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 | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABILITY INC | COM | G8789K124 | 680 | 357,974 | SH | DFND | 1 | 0 | 357,974 | 0 | |
ACASTI PHARMA INC | CL A | 00430K402 | 229 | 275,000 | SH | DFND | 1 | 0 | 275,000 | 0 | |
ALTIMMUNE INC | COM | 02155H950 | 139 | 673 | SH | Put | DFND | 1 | 0 | 673 | 0 |
ALTIMMUNE INC | COM | 02155H200 | 490 | 237,921 | SH | DFND | 1 | 0 | 237,921 | 0 | |
AMARIN CORPORATION PLC | ADR | 023111206 | 1,157 | 85,038 | SH | DFND | 1 | 0 | 85,038 | 0 | |
AMARIN CORPORATION PLC | ADR | 023111956 | 3,736 | 2,745 | SH | Put | DFND | 1 | 0 | 2,745 | 0 |
AMARIN CORPORATION PLC | ADR | 023111906 | 6,074 | 4,463 | SH | Call | DFND | 1 | 0 | 4,463 | 0 |
AMPLIPHI BIOSCIENCES CORP | COM | 03211P301 | 168 | 816,095 | SH | DFND | 1 | 0 | 816,095 | 0 | |
APPLIED DNA SCIENCES INC | *W | 03815U110 | 2 | 602,062 | SH | DFND | 1 | 0 | 602,062 | 0 | |
APPLIED DNA SCIENCES INC | COM | 03815U201 | 24 | 60,835 | SH | DFND | 1 | 0 | 60,835 | 0 | |
AQUABOUNTY TECHNOLOGIES INC | COM | 03842K200 | 649 | 316,654 | SH | DFND | 1 | 0 | 316,654 | 0 | |
ARCADIA BIOSCIENCES INC | COM | 039014204 | 303 | 95,682 | SH | DFND | 1 | 0 | 95,682 | 0 | |
ASTRAZENECA PLC | ADR | 046353908 | 5,640 | 1,485 | SH | Call | DFND | 1 | 0 | 1,485 | 0 |
ASTRAZENECA PLC | ADR | 046353958 | 12,579 | 3,312 | SH | Put | DFND | 1 | 0 | 3,312 | 0 |
ATOSSA GENETICS INC | COM | 04962H506 | 513 | 502,448 | SH | DFND | 1 | 0 | 502,448 | 0 | |
AVEO PHARMACEUTICALS INC | COM | 053588909 | 1,717 | 10,731 | SH | Call | DFND | 1 | 0 | 10,731 | 0 |
AVINGER INC | COM | 053734208 | 34 | 112,270 | SH | DFND | 1 | 0 | 112,270 | 0 | |
AYTU BIOSCIENCE INC | COM | 054754700 | 408 | 515,002 | SH | DFND | 1 | 0 | 515,002 | 0 | |
BENITEC BIOPHARMA LTD | *W | 082053117 | 7 | 58,050 | SH | DFND | 1 | 0 | 58,050 | 0 | |
BIOCEPT INC | COM | 09072V402 | 49 | 57,505 | SH | DFND | 1 | 0 | 57,505 | 0 | |
BIOGEN INC | COM | 09062X903 | 903 | 30 | SH | Call | DFND | 1 | 0 | 30 | 0 |
BIOGEN INC | COM | 09062X103 | 37,908 | 125,975 | SH | DFND | 1 | 0 | 125,975 | 0 | |
BIOGEN INC | COM | 09062X953 | 38,006 | 1,263 | SH | Put | DFND | 1 | 0 | 1,263 | 0 |
BRAINSTORM CELL THERAPEUTICS INC | COM | 10501E201 | 3,588 | 1,010,682 | SH | DFND | 1 | 0 | 1,010,682 | 0 | |
BRIDGELINE DIGITAL INC | COM | 10807Q403 | 180 | 778,983 | SH | DFND | 1 | 0 | 778,983 | 0 | |
CELLECT BIOTECHNOLOGY LTD | ADS | 15116C102 | 84 | 40,032 | SH | DFND | 1 | 0 | 40,032 | 0 | |
CEL-SCI CORP | COM | 150837957 | 32 | 110 | SH | Put | DFND | 1 | 0 | 110 | 0 |
CEL-SCI CORP | COM | 150837607 | 93 | 32,256 | SH | DFND | 1 | 0 | 32,256 | 0 | |
CELSION CORPORATION | COM | 15117N503 | 15 | 10,843 | SH | DFND | 1 | 0 | 10,843 | 0 | |
CHECK CAP LTD | *W | M2361E161 | 101 | 252,155 | SH | DFND | 1 | 0 | 252,155 | 0 | |
CHECK CAP LTD | SHS | M2361E203 | 37 | 16,979 | SH | DFND | 1 | 0 | 16,979 | 0 | |
CHF SOLUTIONS INC | COM | 12542Q508 | 108 | 221,033 | SH | DFND | 1 | 0 | 221,033 | 0 | |
CITIUS PHARMACEUTICALS INC | COM | 17322U207 | 29 | 28,045 | SH | DFND | 1 | 0 | 28,045 | 0 | |
CONATUS PHARMACEUTICALS INC | COM | 20600T908 | 0 | 187 | SH | Call | DFND | 1 | 0 | 187 | 0 |
CORMEDIX INC | COM | 21900C100 | 40 | 30,661 | SH | DFND | 1 | 0 | 30,661 | 0 | |
CORMEDIX INC | COM | 21900C950 | 41 | 305 | SH | Put | DFND | 1 | 0 | 305 | 0 |
CYTRX CORP | COM | 232828608 | 833 | 1,855,879 | SH | DFND | 1 | 0 | 1,855,879 | 0 | |
DBV TECHNOLOGIES SA | ADR | 23306J901 | 0 | 116 | SH | Call | DFND | 1 | 0 | 116 | 0 |
DELMAR PHARMACEUTICALS INC | COM | 247078207 | 488 | 1,410,178 | SH | DFND | 1 | 0 | 1,410,178 | 0 | |
DURECT CORP | COM | 266605904 | 27 | 549 | SH | Call | DFND | 1 | 0 | 549 | 0 |
DURECT CORP | COM | 266605104 | 64 | 131,900 | SH | DFND | 1 | 0 | 131,900 | 0 | |
ELECTRAMECCANICA VEHICLES CORP | *W | 284849114 | 14 | 30,905 | SH | DFND | 1 | 0 | 30,905 | 0 | |
ELECTRAMECCANICA VEHICLES CORP | COM | 284849205 | 213 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W105 | 6,392 | 138,958 | SH | DFND | 1 | 0 | 138,958 | 0 | |
ESPERION THERAPEUTICS INC | COM | 29664W955 | 38,948 | 8,467 | SH | Put | DFND | 1 | 0 | 8,467 | 0 |
EYENOVIA INC | COM | 30234E104 | 505 | 177,110 | SH | DFND | 1 | 0 | 177,110 | 0 | |
FIBROCELL SCIENCE INC | COM | 315721407 | 64 | 42,400 | SH | DFND | 1 | 0 | 42,400 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 2,102 | 45,417 | SH | DFND | 1 | 0 | 45,417 | 0 | |
FIBROGEN INC | COM | 31572Q958 | 4,235 | 915 | SH | Put | DFND | 1 | 0 | 915 | 0 |
FUELCELL ENERGY INC | COM | 35952H502 | 20 | 37,110 | SH | DFND | 1 | 0 | 37,110 | 0 | |
FUELCELL ENERGY INC | COM | 35952H952 | 31 | 565 | SH | Put | DFND | 1 | 0 | 565 | 0 |
GENPREX INC | COM | 372446104 | 915 | 832,244 | SH | DFND | 1 | 0 | 832,244 | 0 | |
HEAT BIOLOGICS INC | COM | 42237K300 | 384 | 391,985 | SH | DFND | 1 | 0 | 391,985 | 0 | |
INSPIREMD INC | *W | 45779A135 | 2 | 1,432,133 | SH | DFND | 1 | 0 | 1,432,133 | 0 | |
INSPIREMD INC | COM | 45779A861 | 89 | 560,562 | SH | DFND | 1 | 0 | 560,562 | 0 | |
INTELLIPHARMACEUTICS INTL INC | COM | 458173309 | 469 | 1,944,978 | SH | DFND | 1 | 0 | 1,944,978 | 0 | |
ISHARES RUSSELL 2000 | ETF | 464287950 | 57,577 | 4,300 | SH | Put | DFND | 1 | 0 | 4,300 | 0 |
ISORAY INC | COM | 46489V104 | 676 | 2,254,829 | SH | DFND | 1 | 0 | 2,254,829 | 0 | |
JAGUAR HEALTH INC | COM | 47010C300 | 300 | 1,311,580 | SH | DFND | 1 | 0 | 1,311,580 | 0 | |
KITOV PHARMA LTD. | COM | 49803V107 | 13 | 19,980 | SH | DFND | 1 | 0 | 19,980 | 0 | |
LM FDG AMER INC | COM | 502074305 | 117 | 98,927 | SH | DFND | 1 | 0 | 98,927 | 0 | |
MADRIGAL PHARMACEUTICALS INC | COM | 558868905 | 1,736 | 154 | SH | Call | DFND | 1 | 0 | 154 | 0 |
MAGENTA THERAPEUTICS INC | COM | 55910K108 | 611 | 107,156 | SH | DFND | 1 | 0 | 107,156 | 0 | |
MANNKIND CORP | COM | 56400P706 | 14 | 12,797 | SH | DFND | 1 | 0 | 12,797 | 0 | |
MANNKIND CORP | COM | 56400P906 | 48 | 449 | SH | Call | DFND | 1 | 0 | 449 | 0 |
MANNKIND CORP | COM | 56400P956 | 253 | 2,388 | SH | Put | DFND | 1 | 0 | 2,388 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q901 | 82 | 287 | SH | Call | DFND | 1 | 0 | 287 | 0 |
MEDIGUS LTD | *W | 58471G128 | 522 | 1,043,764 | SH | DFND | 1 | 0 | 1,043,764 | 0 | |
MICROBOT MED INC | COM | 59503A204 | 150 | 87,243 | SH | DFND | 1 | 0 | 87,243 | 0 | |
MONAKER GROUP INC | COM | 609011200 | 613 | 510,426 | SH | DFND | 1 | 0 | 510,426 | 0 | |
MOSYS INC | COM | 619718208 | 66 | 398,408 | SH | DFND | 1 | 0 | 398,408 | 0 | |
NEKTAR THERAPEUTICS | COM | 640268908 | 2,137 | 650 | SH | Call | DFND | 1 | 0 | 650 | 0 |
NEKTAR THERAPEUTICS | COM | 640268108 | 2,594 | 78,915 | SH | DFND | 1 | 0 | 78,915 | 0 | |
NEKTAR THERAPEUTICS | COM | 640268958 | 2,685 | 817 | SH | Put | DFND | 1 | 0 | 817 | 0 |
NEURALSTEM INC | COM | 64127R401 | 490 | 1,558,145 | SH | DFND | 1 | 0 | 1,558,145 | 0 | |
NEUROMETRIX INC | COM | 641255708 | 505 | 664,177 | SH | DFND | 1 | 0 | 664,177 | 0 | |
NOVAN INC | COM | 66988N106 | 177 | 213,064 | SH | DFND | 1 | 0 | 213,064 | 0 | |
ODONATE THERAPEUTICS INC | COM | 676079106 | 14,355 | 518,125 | SH | DFND | 1 | 0 | 518,125 | 0 | |
ONCONOVA THERAPEUTICS INC | COM | 68232V405 | 101 | 47,794 | SH | DFND | 1 | 0 | 47,794 | 0 | |
ONCONOVA THERAPEUTICS INC | *W | 68232V116 | 26 | 660,970 | SH | DFND | 1 | 0 | 660,970 | 0 | |
OPGEN INC COM NEW | COM | 68373L208 | 326 | 251,095 | SH | DFND | 1 | 0 | 251,095 | 0 | |
OPHTHOTECH CORP | COM | 683745953 | 16 | 133 | SH | Put | DFND | 1 | 0 | 133 | 0 |
OPHTHOTECH CORP | COM | 683745903 | 173 | 1,438 | SH | Call | DFND | 1 | 0 | 1,438 | 0 |
OPHTHOTECH CORP | COM | 683745103 | 2,445 | 2,037,460 | SH | DFND | 1 | 0 | 2,037,460 | 0 | |
ORAMED PHARMACEUTICALS INC | COM | 68403P203 | 2,799 | 933,050 | SH | DFND | 1 | 0 | 933,050 | 0 | |
OUTLOOK THERAPEUTICS INC | COM | 69012T107 | 1,393 | 2,786,448 | SH | DFND | 1 | 0 | 2,786,448 | 0 | |
OUTLOOK THERAPEUTICS INC | *W | 69012T115 | 27 | 177,439 | SH | DFND | 1 | 0 | 177,439 | 0 | |
PAVMED INC | *W | 70387R122 | 1,255 | 3,923,204 | SH | DFND | 1 | 0 | 3,923,204 | 0 | |
PHIO PHARMACEUTICALS | COM | 71880W204 | 520 | 1,575,157 | SH | DFND | 1 | 0 | 1,575,157 | 0 | |
PHIO PHARMACEUTICALS | *W | 71880W105 | 5 | 194,959 | SH | DFND | 1 | 0 | 194,959 | 0 | |
PLURISTEM THERAPEUTICS INC | COM | 72940R952 | 24 | 309 | SH | Put | DFND | 1 | 0 | 309 | 0 |
RESHAPE LIFESCIENCES INC | COM | 761123405 | 187 | 732,648 | SH | DFND | 1 | 0 | 732,648 | 0 | |
REWALK ROBOTICS LTD | COM | M8216Q101 | 569 | 3,267,652 | SH | DFND | 1 | 0 | 3,267,652 | 0 | |
RITTER PHARMACEUTICALS INC | COM | 767836307 | 206 | 343,642 | SH | DFND | 1 | 0 | 343,642 | 0 | |
SANGAMO THERAPEUTICS INC | COM | 800677956 | 932 | 81,161 | SH | DFND | 1 | 0 | 81,161 | 0 | |
SANGAMO THERAPEUTICS INC | COM | 800677106 | 946 | 824 | SH | Put | DFND | 1 | 0 | 824 | 0 |
SAREPTA THERAPEUTICS INC | COM | 803607950 | 9,429 | 864 | SH | Put | DFND | 1 | 0 | 864 | 0 |
SAREPTA THERAPEUTICS INC | COM | 803607900 | 19,054 | 1,746 | SH | Call | DFND | 1 | 0 | 1,746 | 0 |
SCYNEXIS INC | COM | 811292101 | 8 | 15,764 | SH | DFND | 1 | 0 | 15,764 | 0 | |
SENESTECH INC | COM | 81720R109 | 86 | 146,530 | SH | DFND | 1 | 0 | 146,530 | 0 | |
SESEN BIO INC | COM | 817763955 | 260 | 1,830 | SH | Put | DFND | 1 | 0 | 1,830 | 0 |
SIGMA LABS INC | *W | 826598112 | 74 | 188,813 | SH | DFND | 1 | 0 | 188,813 | 0 | |
SOLENO THERAPEUTICS INC | COM | 834203200 | 906 | 529,921 | SH | DFND | 1 | 0 | 529,921 | 0 | |
SONOMA PHARMACEUTICALS INC | COM | 83558L105 | 331 | 465,000 | SH | DFND | 1 | 0 | 465,000 | 0 | |
SOPHIRIS BIO INC | COM | 83578Q209 | 10 | 12,046 | SH | DFND | 1 | 0 | 12,046 | 0 | |
SORRENTO TECH INC | COM | 83587F202 | 0 | 84,536 | SH | DFND | 1 | 0 | 84,536 | 0 | |
SPDR S&P 500 ETF | ETF | 78462F953 | 108,215 | 4,330 | SH | Put | DFND | 1 | 0 | 4,330 | 0 |
SPDR S&P BIOTECH | ETF | 78464A870 | 4,468 | 62,266 | SH | DFND | 1 | 0 | 62,266 | 0 | |
SPDR S&P BIOTECH | ETF | 78464A900 | 4,979 | 694 | SH | Call | DFND | 1 | 0 | 694 | 0 |
SPDR S&P BIOTECH | ETF | 78464A950 | 23,096 | 3,219 | SH | Put | DFND | 1 | 0 | 3,219 | 0 |
SUNESIS PHARMACEUTICALS INC | COM | 867328900 | 47 | 1,141 | SH | Call | DFND | 1 | 0 | 1,141 | 0 |
SUNESIS PHARMACEUTICALS INC | COM | 867328700 | 166 | 400,140 | SH | DFND | 1 | 0 | 400,140 | 0 | |
SUPERCONDUCTOR TECHNOLOGIES | COM | 867931602 | 421 | 326,288 | SH | DFND | 1 | 0 | 326,288 | 0 | |
SYNERGY PHARMACEUTICALS INC | COM | 871639908 | 59 | 5,382 | SH | Call | DFND | 1 | 0 | 5,382 | 0 |
SYNTHETIC BIOLOGICS INC | COM | 87164U201 | 626 | 1,117,459 | SH | DFND | 1 | 0 | 1,117,459 | 0 | |
TENAX THERAPEUTICS INC | COM | 88032L209 | 131 | 108,427 | SH | DFND | 1 | 0 | 108,427 | 0 | |
TONIX PHARMACEUTICALS HLDG | COM | 890260508 | 653 | 296,727 | SH | DFND | 1 | 0 | 296,727 | 0 | |
UNUM THERAPEUTICS INC | COM | 903214104 | 1,966 | 446,814 | SH | DFND | 1 | 0 | 446,814 | 0 | |
VASCULAR BIOGENICS LTD | COM | M96883109 | 2,302 | 2,373,203 | SH | DFND | 1 | 0 | 2,373,203 | 0 | |
VIKING THERAPEUTICS INC | COM | 92686J906 | 77 | 100 | SH | Call | DFND | 1 | 0 | 100 | 0 |
VIKING THERAPEUTICS INC | COM | 92686J906 | 555 | 72,500 | SH | DFND | 1 | 0 | 72,500 | 0 | |
XERIS PHARMACEUTICALS INC | COM | 98422L107 | 3,450 | 202,916 | SH | DFND | 1 | 0 | 202,916 | 0 | |
ZOGENIX INC | COM | 98978L904 | 3,613 | 991 | SH | Call | DFND | 1 | 0 | 991 | 0 |
ZOSANO PHARMA CORP | COM | 98979H202 | 355 | 167,403 | SH | DFND | 1 | 0 | 167,403 | 0 |