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 |
| ABBVIE INC | COM | 00287Y909 | 81,762 | 11,276 | SH | Call | DFND | 1 | 0 | 11,276 | 0 |
| ACHILLION PHARMACEUTICALS INC | COM | 00448Q901 | 574 | 1,250 | SH | Call | DFND | 1 | 0 | 1,250 | 0 |
| ADAMIS PHARMACEUTICALS CORP | COM | 00547W958 | 651 | 1,251 | SH | Put | DFND | 1 | 0 | 1,251 | 0 |
| ADVAXIS INC | COM | 007624208 | 135 | 20,734 | SH | DFND | 1 | 0 | 20,734 | 0 | |
| ADVAXIS INC | COM | 007624908 | 175 | 270 | SH | Call | DFND | 1 | 0 | 270 | 0 |
| ADVAXIS INC | COM | 007624958 | 269 | 414 | SH | Put | DFND | 1 | 0 | 414 | 0 |
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 275 | 110,000 | SH | DFND | 1 | 0 | 110,000 | 0 | |
| AETERNA ZENTARIS INC | COM | 007975402 | 67 | 67,283 | SH | DFND | 1 | 0 | 67,283 | 0 | |
| ALDEYRA THERAPEUTICS INC. | COM | 01438T106 | 454 | 97,704 | SH | DFND | 1 | 0 | 97,704 | 0 | |
| ALEXION PHARMACEUTICALS INC | COM | 015351959 | 6,692 | 550 | SH | Put | DFND | 1 | 0 | 550 | 0 |
| ALEXION PHARMACEUTICALS INC | COM | 015351909 | 9,734 | 800 | SH | Call | DFND | 1 | 0 | 800 | 0 |
| ALLIQUA BIOMEDICAL INC. | COM | 019621200 | 396 | 1,071,409 | SH | DFND | 1 | 0 | 1,071,409 | 0 | |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q907 | 13,671 | 1,714 | SH | Call | DFND | 1 | 0 | 1,714 | 0 |
| ALNYLAM PHARMACEUTICALS INC | COM | 02043Q957 | 19,071 | 2,391 | SH | Put | DFND | 1 | 0 | 2,391 | 0 |
| ALPHATEC HOLDNGS INC | COM | 02081G201 | 629 | 334,622 | SH | DFND | 1 | 0 | 334,622 | 0 | |
| AMAG PHARMACEUTICALS INC | COM | 00163U906 | 193 | 105 | SH | Call | DFND | 1 | 0 | 105 | 0 |
| AMAG PHARMACEUTICALS INC | COM | 00163U106 | 1,635 | 88,878 | SH | DFND | 1 | 0 | 88,878 | 0 | |
| AMAG PHARMACEUTICALS INC | COM | 00163U956 | 3,938 | 2,140 | SH | Put | DFND | 1 | 0 | 2,140 | 0 |
| AMARIN CORPORATION PLC | ADR | 023111906 | 5,710 | 14,168 | SH | Call | DFND | 1 | 0 | 14,168 | 0 |
| AMICUS THERAPEUTICS INC | COM | 03152W959 | 2,701 | 2,682 | SH | Put | DFND | 1 | 0 | 2,682 | 0 |
| AMICUS THERAPEUTICS INC | COM | 03152W909 | 4,993 | 4,958 | SH | Call | DFND | 1 | 0 | 4,958 | 0 |
| AMPLIPHI BIOSCIENCES CORP | COM | 03211P301 | 570 | 731,409 | SH | DFND | 1 | 0 | 731,409 | 0 | |
| ANTARES PHARMA INC | COM | 036642906 | 327 | 1,016 | SH | Call | DFND | 1 | 0 | 1,016 | 0 |
| ANTHERA PHARMACEUTICALS INC | COM | 03674U300 | 960 | 592,672 | SH | DFND | 1 | 0 | 592,672 | 0 | |
| APPLIED DNA SCIENCES INC. | *W | 03815U110 | 980 | 2,389,305 | SH | DFND | 1 | 0 | 2,389,305 | 0 | |
| APPLIED DNA SCIENCES INC. | COM | 03815U201 | 1,738 | 987,593 | SH | DFND | 1 | 0 | 987,593 | 0 | |
| ARBUTUS BIOPHARMA CORP | COM | 03879J900 | 472 | 1,311 | SH | Call | DFND | 1 | 0 | 1,311 | 0 |
| ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 895 | 248,600 | SH | DFND | 1 | 0 | 248,600 | 0 | |
| ARRAY BIOPHARMA INC | COM | 04269X905 | 333 | 398 | SH | Call | DFND | 1 | 0 | 398 | 0 |
| ARRAY BIOPHARMA INC | COM | 04269X105 | 1,304 | 155,757 | SH | DFND | 1 | 0 | 155,757 | 0 | |
| ARRAY BIOPHARMA INC | COM | 04269X955 | 2,093 | 2,500 | SH | Put | DFND | 1 | 0 | 2,500 | 0 |
| ASTRAZENECA PLC | ADR | 046353958 | 13,043 | 3,826 | SH | Put | DFND | 1 | 0 | 3,826 | 0 |
| ASTRAZENECA PLC | ADR | 046353908 | 83,255 | 24,422 | SH | Call | DFND | 1 | 0 | 24,422 | 0 |
| ATOSSA GENETICS INC. | COM | 04962H209 | 150 | 291,046 | SH | DFND | 1 | 0 | 291,046 | 0 | |
| AURIS MEDICAL HOLDING AG | COM | H03579101 | 103 | 143,800 | SH | DFND | 1 | 0 | 143,800 | 0 | |
| AXOVANT SCIENCES LTD | COM | G0750W954 | 8,641 | 3,726 | SH | Put | DFND | 1 | 0 | 3,726 | 0 |
| AXOVANT SCIENCES LTD | COM | G0750W904 | 11,159 | 4,812 | SH | Call | DFND | 1 | 0 | 4,812 | 0 |
| AZURRX BIOPHARMA INC | COM | 05502L105 | 161 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
| BARCLAYS BANK PLC | IPATH | 06740Q260 | 600 | 26,500 | SH | DFND | 1 | 0 | 26,500 | 0 | |
| BENITEC BIOPHARMA LTD | *W | 082053117 | 32 | 90,193 | SH | DFND | 1 | 0 | 90,193 | 0 | |
| BIO PATH HOLDINGS inc | COM | 09057N102 | 462 | 1,190,886 | SH | DFND | 1 | 0 | 1,190,886 | 0 | |
| BIOAMBER INC | COM | 09072Q106 | 3,667 | 1,426,917 | SH | DFND | 1 | 0 | 1,426,917 | 0 | |
| BIOLINERX LTD | ADR | 09071M106 | 2,507 | 2,949,051 | SH | DFND | 1 | 0 | 2,949,051 | 0 | |
| BLUEBIRD BIO INC | COM | 09609G950 | 4,969 | 473 | SH | Put | DFND | 1 | 0 | 473 | 0 |
| BLUEBIRD BIO INC | COM | 09609G900 | 26,157 | 2,490 | SH | Call | DFND | 1 | 0 | 2,490 | 0 |
| BRAINSTORM CELL THERAPEUTICS INC | COM | 10501E201 | 70 | 16,731 | SH | DFND | 1 | 0 | 16,731 | 0 | |
| BRISTOL MYERS SQUIBB | COM | 110122908 | 27,030 | 4,851 | SH | Call | DFND | 1 | 0 | 4,851 | 0 |
| BRISTOL MYERS SQUIBB | COM | 110122908 | 111,216 | 1,995,980 | SH | DFND | 1 | 0 | 1,995,980 | 0 | |
| BRISTOL MYERS SQUIBB | COM | 110122958 | 185,525 | 33,296 | SH | Put | DFND | 1 | 0 | 33,296 | 0 |
| CAPRICOR THERAPEUTICS INC | COM | 14070B101 | 20 | 24,200 | SH | DFND | 1 | 0 | 24,200 | 0 | |
| CELSION CORP. | COM | 15117N503 | 223 | 108,843 | SH | DFND | 1 | 0 | 108,843 | 0 | |
| CERNER CORP | COM | 156782904 | 9,306 | 1,400 | SH | Call | DFND | 1 | 0 | 1,400 | 0 |
| CHAMPIONS ONCOLOGY INC. | COM | 15870P307 | 184 | 71,700 | SH | DFND | 1 | 0 | 71,700 | 0 | |
| CHECK CAP LTD | SHS | M2361E112 | 2,724 | 1,418,893 | SH | DFND | 1 | 0 | 1,418,893 | 0 | |
| CIDARA THERAPEUTICS INC | COM | 171757107 | 938 | 125,000 | SH | DFND | 1 | 0 | 125,000 | 0 | |
| CIGNA CORP | COM | 125509909 | 42,316 | 2,528 | SH | Call | DFND | 1 | 0 | 2,528 | 0 |
| CLOVIS ONCOLOGY INC | COM | 189464100 | 661 | 7,065 | SH | DFND | 1 | 0 | 7,065 | 0 | |
| CLOVIS ONCOLOGY INC | COM | 189464900 | 26,582 | 2,839 | SH | Call | DFND | 1 | 0 | 2,839 | 0 |
| COMBIMATRIX CORP | *W | 20009T147 | 731 | 545,309 | SH | DFND | 1 | 0 | 545,309 | 0 | |
| CORMEDIX INC | COM | 21900C100 | 1,818 | 4,243,914 | SH | DFND | 1 | 0 | 4,243,914 | 0 | |
| CURIS INC | COM | 231269901 | 32 | 168 | SH | Call | DFND | 1 | 0 | 168 | 0 |
| CURIS INC | COM | 231269951 | 91 | 480 | SH | Put | DFND | 1 | 0 | 480 | 0 |
| CURIS INC | COM | 231269101 | 91 | 48,000 | SH | DFND | 1 | 0 | 48,000 | 0 | |
| CYTOKINETICS INC | COM | 23282W905 | 3,802 | 3,142 | SH | Call | DFND | 1 | 0 | 3,142 | 0 |
| CYTORI THERAPEUTICS INC | *W | 23283K121 | 454 | 1,262,452 | SH | DFND | 1 | 0 | 1,262,452 | 0 | |
| CYTORI THERAPEUTICS INC | COM | 23283K204 | 1,789 | 1,626,807 | SH | DFND | 1 | 0 | 1,626,807 | 0 | |
| CYTOSORBENTS CORP | COM | 23283X206 | 740 | 172,100 | SH | DFND | 1 | 0 | 172,100 | 0 | |
| CYTRX CORP | COM | 232828959 | 16 | 255 | SH | Put | DFND | 1 | 0 | 255 | 0 |
| DBV TECHNOLOGIES S A | ADR | 23306J101 | 1,339 | 37,495 | SH | DFND | 1 | 0 | 37,495 | 0 | |
| DELMAR PHARMACEUTICALS INC. | COM | 247078207 | 1,484 | 645,390 | SH | DFND | 1 | 0 | 645,390 | 0 | |
| DICERNA PHARMACEUTICALS INC | COM | 253031108 | 602 | 190,000 | SH | DFND | 1 | 0 | 190,000 | 0 | |
| DURECT CORP | COM | 266605104 | 663 | 425,000 | SH | DFND | 1 | 0 | 425,000 | 0 | |
| DURECT CORP | COM | 266605904 | 758 | 4,858 | SH | Call | DFND | 1 | 0 | 4,858 | 0 |
| DYNAVAX TECHNOLOGIES | COM | 268158951 | 211 | 219 | SH | Put | DFND | 1 | 0 | 219 | 0 |
| DYNAVAX TECHNOLOGIES | COM | 268158901 | 12,056 | 12,493 | SH | Call | DFND | 1 | 0 | 12,493 | 0 |
| EDAP TMS SA | ADR | 268311957 | 688 | 2,086 | SH | Put | DFND | 1 | 0 | 2,086 | 0 |
| EDITAS MEDICINE INC | COM | 28106W903 | 291 | 881 | SH | Call | DFND | 1 | 0 | 881 | 0 |
| EDITAS MEDICINE INC | COM | 28106W103 | 1,426 | 85,000 | SH | DFND | 1 | 0 | 85,000 | 0 | |
| EIGER BIOPHARMACEUTICALS | COM | 28249U105 | 1,762 | 223,100 | SH | DFND | 1 | 0 | 223,100 | 0 | |
| EKSO BIONICS HOLDINGS INC | COM | 282644952 | 30 | 130 | SH | Put | DFND | 1 | 0 | 130 | 0 |
| ESPERION THERAPEUTICS INC | COM | 29664W955 | 1,189 | 257 | SH | Put | DFND | 1 | 0 | 257 | 0 |
| EYEGATE PHARMACEUTICALS INC | COM | 30233M107 | 473 | 345,524 | SH | DFND | 1 | 0 | 345,520 | 0 | |
| FIBROGEN INC | COM | 31572Q908 | 4,965 | 1,537 | SH | Call | DFND | 1 | 0 | 1,537 | 0 |
| FLEXION THERAPEUTICS INC | COM | 33938J956 | 1,353 | 669 | SH | Put | DFND | 1 | 0 | 669 | 0 |
| FLEXION THERAPEUTICS INC | COM | 33938J906 | 1,527 | 755 | SH | Call | DFND | 1 | 0 | 755 | 0 |
| GALECTIN THERAPEUTICS INC | COM | 363225952 | 158 | 641 | SH | Put | DFND | 1 | 0 | 641 | 0 |
| GALENA BIOPHARMA INC | COM | 363256904 | 353 | 6,084 | SH | Call | DFND | 1 | 0 | 6,084 | 0 |
| GALENA BIOPHARMA INC | COM | 363256504 | 1,536 | 2,644,522 | SH | DFND | 1 | 0 | 2,644,522 | 0 | |
| GENETIC TECHNOLOGIES LTD | ADR | 37185R208 | 48 | 53,626 | SH | DFND | 1 | 0 | 53,626 | 0 | |
| GEVO INC. | COM | 374396307 | 390 | 565,322 | SH | DFND | 1 | 0 | 565,322 | 0 | |
| GILEAD SCIENCES INC | COM | 375558903 | 3,213 | 454 | SH | Call | DFND | 1 | 0 | 454 | 0 |
| GLOBAL BLOOD THERAPEUTICS INC | COM | 37890U908 | 1,832 | 670 | SH | Call | DFND | 1 | 0 | 670 | 0 |
| GREAT PANTHER SILVER LTD | COM | 39115V101 | 22 | 17,322 | SH | DFND | 1 | 0 | 17,322 | 0 | |
| GREAT PANTHER SILVER LTD | COM | 39115V951 | 266 | 2,075 | SH | Put | DFND | 1 | 0 | 2,075 | 0 |
| GW PHARMACEUTICALS PLC | ADS | 36197T103 | 1,575 | 15,714 | SH | DFND | 1 | 0 | 15,714 | 0 | |
| GW PHARMACEUTICALS PLC | ADS | 36197T953 | 4,642 | 463 | SH | Put | DFND | 1 | 0 | 463 | 0 |
| HALOZYME THERAPEUTICS INC | COM | 40637H909 | 8,803 | 6,867 | SH | Call | DFND | 1 | 0 | 6,867 | 0 |
| HEALTH CARE SELECT SECTOR SPDR FUND | SBI | 81369Y959 | 5,697 | 719 | SH | Put | DFND | 1 | 0 | 719 | 0 |
| HEAT BIOLOGICS INC | COM | 42237K102 | 1,228 | 2,016,537 | SH | DFND | 1 | 0 | 2,016,537 | 0 | |
| HEMISPHERX BIOPHARMA INC | COM | 42366C301 | 472 | 942,011 | SH | DFND | 1 | 0 | 942,011 | 0 | |
| HISTOGENICS CORP | COM | 43358V109 | 1,952 | 1,084,395 | SH | DFND | 1 | 0 | 1,084,395 | 0 | |
| IGNYTA INC | COM | 451731903 | 170 | 164 | SH | Call | DFND | 1 | 0 | 164 | 0 |
| IMMUNOCELLULAR THERAPEUTICS | *W | 452536121 | 8 | 415,103 | SH | DFND | 1 | 0 | 415,103 | 0 | |
| IMMUNOMEDICS INC | COM | 452907908 | 1,322 | 1,497 | SH | Call | DFND | 1 | 0 | 1,497 | 0 |
| INCYTE CORP | COM | 45337C952 | 1,259 | 100 | SH | Put | DFND | 1 | 0 | 100 | 0 |
| INCYTE CORP | COM | 45337C902 | 3,551 | 282 | SH | Call | DFND | 1 | 0 | 282 | 0 |
| INOTEK PHARMACEUTICALS | COM | 45780V102 | 404 | 212,651 | SH | DFND | 1 | 0 | 212,651 | 0 | |
| INSMED INC | COM | 457669907 | 1,203 | 701 | SH | Call | DFND | 1 | 0 | 701 | 0 |
| INSMED INC | COM | 457669957 | 3,259 | 1,899 | SH | Put | DFND | 1 | 0 | 1,899 | 0 |
| INSPIREMD INC | *W | 45779A127 | 145 | 1,209,425 | SH | DFND | 1 | 0 | 1,209,425 | 0 | |
| INSPIREMD INC | *W | 45779A135 | 155 | 2,002,348 | SH | DFND | 1 | 0 | 2,002,348 | 0 | |
| INSPIREMD INC | COM | 45779A804 | 15 | 22,704 | SH | DFND | 1 | 0 | 22,704 | 0 | |
| INTEC PHARMA LTD | SHS | M53644106 | 528 | 92,701 | SH | DFND | 1 | 0 | 92,701 | 0 | |
| INTELLIA THERAPEUTICS INC | COM | 45826J905 | 723 | 452 | SH | Call | DFND | 1 | 0 | 452 | 0 |
| INTELLIA THERAPEUTICS INC | COM | 45826J105 | 960 | 60,000 | SH | DFND | 1 | 0 | 60,000 | 0 | |
| INTERPACE DIAGNOSTICS GROUP | COM | 46062X204 | 476 | 529,819 | SH | DFND | 1 | 0 | 529,819 | 0 | |
| IONIS PHARMACEUTICALS INC | COM | 462222950 | 6,405 | 1,259 | SH | Put | DFND | 1 | 0 | 1,259 | 0 |
| IONIS PHARMACEUTICALS INC | COM | 462222900 | 6,577 | 1,293 | SH | Call | DFND | 1 | 0 | 1,293 | 0 |
| IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 | 524 | 71,251 | SH | DFND | 1 | 0 | 71,251 | 0 | |
| ISHARES ETF | TR | 464287955 | 57,185 | 4,058 | SH | Put | DFND | 1 | 0 | 4,058 | 0 |
| KADMON HLDGS INC | COM | 48283N106 | 2,112 | 542,869 | SH | DFND | 1 | 0 | 542,869 | 0 | |
| KITE PHARMA INC | COM | 49803L109 | 3,254 | 31,384 | SH | DFND | 1 | 0 | 31,384 | 0 | |
| KITE PHARMA INC | COM | 49803L959 | 8,200 | 791 | SH | Put | DFND | 1 | 0 | 791 | 0 |
| LA JOLLA PHARMACEUTICAL CO | COM | 503459904 | 19 | 346 | SH | Call | DFND | 1 | 0 | 346 | 0 |
| LEXICON PHARMACEUTICALS INC | COM | 528872952 | 752 | 457 | SH | Put | DFND | 1 | 0 | 457 | 0 |
| LION BIOTECHNOLOGIES INC | COM | 462260950 | 140 | 195 | SH | Put | DFND | 1 | 0 | 195 | 0 |
| MANNKIND CORP | COM | 56400P956 | 864 | 6,126 | SH | Put | DFND | 1 | 0 | 6,126 | 0 |
| MANNKIND CORP | COM | 56400P906 | 159 | 1,127 | SH | Call | DFND | 1 | 0 | 1,127 | 0 |
| MEDICINES CO | COM | 584688105 | 447 | 11,764 | SH | DFND | 1 | 0 | 11,764 | 0 | |
| MEDICINES CO | COM | 584688955 | 483 | 127 | SH | Put | DFND | 1 | 0 | 127 | 0 |
| MEDICINES CO | COM | 584688905 | 612 | 161 | SH | Call | DFND | 1 | 0 | 161 | 0 |
| MEDIGUS LTD | ADR | 58471G201 | 608 | 278,944 | SH | DFND | 1 | 0 | 278,944 | 0 | |
| MERCK & CO INC | COM | 58933Y955 | 45,062 | 7,031 | SH | Put | DFND | 1 | 0 | 7,031 | 0 |
| MERCK & CO INC | COM | 58933Y905 | 261,865 | 40,859 | SH | Call | DFND | 1 | 0 | 40,859 | 0 |
| MICROBOT MED INC | COM | 59503A105 | 1,825 | 1,285,351 | SH | DFND | 1 | 0 | 1,285,351 | 0 | |
| MIRATI THERAPEUTICS INC | COM | 60468T105 | 921 | 255,100 | SH | DFND | 1 | 0 | 255,100 | 0 | |
| MOTIF BIO PLC | *W | 619784119 | 256 | 141,334 | SH | DFND | 1 | 0 | 141,334 | 0 | |
| NEURALSTEM INC | COM | 64127R951 | 157 | 272 | SH | Put | DFND | 1 | 0 | 272 | 0 |
| NEUROMETRIX INC | *W | 641255153 | 7 | 65,019 | SH | DFND | 1 | 0 | 65,019 | 0 | |
| NEWLINK GENETICS CORP | COM | 651511957 | 995 | 1,354 | SH | Put | DFND | 1 | 0 | 1,354 | 0 |
| NEWLINK GENETICS CORP | COM | 651511107 | 1,015 | 138,052 | SH | DFND | 1 | 0 | 138,052 | 0 | |
| OASMIA PHARMACEUTICAL AB | ADR | 67421W109 | 20 | 19,000 | SH | DFND | 1 | 0 | 19,000 | 0 | |
| OHR PHARMACEUTICAL INC | COM | 67778H200 | 436 | 681,300 | SH | DFND | 1 | 0 | 681,300 | 0 | |
| ONCOBIOLOGICS INC | *W | 68235M113 | 277 | 338,113 | SH | DFND | 1 | 0 | 338,113 | 0 | |
| ONCOBIOLOGICS INC | *W | 68235M121 | 428 | 500,624 | SH | DFND | 1 | 0 | 500,624 | 0 | |
| ONCOBIOLOGICS INC | COM | 68235M105 | 2,371 | 2,365,763 | SH | DFND | 1 | 0 | 2,365,763 | 0 | |
| ONCONOVA THERAPEUTICS INC | *W | 68232V116 | 290 | 645,350 | SH | DFND | 1 | 0 | 645,350 | 0 | |
| ONCONOVA THERAPEUTICS INC | COM | 68232V306 | 1,693 | 784,000 | SH | DFND | 1 | 0 | 784,000 | 0 | |
| ONCOSEC MEDICAL INC | COM | 68234L207 | 1,152 | 967,993 | SH | DFND | 1 | 0 | 967,993 | 0 | |
| OPGEN INC | COM | 68373L109 | 724 | 1,130,598 | SH | DFND | 1 | 0 | 1,130,598 | 0 | |
| OREXIGEN THERAPEUTICS INC | COM | 686164952 | 57 | 197 | SH | Put | DFND | 1 | 0 | 197 | 0 |
| OREXIGEN THERAPEUTICS INC | COM | 686164302 | 57 | 19,700 | SH | DFND | 1 | 0 | 19,700 | 0 | |
| OTONOMY INC | COM | 68906L955 | 245 | 130 | SH | Put | DFND | 1 | 0 | 130 | 0 |
| OTONOMY INC | COM | 68906L105 | 946 | 50,205 | SH | DFND | 1 | 0 | 50,205 | 0 | |
| OTONOMY INC | COM | 68906L905 | 1,468 | 779 | SH | Call | DFND | 1 | 0 | 779 | 0 |
| OVASCIENCE INC | COM | 69014Q101 | 795 | 509,300 | SH | DFND | 1 | 0 | 509,300 | 0 | |
| PACIRA PHARMACEUTICALS INC | COM | 695127100 | 209 | 4,390 | SH | DFND | 1 | 0 | 4,390 | 0 | |
| PACIRA PHARMACEUTICALS INC | COM | 695127950 | 3,234 | 678 | SH | Put | DFND | 1 | 0 | 678 | 0 |
| PACIRA PHARMACEUTICALS INC | COM | 695127900 | 3,239 | 679 | SH | Call | DFND | 1 | 0 | 679 | 0 |
| PALATIN TECHNOLOGIES INC | COM | 696077403 | 238 | 553,740 | SH | DFND | 1 | 0 | 553,740 | 0 | |
| PARNELL PHARMACEUTICALS HOLDINGS LTD | COM | Q73622104 | 143 | 170,000 | SH | DFND | 1 | 0 | 170,000 | 0 | |
| PRIMA BIOMED LTD | ADR | 74154B302 | 1,993 | 962,835 | SH | DFND | 1 | 0 | 962,835 | 0 | |
| PROTEOSTASIS THERAPEUTICS INC | COM | 74373B109 | 586 | 125,151 | SH | DFND | 1 | 0 | 125,151 | 0 | |
| PROTHENA CORPORATION PLC | SHS | G72800908 | 4,616 | 853 | SH | Call | DFND | 1 | 0 | 853 | 0 |
| PTC THERAPEUTICS INC | COM | 69366J900 | 1,791 | 977 | SH | Call | DFND | 1 | 0 | 977 | 0 |
| RENNOVA HEALTH INC | COM | 759757107 | 75 | 198,851 | SH | DFND | 1 | 0 | 198,851 | 0 | |
| REXAHN PHARMACEUTICALS INC | COM | 761640200 | 706 | 246,946 | SH | DFND | 1 | 0 | 246,946 | 0 | |
| RICEBRAN TECHNOLOGIES | COM | 762831204 | 429 | 446,847 | SH | DFND | 1 | 0 | 446,847 | 0 | |
| ROKA BIOSCIENCE INC | COM | 775431208 | 945 | 358,198 | SH | DFND | 1 | 0 | 358,198 | 0 | |
| RXI PHARMACEUTICALS CORP | *W | 74979C113 | 400 | 2,220,492 | SH | DFND | 1 | 0 | 2,220,492 | 0 | |
| SAGE THERAPEUTICS INC | COM | 78667J958 | 1,641 | 206 | SH | Put | DFND | 1 | 0 | 206 | 0 |
| SAGE THERAPEUTICS INC | COM | 78667J908 | 3,377 | 424 | SH | Call | DFND | 1 | 0 | 424 | 0 |
| SANGAMO THERAPEUTICS INC | COM | 800677956 | 506 | 575 | SH | Put | DFND | 1 | 0 | 575 | 0 |
| SANGAMO THERAPEUTICS INC | COM | 800677906 | 3,425 | 3,892 | SH | Call | DFND | 1 | 0 | 3,892 | 0 |
| SAREPTA THERAPEUTICS INC | COM | 803607950 | 222 | 66 | SH | Put | DFND | 1 | 0 | 66 | 0 |
| SAREPTA THERAPEUTICS INC | COM | 803607900 | 19,033 | 5,646 | SH | Call | DFND | 1 | 0 | 5,646 | 0 |
| SEATTLE GENETICS INC | COM | 812578902 | 2,266 | 438 | SH | Call | DFND | 1 | 0 | 438 | 0 |
| SEATTLE GENETICS INC | COM | 812578102 | 4,406 | 85,162 | SH | DFND | 1 | 0 | 85,162 | 0 | |
| SEATTLE GENETICS INC | COM | 812578952 | 7,461 | 1,442 | SH | Put | DFND | 1 | 0 | 1,442 | 0 |
| SIERRA ONCOLOGY INC | COM | 82640U107 | 1,945 | 1,662,487 | SH | DFND | 1 | 0 | 1,662,487 | 0 | |
| SIGMA LABS INC | COM | 826598302 | 220 | 102,946 | SH | DFND | 1 | 0 | 102,946 | 0 | |
| SIGMA LABS INC | *W | 826598112 | 225 | 247,759 | SH | DFND | 1 | 0 | 247,759 | 0 | |
| SOLENO THERAPEUTICS INC | COM | 834203101 | 127 | 248,067 | SH | DFND | 1 | 0 | 248,067 | 0 | |
| SOPHIRIS BIO INC | COM | 83578Q209 | 787 | 357,792 | SH | DFND | 1 | 0 | 357,792 | 0 | |
| SORRENTO THERAPEUTICS INC | COM | 83587F202 | 35 | 17,300 | SH | DFND | 1 | 0 | 17,300 | 0 | |
| SPDR S&P 500 ETF | TR | 78464A950 | 3,411 | 442 | SH | Put | DFND | 1 | 0 | 442 | 0 |
| SPDR S&P 500 ETF | TR | 78462F953 | 79,818 | 3,301 | SH | Put | DFND | 1 | 0 | 3,301 | 0 |
| SPECTRANETICS CORP | COM | 84760C107 | 3,483 | 90,715 | SH | DFND | 1 | 0 | 90,715 | 0 | |
| SPECTRANETICS CORP | COM | 84760C957 | 4,573 | 1,191 | SH | Put | DFND | 1 | 0 | 1,191 | 0 |
| STEMLINE THERAPEUTICS INC | COM | 85858C957 | 415 | 451 | SH | Put | DFND | 1 | 0 | 451 | 0 |
| STEMLINE THERAPEUTICS INC | COM | 85858C907 | 1,122 | 1,220 | SH | Call | DFND | 1 | 0 | 1,220 | 0 |
| STEMLINE THERAPEUTICS INC | COM | 85858C107 | 1,725 | 187,500 | SH | DFND | 1 | 0 | 187,500 | 0 | |
| STRATA SKIN SCIENCES INC | COM | 86272A107 | 571 | 234,826 | SH | DFND | 1 | 0 | 234,826 | 0 | |
| SUCAMPO PHARMACEUTICALS INC | CL A | 864909106 | 349 | 33,200 | SH | DFND | 1 | 0 | 33,200 | 0 | |
| SUNESIS PHARMACEUTICALS INC | COM | 867328700 | 395 | 146,138 | SH | DFND | 1 | 0 | 146,138 | 0 | |
| SUNESIS PHARMACEUTICALS INC | COM | 867328900 | 525 | 1,946 | SH | Call | DFND | 1 | 0 | 1,946 | 0 |
| SYNTHETIC BIOLOGICS INC | COM | 87164U102 | 95 | 168,401 | SH | DFND | 1 | 0 | 168,401 | 0 | |
| TESARO INC | COM | 881569907 | 1,399 | 100 | SH | Call | DFND | 1 | 0 | 100 | 0 |
| TESARO INC | COM | 881569107 | 7,192 | 51,426 | SH | DFND | 1 | 0 | 51,426 | 0 | |
| TESARO INC | COM | 881569957 | 12,839 | 918 | SH | Put | DFND | 1 | 0 | 918 | 0 |
| TG THERAPEUTICS INC | COM | 88322Q908 | 492 | 490 | SH | Call | DFND | 1 | 0 | 490 | 0 |
| TRANSENTERIX INC. | COM | 89366M201 | 2,456 | 3,459,341 | SH | DFND | 1 | 0 | 3,459,341 | 0 | |
| UNITED THERAPEUTICS CORP | COM | 91307C102 | 6,891 | 53,116 | SH | DFND | 1 | 0 | 53,116 | 0 | |
| UNITED THERAPEUTICS CORP | COM | 91307C952 | 13,181 | 1,016 | SH | Put | DFND | 1 | 0 | 1,016 | 0 |
| UNITED THERAPEUTICS CORP | COM | 91307C902 | 17,682 | 1,363 | SH | Call | DFND | 1 | 0 | 1,363 | 0 |
| VERSARTIS INC | COM | 92529L902 | 351 | 201 | SH | Call | DFND | 1 | 0 | 201 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F950 | 10,451 | 811 | SH | Put | DFND | 1 | 0 | 811 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F900 | 58,675 | 4,553 | SH | Call | DFND | 1 | 0 | 4,553 | 0 |
| VIKING THERAPEUTICS INC | COM | 92686J106 | 525 | 486,491 | SH | DFND | 1 | 0 | 486,491 | 0 | |
| VISTAGEN THERAPEUTICS INC | COM | 92840H202 | 48 | 25,537 | SH | DFND | 1 | 0 | 25,537 | 0 | |
| VTV THERAPEUTICS INC | CL A | 918385105 | 583 | 117,400 | SH | DFND | 1 | 0 | 117,400 | 0 | |
| WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 2,636 | 141,700 | SH | DFND | 1 | 0 | 141,700 | 0 | |
| WINDTREE THERAPEUTICS INC | COM | 97382D105 | 112 | 345,712 | SH | DFND | 1 | 0 | 345,712 | 0 | |
| XENON PHARMACEUTICALS INC. | COM | 98420N105 | 979 | 310,808 | SH | DFND | 1 | 0 | 310,808 | 0 | |
| ZOGENIX INC | COM | 98978L904 | 2,516 | 1,735 | SH | Call | DFND | 1 | 0 | 1,735 | 0 |
| ZOGENIX INC | COM | 98978L954 | 5,546 | 3,825 | SH | Put | DFND | 1 | 0 | 3,825 | 0 |