0001144204-17-027813.txt : 20170516
0001144204-17-027813.hdr.sgml : 20170516
20170516100954
ACCESSION NUMBER: 0001144204-17-027813
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170516
DATE AS OF CHANGE: 20170516
EFFECTIVENESS DATE: 20170516
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: 17847425
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
03-31-2017
03-31-2017
true
1
RESTATEMENT
false
SABBY MANAGEMENT, LLC
10 Mountainview Road
Suite 205
Upper Saddle River
NJ
07458
13F HOLDINGS REPORT
028-15245
N
Robert Grundstein
Chief Operating Officer
646-307-4500
/s/ Robert Grundstein
Upper Saddle River
NJ
05-15-2017
1
257
1853949
01
0001433766
028-13502
Mintz Hal
INFORMATION TABLE
2
infotable.xml
ABBVIE INC
COM
00287Y909
108615
16669
SH
Call
DFND
1
0
16669
0
ABBVIE INC
COM
00287Y959
4652
714
SH
Put
DFND
1
0
714
0
ACCELERON PHARMA INC
COM
00434H908
244
92
SH
Call
DFND
1
0
92
0
ACHILLION PHARMACEUTICALS INC
COM
00448Q901
2679
6363
SH
Call
DFND
1
0
6363
0
ACORDA THERAPEUTICS INC
COM
00484M906
313
149
SH
Call
DFND
1
0
149
0
ACORDA THERAPEUTICS INC
COM
00484M106
1609
76610
SH
DFND
1
0
76610
0
ACORDA THERAPEUTICS INC
COM
00484M956
14696
6998
SH
Put
DFND
1
0
6998
0
ADAMAS PHARMACEUTICALS INC
COM
00548A956
439
931
SH
Put
DFND
1
0
931
0
ADVAXIS INC
COM
007624908
221
270
SH
Call
DFND
1
0
270
0
ADVAXIS INC
COM
007624958
338
414
SH
Put
DFND
1
0
414
0
ADVERUM BIOTECHNOLOGIES
COM
00773U108
763
282630
SH
DFND
1
0
282630
0
AETERNA ZENTARIS INC
COM
007975952
50
166
SH
Put
DFND
1
0
166
0
AEVI GENOMIC MEDICINE INC
COM
00835P105
37
19888
SH
DFND
1
0
19888
0
AEVI GENOMIC MEDICINE INC
COM
00835P905
84
450
SH
Call
DFND
1
0
450
0
ALDEYRA THERAPEUTICS INC
COM
01438T106
898
179627
SH
DFND
1
0
179627
0
ALEXION PHARMACEUTICALS INC
COM
015351959
6668
550
SH
Put
DFND
1
0
550
0
ALEXION PHARMACEUTICALS INC
COM
015351909
34153
2817
SH
Call
DFND
1
0
2817
0
ALKERMES PLC
SHS
G01767905
418
708
SH
Call
DFND
1
0
708
0
ALLIQUA BIOMEDICAL INC.
COM
019621200
1076
2131050
SH
DFND
1
0
2131050
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q907
10071
1965
SH
Call
DFND
1
0
1965
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q957
12695
2477
SH
Put
DFND
1
0
2477
0
AMAG PHARMACEUTICALS INC
COM
00163U906
246
109
SH
Call
DFND
1
0
109
0
AMAG PHARMACEUTICALS INC
COM
00163U106
1697
75263
SH
DFND
1
0
75263
0
AMARIN CORP PLC
COM
023111906
4274
13355
SH
Call
DFND
1
0
13355
0
AMEDICA CORP.
COM
023435209
751
1857578
SH
DFND
1
0
1857578
0
AMGEN INC
COM
031162100
6088
37104
SH
DFND
1
0
37104
0
AMGEN INC
COM
031162900
13093
798
SH
Call
DFND
1
0
798
0
AMGEN INC
COM
031162950
50123
3055
SH
Put
DFND
1
0
3055
0
AMICUS THERAPEUTICS INC
COM
03152W959
1598
2241
SH
Put
DFND
1
0
2241
0
AMICUS THERAPEUTICS INC
COM
03152W909
3104
4353
SH
Call
DFND
1
0
4353
0
AMPLIPHI BIOSCIENCES ORD SHS
COM
03211P202
507
304919
SH
DFND
1
0
304919
0
ANTHERA PHARMACEUTICALS INC
COM
03674U201
748
1757697
SH
DFND
1
0
1757697
0
APPLIED DNA SCIENCES
*W
03815U110
985
2431089
SH
DFND
1
0
2431089
0
APPLIED DNA SCIENCES
COM
03815U201
2930
1771839
SH
DFND
1
0
1771839
0
ARBUTUS BIOPHARMA CORP
COM
03879J900
102
315
SH
Call
DFND
1
0
315
0
ARBUTUS BIOPHARMA CORP
COM
03879J100
2107
648200
SH
DFND
1
0
648200
0
ARDELYX INC.
COM
039697957
40
160
SH
Put
DFND
1
0
160
0
ARRAY BIOPHARMA INC
COM
04269X105
1395
156074
SH
DFND
1
0
156074
0
ARRAY BIOPHARMA INC
COM
04269X955
2235
2500
SH
Put
DFND
1
0
2500
0
ASTRAZENECA PLC
ADR
046353958
13197
4238
SH
Put
DFND
1
0
4238
0
ASTRAZENECA PLC
ADR
046353908
45695
14674
SH
Call
DFND
1
0
14674
0
AURIS MEDICAL HOLDING AG
COM
H03579101
133
144900
SH
DFND
1
0
144900
0
AVEO PHARMACEUTICALS INC
COM
053588109
513
868900
SH
DFND
1
0
868900
0
AVEXIS INC
COM
05366U900
2281
300
SH
Call
DFND
1
0
300
0
AXOVANT SCIENCES LTD
COM
G0750W104
250
16715
SH
DFND
1
0
16715
0
AXOVANT SCIENCES LTD
COM
G0750W954
5438
3640
SH
Put
DFND
1
0
3640
0
AXOVANT SCIENCES LTD
COM
G0750W904
6890
4612
SH
Call
DFND
1
0
4612
0
AZURRX BIOPHARMA INC
COM
05502L105
462
119693
SH
DFND
1
0
119693
0
BARCLAYS BANK PLC
IPATH
06740Q260
1315
50000
SH
DFND
1
0
50000
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
895
72500
SH
DFND
1
0
72500
0
BENITEC BIOPHARMA LTD
*W
082053117
37
125163
SH
DFND
1
0
125163
0
BIO PATH HOLDINGS INC.
COM
09057N102
569
687398
SH
DFND
1
0
687398
0
BIOAMBER INC
COM
09072Q106
3388
1460859
SH
DFND
1
0
1460859
0
BIOBLAST PHARMA LTD
SHS
M20156101
167
219905
SH
DFND
1
0
219905
0
BIODELIVERY SCIENCES INTERNATIONAL INC
COM
09060J106
1279
673342
SH
DFND
1
0
673342
0
BIOLINERX LTD
ADR
09071M106
3018
3141756
SH
DFND
1
0
3141756
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G901
17284
1969
SH
Call
DFND
1
0
1969
0
BLUEBIRD BIO INC
COM
09609G950
654
72
SH
Put
DFND
1
0
72
0
BLUEBIRD BIO INC
COM
09609G900
17262
1899
SH
Call
DFND
1
0
1899
0
BLUEPRINT MEDICINES CORP
COM
09627Y109
2000
50000
SH
DFND
1
0
50000
0
BRAINSTORM CELL THERAPEUTICS INC.
COM
10501E901
296
69544
SH
DFND
1
0
69544
0
BRISTOL MYERS SQUIBB CO.
COM
110122108
13007
239180
SH
DFND
1
0
239180
0
BRISTOL MYERS SQUIBB CO.
COM
110122908
76235
14019
SH
Call
DFND
1
0
14019
0
BRISTOL MYERS SQUIBB CO.
COM
110122958
100456
18473
SH
Put
DFND
1
0
18473
0
CAN-FITE BIOPHARMA LTD
ADR
13471N102
57
30017
SH
DFND
1
0
30017
0
CAPNIA INC
COM
14066L105
159
233938
SH
DFND
1
0
233938
0
CAPRICOR THERAPEUTICS INC
COM
14070B101
791
237589
SH
DFND
1
0
237589
0
CARDIOME PHARMA CORP
COM
14159U301
819
273010
SH
DFND
1
0
273010
0
CASCADIAN THERAPEUTICS INC
COM
14740B606
669
161670
SH
DFND
1
0
161670
0
CEL SCI CORP
COM
150837508
154
1799815
SH
DFND
1
0
1799815
0
CHAMPIONS ONCOLOGY INC
COM
15870P307
227
71700
SH
DFND
1
0
71700
0
CHECK CAP LTD
SHS
M2361E112
527
249832
SH
DFND
1
0
249832
0
CHIMERIX INC
COM
16934W106
135
21200
SH
DFND
1
0
21200
0
CIDARA THERAPEUTICS INC
COM
171757107
1385
177600
SH
DFND
1
0
177600
0
CIGNA CORP
COM
125509909
23145
1580
SH
Call
DFND
1
0
1580
0
CLOVIS ONCOLOGY INC
COM
189464900
20705
3252
SH
Call
DFND
1
0
3252
0
COHERUS BIOSCIENCES INC
COM
19249H103
1973
93308
SH
DFND
1
0
93308
0
COHERUS BIOSCIENCES INC
COM
19249H953
2826
1336
SH
Put
DFND
1
0
1336
0
COMBIMATRIX CORP
*W
20009T147
762
619750
SH
DFND
1
0
619750
0
CURIS INC
COM
231269951
10
187
SH
Put
DFND
1
0
187
0
CYTOKINETICS INC
COM
23282W905
2600
2023
SH
Call
DFND
1
0
2023
0
CYTORI THERAPEUTICS INC
*W
23283K121
757
1261647
SH
DFND
1
0
1261647
0
CYTORI THERAPEUTICS INC
COM
23283K204
2034
1271303
SH
DFND
1
0
1271303
0
CYTOSORBENTS CORP
COM
23283X206
990
220000
SH
DFND
1
0
220000
0
CYTRX CORP
COM
232828509
440
989600
SH
DFND
1
0
989600
0
DICERNA PHARMACEUTICALS INC
COM
253031108
680
200000
SH
DFND
1
0
200000
0
DRAGONWAVE INC.
COM
26144M400
677
466696
SH
DFND
1
0
466696
0
DURECT CORP
COM
266605904
653
6215
SH
Call
DFND
1
0
6215
0
DURECT CORP
COM
266605104
1743
1659610
SH
DFND
1
0
1659610
0
DYNAVAX TECHNOLOGIES CORP
COM
268158951
130
219
SH
Put
DFND
1
0
219
0
DYNAVAX TECHNOLOGIES CORP
COM
268158901
6997
11760
SH
Call
DFND
1
0
11760
0
EDAP TMS SA
ADR
268311957
540
1943
SH
Put
DFND
1
0
1943
0
EDITAS MEDICINE INC
COM
28106W903
1750
784
SH
Call
DFND
1
0
784
0
EDITAS MEDICINE INC
COM
28106W103
2015
90300
SH
DFND
1
0
90300
0
EIGER BIOPHARMACEUTICALS ORD SHS
COM
28249U105
2735
238907
SH
DFND
1
0
238907
0
EKSO BIONICS HOLDINGS INC
COM
282644952
53
130
SH
Put
DFND
1
0
130
0
ESPERION THERAPEUTICS INC
COM
29664W955
907
257
SH
Put
DFND
1
0
257
0
ESPERION THERAPEUTICS INC
COM
29664W905
1130
320
SH
Call
DFND
1
0
320
0
EXELIXIS INC
COM
30161Q954
1084
500
SH
Put
DFND
1
0
500
0
EXELIXIS INC
COM
30161Q904
3684
1700
SH
Call
DFND
1
0
1700
0
FIBROGEN INC
COM
31572Q908
2317
940
SH
Call
DFND
1
0
940
0
FLEXION THERAPEUTICS INC
COM
33938J906
1389
516
SH
Call
DFND
1
0
516
0
FLEXION THERAPEUTICS INC
COM
33938J956
1773
659
SH
Put
DFND
1
0
659
0
FOAMIX PHARMACEUTICALS LTD
SHS
M46135905
91
184
SH
Call
DFND
1
0
184
0
FOAMIX PHARMACEUTICALS LTD
SHS
M46135105
173
35037
SH
DFND
1
0
35037
0
FORWARD PHARMA A/S
ADR
34986J105
733
34000
SH
DFND
1
0
34000
0
GALECTIN THERAPEUTICS INC
COM
363225952
193
840
SH
Put
DFND
1
0
840
0
GALENA BIOPHARMA INC
COM
363256904
371
6084
SH
Call
DFND
1
0
6084
0
GALENA BIOPHARMA INC
COM
363256504
1504
2465860
SH
DFND
1
0
2465860
0
GENETIC TECHNOLOGIES LTD
ADR
37185R208
678
570073
SH
DFND
1
0
570073
0
GEVO INC
COM
374396307
1274
1148755
SH
DFND
1
0
1148755
0
GILEAD SCIENCES INC
COM
375558903
56279
8286
SH
Call
DFND
1
0
8286
0
GLOBAL BLOOD THERAPEUTICS INC
COM
37890U908
1492
405
SH
Call
DFND
1
0
405
0
GREAT PANTHER SILVER LTD
COM
39115V951
331
2017
SH
Put
DFND
1
0
2017
0
GW PHARMACEUTICALS PLC
ADS
36197T953
5600
463
SH
Put
DFND
1
0
463
0
GW PHARMACEUTICALS PLC
ADS
36197T903
12989
1074
SH
Call
DFND
1
0
1074
0
HALOZYME THERAPEUTICS INC
COM
40637H909
4209
3248
SH
Call
DFND
1
0
3248
0
HCA HOLDINGS INC
COM
40412C901
6674
750
SH
Call
DFND
1
0
750
0
HEAT BIOLOGICS INC
COM
42237K102
2176
2445240
SH
DFND
1
0
2445240
0
HEMISPHERX BIOPHARMA INC
COM
42366C301
638
1170793
SH
DFND
1
0
1170793
0
HESS CORP
COM
42809H907
2
250
SH
Call
DFND
1
0
250
0
HISTOGENICS CORP
COM
43358V109
1895
1095422
SH
DFND
1
0
1095422
0
IGNYTA INC
COM
451731903
123
143
SH
Call
DFND
1
0
143
0
IGNYTA INC
COM
451731103
825
95918
SH
DFND
1
0
95918
0
IMMUNOCELLULAR THERAPEUTICS
*W
452536121
113
418767
SH
DFND
1
0
418767
0
IMMUNOCELLULAR THERAPEUTICS
COM
452536204
445
139912
SH
DFND
1
0
139912
0
IMMUNOMEDICS INC
COM
452907908
969
1497
SH
Call
DFND
1
0
1497
0
INCYTE CORP
COM
45337C952
6256
468
SH
Put
DFND
1
0
468
0
INCYTE CORP
COM
45337C902
8969
671
SH
Call
DFND
1
0
671
0
INOTEK PHARMACEUTICALS
COM
45780V102
202
100930
SH
DFND
1
0
100930
0
INSMED INC
COM
457669907
1161
663
SH
Call
DFND
1
0
663
0
INSMED INC
COM
457669957
5360
3061
SH
Put
DFND
1
0
3061
0
INSPIREMD INC
COM
45779A804
237
239335
SH
DFND
1
0
239335
0
INSPIREMD INC
*W
45779A127
258
1214925
SH
DFND
1
0
1214925
0
INTEC PHARMA LTD
SHS
M53644106
2652
514878
SH
DFND
1
0
514878
0
INTELLIA THERAPEUTICS INC
COM
45826J905
355
252
SH
Call
DFND
1
0
252
0
INTELLIA THERAPEUTICS INC
COM
45826J105
1973
140000
SH
DFND
1
0
140000
0
INTELLIPHARMACEUTICS INTERNATIONAL INC
COM
458173101
51
20412
SH
DFND
1
0
20412
0
INTRA-CELLULAR THERAPIES INC
COM
46116X901
257
158
SH
Call
DFND
1
0
158
0
IONIS PHARMACEUTICALS INC
COM
462222100
4651
115694
SH
DFND
1
0
115694
0
IONIS PHARMACEUTICALS INC
COM
462222900
5270
1311
SH
Call
DFND
1
0
1311
0
IONIS PHARMACEUTICALS INC
COM
462222950
10142
2523
SH
Put
DFND
1
0
2523
0
ISHARES TR
ETF
464287955
42619
3100
SH
Put
DFND
1
0
3100
0
ISHARES TR
ETF
464287905
68740
5000
SH
Call
DFND
1
0
5000
0
JAZZ PHARMACEUTICALS PLC
SHS
G50871905
4847
334
SH
Call
DFND
1
0
334
0
KITE PHARMA INC
COM
49803L959
2284
291
SH
Put
DFND
1
0
291
0
LA JOLLA PHARMACEUTICAL CO
COM
503459904
3143
1053
SH
Call
DFND
1
0
1053
0
LEXICON PHARMACEUTICALS INC
COM
528872302
410
28626
SH
DFND
1
0
28626
0
LEXICON PHARMACEUTICALS INC
COM
528872952
538
375
SH
Put
DFND
1
0
375
0
LEXICON PHARMACEUTICALS INC
COM
528872902
2241
1563
SH
Call
DFND
1
0
1563
0
LION BIOTECHNOLOGIES INC
COM
53619R902
145
195
SH
Call
DFND
1
0
195
0
LION BIOTECHNOLOGIES INC
COM
53619R102
448
60156
SH
DFND
1
0
60156
0
MANNKIND CORP
COM
56400P906
167
1127
SH
Call
DFND
1
0
1127
0
MANNKIND CORP
COM
56400P706
310
209292
SH
DFND
1
0
209292
0
MANNKIND CORP
COM
56400P956
3406
23014
SH
Put
DFND
1
0
23014
0
MEDICINES CO
COM
584688905
1565
320
SH
Call
DFND
1
0
320
0
MERCK & CO INC
COM
58933Y955
21140
3327
SH
Put
DFND
1
0
3327
0
MERCK & CO INC
COM
58933Y905
269556
42423
SH
Call
DFND
1
0
42423
0
MIRATI THERAPEUTICS INC
COM
60468T105
1299
249735
SH
DFND
1
0
249735
0
MIRNA THERAPEUTICS INC
COM
60470J103
24
11054
SH
DFND
1
0
11054
0
MOLECULIN BIOTECH INC
COM
60855D101
117
100000
SH
DFND
1
0
100000
0
MONSANTO CO
COM
61166W901
3543
313
SH
Call
DFND
1
0
313
0
MOTIF BIO PLC
*W
619784119
555
411372
SH
DFND
1
0
411372
0
MOTIF BIO PLC
ADR
619784101
4604
755875
SH
DFND
1
0
755875
0
NEURALSTEM INC
COM
64127R951
117
222
SH
Put
DFND
1
0
222
0
NEURALSTEM INC
COM
64127R401
2720
515216
SH
DFND
1
0
515216
0
NEUROMETRIX INC
*W
641255153
148
2947179
SH
DFND
1
0
2947179
0
NEUROMETRIX INC
COM
641255500
187
302104
SH
DFND
1
0
302104
0
NEWLINK GENETICS CORP
COM
651511907
5820
2415
SH
Call
DFND
1
0
2415
0
NEWLINK GENETICS CORP
COM
651511957
6331
2627
SH
Put
DFND
1
0
2627
0
OASMIA PHARMACEUTICAL AB
ADR
67421W109
66
35054
SH
DFND
1
0
35054
0
OHR PHARMACEUTICAL INC
COM
67778H200
1253
1509315
SH
DFND
1
0
1509315
0
ONCOBIOLOGICS INC
*W
68235M121
456
930272
SH
DFND
1
0
930272
0
ONCOBIOLOGICS INC
COM
68235M105
5999
2238470
SH
DFND
1
0
2238470
0
ONCOBIOLOGICS INC
*W
68235M113
763
930592
SH
DFND
1
0
930592
0
ONCONOVA THERAPEUTICS INC
*W
68232V116
544
650750
SH
DFND
1
0
650750
0
ONCONOVA THERAPEUTICS INC
COM
68232V306
1165
384360
SH
DFND
1
0
384360
0
ONCOSEC MEDICAL INC
COM
68234L207
1255
975839
SH
DFND
1
0
975839
0
OPGEN INC
COM
68373L109
1235
1073894
SH
DFND
1
0
1073894
0
OPKO HEALTH INC
COM
68375N953
101
126
SH
Put
DFND
1
0
126
0
OREXIGEN THERAPEUTICS INC
COM
686164952
68
197
SH
Put
DFND
1
0
197
0
OTONOMY INC
COM
68906L955
159
130
SH
Put
DFND
1
0
130
0
OTONOMY INC
COM
68906L105
3416
278840
SH
DFND
1
0
278840
0
OVASCIENCE INC
COM
69014Q101
792
423775
SH
DFND
1
0
423775
0
PALATIN TECHNOLOGIES INC
COM
696077403
663
2025729
SH
DFND
1
0
2025729
0
PARATEK PHARMACEUTICALS INC
COM
699374952
1973
1025
SH
Put
DFND
1
0
1025
0
PARATEK PHARMACEUTICALS INC
COM
699374902
2196
1141
SH
Call
DFND
1
0
1141
0
PARNELL PHARMACEUTICALS HOLDINGS LTD
COM
Q73622104
181
203549
SH
DFND
1
0
203549
0
PORTOLA PHARMACEUTICALS INC
COM
737010958
419
107
SH
Put
DFND
1
0
107
0
PORTOLA PHARMACEUTICALS INC
COM
737010908
13952
3560
SH
Call
DFND
1
0
3560
0
PROTEOSTASIS THERAPEUTICS INC
COM
74373B109
467
59700
SH
DFND
1
0
59700
0
PROTHENA CORPORATION PLC
SHS
G72800908
3682
660
SH
Call
DFND
1
0
660
0
PSIVIDA CORP
COM
74440J101
353
205100
SH
DFND
1
0
205100
0
PTC THERAPEUTICS INC
COM
69366J900
151
153
SH
Call
DFND
1
0
153
0
PTC THERAPEUTICS INC
COM
69366J200
539
54736
SH
DFND
1
0
54736
0
PTC THERAPEUTICS INC
COM
69366J950
639
649
SH
Put
DFND
1
0
649
0
PUMA BIOTECHNOLOGY INC
COM
74587V107
394
10600
SH
DFND
1
0
10600
0
PUMA BIOTECHNOLOGY INC
COM
74587V957
2329
626
SH
Put
DFND
1
0
626
0
RADIUS HEALTH INC
COM
750469207
998
25828
SH
DFND
1
0
25828
0
RADIUS HEALTH INC
COM
750469957
1755
454
SH
Put
DFND
1
0
454
0
REDHILL BIOPHARMA LTD
COM
757468103
1036
108014
SH
DFND
1
0
108014
0
RENNOVA HEALTH INC
COM
759757107
45
24988
SH
DFND
1
0
24988
0
RENNOVA HEALTH INC
*W
759757123
105
5249822
SH
DFND
1
0
5249822
0
RICEBRAN TECHNOLOGIES
COM
762831204
670
779555
SH
DFND
1
0
779555
0
ROKA BIOSCIENCE
COM
775431208
1374
389136
SH
DFND
1
0
389136
0
RXI PHARMACEUTICALS CORP
*W
74979C113
492
2238487
SH
DFND
1
0
2238487
0
SAGE THERAPEUTICS INC
COM
78667J108
240
3379
SH
DFND
1
0
3379
0
SAGE THERAPEUTICS INC
COM
78667J908
2047
288
SH
Call
DFND
1
0
288
0
SAGE THERAPEUTICS INC
COM
78667J958
3283
462
SH
Put
DFND
1
0
462
0
SANGAMO THERAPEUTICS INC
COM
800677956
289
556
SH
Put
DFND
1
0
556
0
SANGAMO THERAPEUTICS INC
COM
800677906
1816
3493
SH
Call
DFND
1
0
3493
0
SAREPTA THERAPEUTICS INC
COM
803607900
11985
4049
SH
Call
DFND
1
0
4049
0
SEATTLE GENETICS INC
COM
812578902
1521
242
SH
Call
DFND
1
0
242
0
SEATTLE GENETICS INC
COM
812578952
4337
690
SH
Put
DFND
1
0
690
0
SELECT SECTOR SPDR TR
UNIT
81369Y959
70255
9448
SH
Put
DFND
1
0
9448
0
SIERRA ONCOLOGY INC
COM
82640U107
2672
1746261
SH
DFND
1
0
1746261
0
SIGMA LABS INC
*W
826598112
250
250000
SH
DFND
1
0
250000
0
SIGMA LABS INC
COM
826598302
565
182244
SH
DFND
1
0
182244
0
SOPHIRIS BIO INC
COM
83578Q209
823
290700
SH
DFND
1
0
290700
0
SOPHIRIS BIO INC
COM
83578Q209
149
52722
SH
DFND
1
0
52722
0
SPDR S&P 500 ETF TR
ETF
78462F903
141420
5999
SH
Call
DFND
1
0
5999
0
SPDR S&P 500 ETF TR
ETF
78462F953
143801
6100
SH
Put
DFND
1
0
6100
0
SPDR S&P BIOTECH
COM
78464A950
30426
4388
SH
Put
DFND
1
0
4388
0
SPECTRANETICS CORP
COM
84760C107
2097
72000
SH
DFND
1
0
72000
0
SPECTRANETICS CORP
COM
84760C957
3469
1191
SH
Put
DFND
1
0
1191
0
STEMLINE THERAPEUTICS INC
COM
85858C957
318
372
SH
Put
DFND
1
0
372
0
STEMLINE THERAPEUTICS INC
COM
85858C907
1859
2174
SH
Call
DFND
1
0
2174
0
STEMLINE THERAPEUTICS INC
COM
85858C107
2480
290087
SH
DFND
1
0
290087
0
STRATA SKIN SCIENCES INC
COM
86272A107
428
708021
SH
DFND
1
0
708021
0
SUCAMPO PHARMACEUTICALS INC
CL A
864909106
935
85000
SH
DFND
1
0
85000
0
SUNESIS PHARMACEUTICALS INC
COM
867328700
632
154162
SH
DFND
1
0
154162
0
SUNESIS PHARMACEUTICALS INC
COM
867328900
661
1612
SH
Call
DFND
1
0
1612
0
SYNTHETIC BIOLOGICS INC
COM
87164U102
892
1414211
SH
DFND
1
0
1414211
0
TENAX THERAPEUTICS INC
COM
88032L100
300
1163363
SH
DFND
1
0
1163363
0
TESARO INC
COM
881569907
3108
202
SH
Call
DFND
1
0
202
0
TESARO INC
COM
881569957
10725
697
SH
Put
DFND
1
0
697
0
TG THERAPEUTICS INC
COM
88322Q958
569
488
SH
Put
DFND
1
0
488
0
TG THERAPEUTICS INC
COM
88322Q908
571
490
SH
Call
DFND
1
0
490
0
THERAPEUTICSMD INC
COM
88338N907
180
250
SH
Call
DFND
1
0
250
0
ULTRAGENYX PHARMACEUTICAL INC
COM
90400D958
2671
394
SH
Put
DFND
1
0
394
0
UNITED THERAPEUTICS CORP
COM
91307C102
2348
17342
SH
DFND
1
0
17342
0
UNITED THERAPEUTICS CORP
COM
91307C952
12171
899
SH
Put
DFND
1
0
899
0
UNITED THERAPEUTICS CORP
COM
91307C902
19089
1410
SH
Call
DFND
1
0
1410
0
VERICEL INC
COM
92346J108
41
14694
SH
DFND
1
0
14694
0
VERSARTIS INC
COM
92529L902
506
237
SH
Call
DFND
1
0
237
0
VERTEX PHARMACEUTICALS INC
COM
92532F950
5927
542
SH
Put
DFND
1
0
542
0
VERTEX PHARMACEUTICALS INC
COM
92532F900
15047
1376
SH
Call
DFND
1
0
1376
0
VISTAGEN THERAPEUTICS INC
COM
92840H202
340
173479
SH
DFND
1
0
173479
0
VTV THERAPEUTICS INC
CL A
918385105
811
123797
SH
DFND
1
0
123797
0
WINDTREE THERAPEUTICS INC
COM
97382D105
328
287522
SH
DFND
1
0
287522
0
WRIGHT MEDICAL GROUP N.V.
SHS
N96617908
1665
535
SH
Call
DFND
1
0
535
0
XENON PHARMACEUTICALS INC.
COM
98420N105
1186
296478
SH
DFND
1
0
296478
0
ZAFGEN INC
COM
98885E903
69
148
SH
Call
DFND
1
0
148
0
ZAFGEN INC
COM
98885E103
668
143318
SH
DFND
1
0
143318
0
ZOGENIX INC
COM
98978L204
626
57700
SH
DFND
1
0
57700
0
ZOGENIX INC
COM
98978L904
885
816
SH
Call
DFND
1
0
816
0
ZOGENIX INC
COM
98978L954
1303
1201
SH
Put
DFND
1
0
1201
0