INC COM 171757107 3041 292398 SH DFND 1 0 292398 0 CLOVIS ONCOLOGY INC COM 189464900 15005 3378 SH Call DFND 1 0 3378 0 CLOVIS ONCOLOGY INC COM 189464950 1866 420 SH Put DFND 1 0 420 0 COHERUS BIOSCIENCES INC COM 19249H103 806 28618 SH DFND 1 0 28618 0 COHERUS BIOSCIENCES INC COM 19249H953 2567 912 SH Put DFND 1 0 912 0 COMBIMATRIX CORP *W 20009T147 363 844917 SH DFND 1 0 844917 0 CYTORI THERAPEUTICS INC *W 23283K121 866 1273712 SH DFND 1 0 1273712 0 CYTORI THERAPEUTICS INC COM 23283K204 2494 1651835 SH DFND 1 0 1651835 0 CYTRX CORP COM 232828509 1749 4697802 SH DFND 1 0 4697802 0 DEPOMED INC COM 249908904 335 186 SH Call DFND 1 0 186 0 DEXTERA SURGICAL INC COM 252366109 382 397863 SH DFND 1 0 397863 0 DICERNA PHARMACEUTICALS INC COM 253031108 288 100000 SH DFND 1 0 100000 0 DURECT CORP COM 266605104 2048 1528516 SH DFND 1 0 1528516 0 DURECT CORP COM 266605904 928 6927 SH Call DFND 1 0 6927 0 DYNAVAX TECHNOLOGIES CORP COM 268158201 261 66091 SH DFND 1 0 66091 0 DYNAVAX TECHNOLOGIES CORP COM 268158901 782 1979 SH Call DFND 1 0 1979 0 DYNAVAX TECHNOLOGIES CORP COM 268158951 102 258 SH Put DFND 1 0 258 0 EDAP TMS S A ADR 268311107 76 22993 SH DFND 1 0 22993 0 EDAP TMS S A ADR 268311957 112 341 SH Put DFND 1 0 341 0 EDITAS MEDICINE INC. COM 28106W103 1866 115000 SH DFND 1 0 115000 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 2802 240541 SH DFND 1 0 240541 0 ELI LILLY & CO COM 532457108 15674 213113 SH DFND 1 0 213113 0 ELI LILLY & CO COM 532457908 174130 23675 SH Call DFND 1 0 23675 0 ELI LILLY & CO COM 532457958 29736 4043 SH Put DFND 1 0 4043 0 ENDO INTERNATIONAL PLC SHS G30401106 2078 126139 SH DFND 1 0 126139 0 ENDO INTERNATIONAL PLC SHS G30401956 2179 1323 SH Put DFND 1 0 1323 0 ENTEROMEDICS INC COM 29365M505 67 33387 SH DFND 1 0 33387 0 EXELIXIS INC COM 30161Q904 2658 1783 SH Call DFND 1 0 1783 0 EXELIXIS INC COM 30161Q954 8039 5392 SH Put DFND 1 0 5392 0 EXPRESS SCRIPTS HOLDING CO COM 30219G108 1616 23494 SH DFND 1 0 23494 0 EXPRESS SCRIPTS HOLDING CO COM 30219G908 19928 2897 SH Call DFND 1 0 2897 0 EXPRESS SCRIPTS HOLDING CO COM 30219G958 8193 1191 SH Put DFND 1 0 1191 0 EYEGATE PHARMACEUTICALS INC COM 30233M107 314 192721 SH DFND 1 0 192721 0 EYEGATE PHARMACEUTICALS INC *W 30233M115 6 20604 SH DFND 1 0 20604 0 FIBROGEN INC COM 31572Q908 2544 1189 SH Call DFND 1 0 1189 0 FLEXION THERAPEUTICS INC COM 33938J106 208 10914 SH DFND 1 0 10914 0 FLEXION THERAPEUTICS INC COM 33938J906 240 126 SH Call DFND 1 0 126 0 FLEXION THERAPEUTICS INC COM 33938J956 472 248 SH Put DFND 1 0 248 0 FOAMIX PHARMACEUTICALS LTD SHS M46135105 648 58338 SH DFND 1 0 58338 0 FOAMIX PHARMACEUTICALS LTD SHS M46135905 978 881 SH Call DFND 1 0 881 0 FORWARD PHARMA A/S ADR 34986J105 1565 104273 SH DFND 1 0 104273 0 GALECTIN THERAPEUTICS INC COM 363225952 23 235 SH Put DFND 1 0 235 0 GALENA BIOPHARMA INC COM 363256504 45 23298 SH DFND 1 0 23298 0 GALENA BIOPHARMA INC COM 363256954 164 847 SH Put DFND 1 0 847 0 GENETIC TECHNOLOGIES LTD SHS 37185R208 1156 1070333 SH DFND 1 0 1070333 0 GENVEC INC COM 37246C406 387 120544 SH DFND 1 0 120544 0 GILEAD SCIENCES INC COM 375558903 30914 4317 SH Call DFND 1 0 4317 0 GREAT PANTHER SILVER LTD COM 39115V951 45 269 SH Put DFND 1 0 269 0 GW PHARMACEUTICALS PLC ADS 36197T903 2615 234 SH Call DFND 1 0 234 0 GW PHARMACEUTICALS PLC ADS 36197T953 2146 192 SH Put DFND 1 0 192 0 HALOZYME THERAPEUTICS INC COM 40637H909 2676 2708 SH Call DFND 1 0 2708 0 HALOZYME THERAPEUTICS INC COM 40637H959 526 532 SH Put DFND 1 0 532 0 HCA HOLDINGS INC COM 40412C901 48046 6491 SH Call DFND 1 0 6491 0 HCA HOLDINGS INC COM 40412C951 740 100 SH Put DFND 1 0 100 0 HEMISPHERX BIOPHARMA INC COM 42366C301 960 1391286 SH DFND 1 0 1391286 0 HERON THERAPEUTICS INC COM 427746902 185 141 SH Call DFND 1 0 141 0 HESS CORP COM 42809H907 5619 902 SH Call DFND 1 0 902 0 HISTOGENICS CORP COM 43358V109 1578 944891 SH DFND 1 0 944891 0 HORIZON PHARMA PLC SHS G4617B905 9647 5962 SH Call DFND 1 0 5962 0 HORIZON PHARMA PLC SHS G4617B955 4516 2791 SH Put DFND 1 0 2791 0 HUMANA INC COM 444859902 5937 291 SH Call DFND 1 0 291 0 IGNYTA INC COM 451731103 1034 195000 SH DFND 1 0 195000 0 IMMUNOCELLULAR THERAPEUTICS *W 452536121 192 383471 SH DFND 1 0 383471 0 IMMUNOCELLULAR THERAPEUTICS COM 452536204 328 160129 SH DFND 1 0 160129 0 IMMUNOMEDICS INC COM 452907108 184 50000 SH DFND 1 0 50000 0 INOTEK PHARMACEUTICALS CORP COM 45780V102 921 150930 SH DFND 1 0 150930 0 INOTEK PHARMACEUTICALS CORP COM 45780V902 65 106 SH Call DFND 1 0 106 0 INOTEK PHARMACEUTICALS CORP COM 45780V952 305 500 SH Put DFND 1 0 500 0 INSMED INC COM 457669307 636 48043 SH DFND 1 0 48043 0 INSMED INC COM 457669907 1930 1459 SH Call DFND 1 0 1459 0 INSMED INC COM 457669957 2531 1913 SH Put DFND 1 0 1913 0 INSPIREMD INC *W 45779A127 726 1210106 SH DFND 1 0 1210106 0 INTEC PHARMA LTD SHS M53644106 2930 514100 SH DFND 1 0 514100 0 INTELLIA THERAPEUTICS INC COM 45826J105 1704 130000 SH DFND 1 0 130000 0 INTRA-CELLULAR THERAPIES INC COM 46116X901 2688 1781 SH Call DFND 1 0 1781 0 IONIS PHARMACEUTICALS INC COM 462222900 5041 1054 SH Call DFND 1 0 1054 0 IONIS PHARMACEUTICALS INC COM 462222950 3525 737 SH Put DFND 1 0 737 0 ISHARES TR ETF 464287955 100045 7419 SH Put DFND 1 0 7419 0 JUNO THERAPEUTICS INC COM 48205A909 194 103 SH Call DFND 1 0 103 0 KITE PHARMA INC COM 49803L909 5251 1171 SH Call DFND 1 0 1171 0 KITE PHARMA INC COM 49803L959 1305 291 SH Put DFND 1 0 291 0 LA JOLLA PHARMACEUTICAL CO COM 503459604 3698 210978 SH DFND 1 0 210978 0 LA JOLLA PHARMACEUTICAL CO COM 503459904 2957 1687 SH Call DFND 1 0 1687 0 LA JOLLA PHARMACEUTICAL CO COM 503459954 589 336 SH Put DFND 1 0 336 0 LEXICON PHARMACEUTICALS INC COM 528872302 969 70040 SH DFND 1 0 70040 0 LEXICON PHARMACEUTICALS INC COM 528872902 2162 1563 SH Call DFND 1 0 1563 0 LEXICON PHARMACEUTICALS INC COM 528872952 167 121 SH Put DFND 1 0 121 0 LION BIOTECHNOLOGIES INC COM 53619R102 1571 226081 SH DFND 1 0 226081 0 LION BIOTECHNOLOGIES INC COM 53619R952 876 1260 SH Put DFND 1 0 1260 0 LION BIOTECHNOLOGIES INC COM 53619R990 136 195 SH Call DFND 1 0 195 0 MANNKIND CORP COM 56400P951 499 7842 SH Put DFND 1 0 7842 0 MEDICINES CO COM 584688105 3815 112392 SH DFND 1 0 112392 0 MEDICINES CO COM 584688905 1551 457 SH Call DFND 1 0 457 0 MEDICINES CO COM 584688955 3978 1172 SH Put DFND 1 0 1172 0 MEDIGUS LTD ADR 58471G102 50 87876 SH DFND 1 0 87876 0 MERCK & CO COM 58933Y905 74459 12648 SH Call DFND 1 0 12648 0 MIRATI THERAPEUTICS INC COM 60468T105 474 99735 SH DFND 1 0 99735 0 MIRNA THERAPEUTICS INC COM 60470J103 180 100200 SH DFND 1 0 100200 0 MONSANTO CO COM 61166W901 3293 313 SH Call DFND 1 0 313 0 MOTIF BIO PLC COM 619784101 5121 847826 SH DFND 1 0 847826 0 MOTIF BIO PLC *W 619784119 550 426170 SH DFND 1 0 426170 0 MYLAN N.V. SHS N59465909 15878 4162 SH Call DFND 1 0 4162 0 NEKTAR THERAPEUTICS COM 640268908 135 110 SH Call DFND 1 0 110 0 NEURALSTEM INC COM 64127R302 63 229521 SH DFND 1 0 229521 0 NEUROCRINE BIOSCIENCES INC COM 64125C909 4462 1153 SH Call DFND 1 0 1153 0 NEURODERM LTD SHS M74231107 511 23033 SH DFND 1 0 23033 0 NEUROMETRIX INC *W 641255153 211 3017747 SH DFND 1 0 3017747 0 NEUROMETRIX INC COM 641255500 123 166268 SH DFND 1 0 166268 0 NEVRO CORP COM 64157F903 1199 165 SH Call DFND 1 0 165 0 NEWLINK GENETICS CORP COM 651511107 579 56289 SH DFND 1 0 56289 0 NEWLINK GENETICS CORP COM 651511907 1624 1580 SH Call DFND 1 0 1580 0 NIVALIS THERAPEUTICS INC COM 65481J109 90 40004 SH DFND 1 0 40004 0 NOVAVAX INC COM 670002904 20 159 SH Call DFND 1 0 159 0 OCERA THERAPEUTICS INC COM 67552A108 690 328632 SH DFND 1 0 328632 0 OHR PHARMACEUTICAL INC COM 67778H200 1735 1156393 SH DFND 1 0 1156393 0 ONCOBIOLOGICS INC COM 68235M105 6738 2238470 SH DFND 1 0 2238470 0 ONCOBIOLOGICS INC *W 68235M113 154 930592 SH DFND 1 0 930592 0 ONCOBIOLOGICS INC *W 68235M121 726 930272 SH DFND 1 0 930272 0 ONCONOVA THERAPEUTICS INC *W 68232V116 428 691072 SH DFND 1 0 691072 0 ONCONOVA THERAPEUTICS INC COM 68232V306 1028 452804 SH DFND 1 0 452804 0 ONCOSEC MEDICAL INC COM 68234L207 1444 1173946 SH DFND 1 0 1173946 0 OPGEN INC COM 68373L109 604 525146 SH DFND 1 0 525146 0 OPHTHOTECH CORP COM 683745903 426 883 SH Call DFND 1 0 883 0 OPKO HEALTH INC COM 68375N103 1776 190955 SH DFND 1 0 190955 0 OPKO HEALTH INC COM 68375N903 1387 1491 SH Call DFND 1 0 1491 0 OPKO HEALTH INC COM 68375N953 2116 2275 SH Put DFND 1 0 2275 0 OTONOMY ORD SHS COM 68906L105 159 10000 SH DFND 1 0 10000 0 OVASCIENCE INC COM 69014Q101 74 48450 SH DFND 1 0 48450 0 PACIRA PHARMACEUTICALS INC COM 695127900 2261 700 SH Call DFND 1 0 700 0 PACIRA PHARMACEUTICALS INC COM 695127950 514 159 SH Put DFND 1 0 159 0 PALATIN TECHNOLOGIES INC COM 696077403 853 1672573 SH DFND 1 0 1672573 0 PARATEK PHARMACEUTICALS INC COM 699374302 1694 110000 SH DFND 1 0 110000 0 PARNELL PHARMACEUTICALS HOLDINGS LTD COM Q73622104 138 200549 SH DFND 1 0 200549 0 PIERIS PHARMACEUTICALS INC COM 720795103 1814 1296034 SH DFND 1 0 1296034 0 PORTOLA PHARMACEUTICALS INC COM 737010908 4046 1803 SH Call DFND 1 0 1803 0 PORTOLA PHARMACEUTICALS INC COM 737010958 240 107 SH Put DFND 1 0 107 0 PRONAI THERAPEUTICS INC. COM 74346L101 1402 940841 SH DFND 1 0 940841 0 PROQR THERAPEUTICS N V SHS N71542109 196 40000 SH DFND 1 0 40000 0 PROTHENA CORPORATION PLC COM G72800908 2410 490 SH Call DFND 1 0 490 0 PSIVIDA CORP COM 74440J101 351 205100 SH DFND 1 0 205100 0 PTC THERAPEUTICS INC COM 69366J900 6481 5940 SH Call DFND 1 0 5940 0 PTC THERAPEUTICS INC COM 69366J950 651 597 SH Put DFND 1 0 597 0 PUMA BIOTECHNOLOGY INC COM 74587V107 3170 103243 SH DFND 1 0 103243 0 PUMA BIOTECHNOLOGY INC COM 74587V907 6683 2177 SH Call DFND 1 0 2177 0 PUMA BIOTECHNOLOGY INC COM 74587V957 5216 1699 SH Put DFND 1 0 1699 0 RADIUS HEALTH INC COM 750469957 4526 1190 SH Put DFND 1 0 1190 0 REDHILL BIOPHARMA LTD ADS 757468103 2006 191785 SH DFND 1 0 191785 0 REGENERON PHARMACEUTICALS INC COM 75886F107 59658 162517 SH DFND 1 0 162517 0 REGENERON PHARMACEUTICALS INC COM 75886F907 7415 202 SH Call DFND 1 0 202 0 REGENERON PHARMACEUTICALS INC COM 75886F957 80686 2198 SH Put DFND 1 0 2198 0 REGENXBIO INC COM 75901B107 898 48400 SH DFND 1 0 48400 0 RENNOVA HEALTH INC COM 759757107 167 2022213 SH DFND 1 0 2022213 0 RENNOVA HEALTH INC *W 759757123 118 4926013 SH DFND 1 0 4926013 0 RETROPHIN INC COM 761299906 9083 4798 SH Call DFND 1 0 4798 0 RETROPHIN INC COM 761299956 772 408 SH Put DFND 1 0 408 0 REXAHN PHARMACEUTICALS INC COM 761640101 1040 7326681 SH DFND 1 0 7326681 0 RICEBRAN TECHNOLOGIES COM 762831204 902 875286 SH DFND 1 0 875286 0 RIGEL PHARMACEUTICALS INC COM 766559603 29 12350 SH DFND 1 0 12350 0 ROKA BIOSCIENCE INC COM 775431208 1549 365220 SH DFND 1 0 365220 0 ROSETTA GENOMICS LTD SHS M82183126 248 591339 SH DFND 1 0 591339 0 RXI PHARMACEUTICALS CORP *W 74979C113 454 2270283 SH DFND 1 0 2270283 0 RXI PHARMACEUTICALS CORP COM 74979C501 284 397371 SH DFND 1 0 397371 0 SAGE THERAPEUTICS INC COM 78667J908 4335 849 SH Call DFND 1 0 849 0 SAGE THERAPEUTICS INC COM 78667J958 521 102 SH Put DFND 1 0 102 0 SANGAMO BIOSCIENCES INC COM 800677106 193 63204 SH DFND 1 0 63204 0 SANGAMO BIOSCIENCES INC COM 800677906 1884 6177 SH Call DFND 1 0 6177 0 SAREPTA THERAPEUTICS INC COM 803607100 55266 2014787 SH DFND 1 0 2014787 0 SAREPTA THERAPEUTICS INC COM 803607900 1676 611 SH Call DFND 1 0 611 0 SAREPTA THERAPEUTICS INC COM 803607950 52805 19251 SH Put DFND 1 0 19251 0 SIENTRA INC COM 82621J105 605 70973 SH DFND 1 0 70973 0 SIENTRA INC COM 82621J955 2056 2413 SH Put DFND 1 0 2413 0 SOPHIRIS BIO INC COM 83578Q209 1391 496729 SH DFND 1 0 496729 0 SPDR S&P 500 ETF TR ETF 78462F953 134118 6000 SH Put DFND 1 0 6000 0 SPDR S&P BIOTECH ETF ETF 78464A870 693 11700 SH DFND 1 0 11700 0 SPDR S&P BIOTECH ETF ETF 78464A950 27364 4623 SH Put DFND 1 0 4623 0 STEMLINE THERAPEUTICS INC COM 85858C107 3829 357806 SH DFND 1 0 357806 0 STEMLINE THERAPEUTICS INC COM 85858C907 381 356 SH Call DFND 1 0 356 0 STRATA SKIN SCIENCES INC COM 86272A107 455 1034820 SH DFND 1 0 1034820 0 SUCAMPO PHARMACEUTICALS INC CL A 864909106 1016 75000 SH DFND 1 0 75000 0 SUNESIS PHARMACEUTICALS INC COM 867328700 801 221326 SH DFND 1 0 221326 0 SUPERCONDUCTOR TECHNOLOGIES COM 867931503 535 434747 SH DFND 1 0 434747 0 SYNERGY PHARMACEUTICALS INC COM 871639908 4589 7536 SH Call DFND 1 0 7536 0 SYNTHETIC BIOLOGICS INC COM 87164U102 2312 3031953 SH DFND 1 0 3031953 0 TENAX THERAPEUTICS INC COM 88032L100 2958 1516835 SH DFND 1 0 1516835 0 TENAX THERAPEUTICS INC COM 88032L900 2386 12237 SH Call DFND 1 0 12237 0 TENAX THERAPEUTICS INC COM 88032L950 33 169 SH Put DFND 1 0 169 0 TESARO INC COM 881569907 25094 1866 SH Call DFND 1 0 1866 0 TESARO INC COM 881569957 7571 563 SH Put DFND 1 0 563 0 TEVA PHARMACEUTICAL INDUSTRIES LTD ADR 881624909 31313 8638 SH Call DFND 1 0 8638 0 TG THERAPEUTICS INC COM 88322Q958 394 848 SH Put DFND 1 0 848 0 THERAPEUTICSMD INC COM 88338N107 144 24955 SH DFND 1 0 24955 0 THERAPEUTICSMD INC COM 88338N907 406 703 SH Call DFND 1 0 703 0 THERAPEUTICSMD INC COM 88338N957 338 586 SH Put DFND 1 0 586 0 UNITED THERAPEUTICS CORP COM 91307C902 3772 263 SH Call DFND 1 0 263 0 UNITED THERAPEUTICS CORP COM 91307C952 15777 1100 SH Put DFND 1 0 1100 0 VANDA PHARMACEUTICALS INC COM 921659908 802 503 SH Call DFND 1 0 503 0 VERACYTE INC COM 92337F107 1502 193999 SH DFND 1 0 193999 0 VERICEL INC COM 92346J108 450 149900 SH DFND 1 0 149900 0 VERTEX PHARMACEUTICALS INC COM 92532F900 7883 1070 SH Call DFND 1 0 1070 0 VERTEX PHARMACEUTICALS INC COM 92532F950 2181 296 SH Put DFND 1 0 296 0 VIKING THERAPEUTICS INC *W 92686J114 39 86349 SH DFND 1 0 86349 0 VISTAGEN THERAPEUTICS INC COM 92840H202 658 176384 SH DFND 1 0 176384 0 VTV THERAPEUTICS INC CL A 918385105 640 132547 SH DFND 1 0 132547 0 WAFERGEN BIO SYSTEMS INC COM 93041P506 1771 358535 SH DFND 1 0 358535 0 WINDTREE THERAPEUTICS INC COM 97382D105 415 334414 SH DFND 1 0 334414 0 XTL BIOPHARMACEUTICALS LTD ADR 98386D208 434 724134 SH DFND 1 0 724134 0 ZAFGEN INC. COM 98885E103 986 310000 SH DFND 1 0 310000 0 ZOGENIX INC COM 98978L904 15025 12366 SH Call DFND 1 0 12366 0 ZOGENIX INC COM 98978L954 165 136 SH Put DFND 1 0 136 0 ZOSANO PHARMA ORD SHS COM 98979H103 81 103600 SH DFND 1 0 103600 0