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 | FIGI | (to the nearest dollar) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
Aadi Bioscience, Inc. | Common | 00032Q104 | 1,330 | 183,688 | SH | DFND | 2 | 183,688 | 0 | 0 | ||
Abbott Laboratories | Common | 002824100 | 5 | 50 | SH | DFND | 2 | 50 | 0 | 0 | ||
AbbVie Inc. | Common | 00287Y109 | 803 | 5,037 | SH | DFND | 2 | 5,037 | 0 | 0 | ||
Abeona Therapeutics Inc. | Common | 00289Y206 | 451 | 160,000 | SH | DFND | 2 | 160,000 | 0 | 0 | ||
ADMA Biologics, Inc. | Common | 000899104 | 259 | 78,143 | SH | DFND | 2 | 78,143 | 0 | 0 | ||
Adobe Systems | Common | 00724F101 | 13 | 35 | SH | DFND | 2 | 35 | 0 | 0 | ||
Aecom | Common | 00766T100 | 19 | 228 | SH | DFND | 2 | 228 | 0 | 0 | ||
African Gold Acquistion Corp. Warrants | Common | G0112R124 | 9 | 750 | SH | DFND | 2 | 750 | 0 | 0 | ||
African Gold Acquistion Corp. Warrants | Common | G0112R124 | 5,175 | 450,000 | SH | DFND | 2 | 450,000 | 0 | 0 | ||
Alkermes PLC | Common | B3P6D26US | 1,804 | 64,000 | SH | DFND | 2 | 64,000 | 0 | 0 | ||
AllianceBernstein Holding L.P. | Common | 01881G106 | 1,810 | 49,500 | SH | DFND | 2 | 49,500 | 0 | 0 | ||
Alphabet Inc CL A | Common | 02079K305 | 31 | 300 | SH | DFND | 2 | 300 | 0 | 0 | ||
Alphabet Inc-Cl C | Common | 02079K107 | 23 | 220 | SH | DFND | 2 | 220 | 0 | 0 | ||
Alphabet Inc-Cl C | Common | 02079K107 | 11,648 | 112,000 | SH | DFND | 2 | 112,000 | 0 | 0 | ||
Amazon.com Inc. | Common | 023135106 | 31 | 300 | SH | DFND | 2 | 300 | 0 | 0 | ||
American Tower Corp. | Common | 03027X100 | 19 | 93 | SH | DFND | 2 | 93 | 0 | 0 | ||
Apollo Global Management, Inc. | Common | 03768E105 | 14,211 | 225,000 | SH | DFND | 2 | 225,000 | 0 | 0 | ||
Apple Inc. | Common | 037833100 | 411 | 2,494 | SH | DFND | 2 | 2,494 | 0 | 0 | ||
Aramark | Common | 03852U106 | 23 | 651 | SH | DFND | 2 | 651 | 0 | 0 | ||
Arc Resources Ltd. | Common | 03940R107 | 19 | 1,229 | SH | DFND | 2 | 1,229 | 0 | 0 | ||
Arcellx Inc | Common | 03940c100 | 863 | 28,000 | SH | DFND | 2 | 28,000 | 0 | 0 | ||
Ardelyx, Inc. | Common | 039697107 | 7,185 | 1,500,000 | SH | DFND | 2 | 1,500,000 | 0 | 0 | ||
Avadel Pharmaceuticals plc | Common | 05337M104 | 2,667 | 291,113 | SH | DFND | 2 | 291,113 | 0 | 0 | ||
B.Riley Principal 250 Merger Corp. Wts. | Common | 05602L112 | 1,342 | 116,666 | SH | DFND | 2 | 116,666 | 0 | 0 | ||
Beyond Air Inc. | Common | 08862L103 | 819 | 121,300 | SH | DFND | 2 | 121,300 | 0 | 0 | ||
Blackrock, Inc. | Common | 09247X101 | 21 | 31 | SH | DFND | 2 | 31 | 0 | 0 | ||
Blackstone Inc. | Common | 09260D107 | 18 | 210 | SH | DFND | 2 | 210 | 0 | 0 | ||
Broadcom | Common | 11135F101 | 46 | 71 | SH | DFND | 2 | 71 | 0 | 0 | ||
Calumet Specialty Products Partners, LP | Common | 131476103 | 75,169 | 4,325,000 | SH | DFND | 2 | 4,325,000 | 0 | 0 | ||
Calumet Specialty Products Partners, LP @20 exp 1/24 | Common | 131476903 | 4,362 | 251,000 | SH | DFND | 2 | 251,000 | 0 | 0 | ||
Canadian Natural Resources Limited | Common | 136385101 | 465 | 8,400 | SH | DFND | 2 | 8,400 | 0 | 0 | ||
Capitol Federal Financial, Inc. | Common | 14057J101 | 13 | 2,000 | SH | DFND | 2 | 2,000 | 0 | 0 | ||
Cenovus Energy Inc. | Common | 15135U109 | 1,659 | 95,000 | SH | DFND | 2 | 95,000 | 0 | 0 | ||
Charles Schwab Corporation | Common | 808513105 | 15 | 284 | SH | DFND | 2 | 284 | 0 | 0 | ||
Chesapeake Energy Corporation | Common | 165167735 | 1,521 | 20,000 | SH | DFND | 2 | 20,000 | 0 | 0 | ||
Chevron Corporation | Common | 166764100 | 16 | 96 | SH | DFND | 2 | 96 | 0 | 0 | ||
Chipotle Mexican Grill, Inc. | Common | 169656105 | 17 | 10 | SH | DFND | 2 | 10 | 0 | 0 | ||
Chubb Corporation | Common | H1467J104 | 23 | 121 | SH | DFND | 2 | 121 | 0 | 0 | ||
Coca-Cola Co. | Common | 191216100 | 595 | 9,600 | SH | DFND | 2 | 9,600 | 0 | 0 | ||
Coliseum Acquisition Corp. Wts | Common | G2263T107 | 5,693 | 495,000 | SH | DFND | 2 | 495,000 | 0 | 0 | ||
Colombier Acquisition Corp. Wts. | Common | 19533H116 | 307 | 26,666 | SH | DFND | 2 | 26,666 | 0 | 0 | ||
Conagra Brands, Inc. | Common | 205887102 | 376 | 10,000 | SH | DFND | 2 | 10,000 | 0 | 0 | ||
ConocoPhillips | Common | 20825C104 | 11 | 113 | SH | DFND | 2 | 113 | 0 | 0 | ||
Corteva, Inc. | Common | 22052L104 | 697 | 11,563 | SH | DFND | 2 | 11,563 | 0 | 0 | ||
CSX Corporation | Common | 126408103 | 2,096 | 70,000 | SH | DFND | 2 | 70,000 | 0 | 0 | ||
CTI BioPharma Corp. | Common | 12648L601 | 2,379 | 566,487 | SH | DFND | 2 | 566,487 | 0 | 0 | ||
CVS Caremark Corporation | Common | 126650100 | 19 | 258 | SH | DFND | 2 | 258 | 0 | 0 | ||
Danaher Corporation | Common | 235851102 | 45 | 180 | SH | DFND | 2 | 180 | 0 | 0 | ||
DocGo, Inc. | Common | 256086109 | 12,110 | 1,400,000 | SH | DFND | 2 | 1,400,000 | 0 | 0 | ||
Dow Inc. | Common | 260557103 | 610 | 11,136 | SH | DFND | 2 | 11,136 | 0 | 0 | ||
DuPont de Nemours, Inc. | Common | 26614N102 | 713 | 9,930 | SH | DFND | 2 | 9,930 | 0 | 0 | ||
Eagle Materials Inc. | Common | 26969P108 | 33 | 228 | SH | DFND | 2 | 228 | 0 | 0 | ||
Eastern Bankshares Inc. | Common | 27627N105 | 63 | 5,000 | SH | DFND | 2 | 5,000 | 0 | 0 | ||
Eli Lilly & Co. | Common | 532457108 | 103 | 300 | SH | DFND | 2 | 300 | 0 | 0 | ||
Equinix Inc | Common | 29444U700 | 27 | 37 | SH | DFND | 2 | 37 | 0 | 0 | ||
Evolus, Inc. | Common | 30052C107 | 886 | 104,716 | SH | DFND | 2 | 104,716 | 0 | 0 | ||
F.N.B. Corporation | Common | 302520101 | 103 | 8,905 | SH | DFND | 2 | 8,905 | 0 | 0 | ||
FaZe Holdings Inc. | Common | 31423J102 | 8 | 667 | SH | DFND | 2 | 667 | 0 | 0 | ||
FaZe Holdings Inc. | Common | 31423J102 | 663 | 57,654 | SH | DFND | 2 | 57,654 | 0 | 0 | ||
Franklin BSP Realty Trust, Inc. | Common | 35243J101 | 10,248 | 859,047 | SH | DFND | 2 | 859,047 | 0 | 0 | ||
FS Bancorp, Inc. | Common | 30263Y104 | 131 | 4,380 | SH | DFND | 2 | 4,380 | 0 | 0 | ||
FS KKR Capital Corp. | Common | 302635206 | 281 | 15,175 | SH | DFND | 2 | 15,175 | 0 | 0 | ||
FTAI Aviation Ltd. | Common | G3730V105 | 11,883 | 425,000 | SH | DFND | 2 | 425,000 | 0 | 0 | ||
FTAI Infrastructure Inc. | Common | 35953C106 | 1,275 | 425,000 | SH | DFND | 2 | 425,000 | 0 | 0 | ||
Generac Holdings Inc. | Common | 368736104 | 7 | 69 | SH | DFND | 2 | 69 | 0 | 0 | ||
General Electric Company | Common | 369604103 | 15 | 162 | SH | DFND | 2 | 162 | 0 | 0 | ||
GlaxoSmithKline plc | Common | 37733W204 | 2,313 | 65,000 | SH | DFND | 2 | 65,000 | 0 | 0 | ||
Heritage NOLA Bancorp, Inc. | Common | 42727P108 | 39 | 3,000 | SH | DFND | 2 | 3,000 | 0 | 0 | ||
Home Depot Inc. | Common | 437076102 | 24 | 80 | SH | DFND | 2 | 80 | 0 | 0 | ||
Horizon Therapeutics Public Ltd. Company | Common | G46188101 | 4,528 | 41,490 | SH | DFND | 2 | 41,490 | 0 | 0 | ||
Int'l Business Machines Corp | Common | 459200101 | 281 | 2,142 | SH | DFND | 2 | 2,142 | 0 | 0 | ||
International Game Technology PLC | Common | 459902102 | 201 | 7,500 | SH | DFND | 2 | 7,500 | 0 | 0 | ||
Inozyme Pharma, Inc. | Common | 45790W108 | 917 | 160,000 | SH | DFND | 2 | 160,000 | 0 | 0 | ||
IQVIA Holdings Inc | Common | 46266C105 | 24 | 122 | SH | DFND | 2 | 122 | 0 | 0 | ||
iShares Core MSCI EAFE | Common | 46432F842 | 42 | 633 | SH | DFND | 2 | 633 | 0 | 0 | ||
iShares Core MSCI Emerging Markets | Common | 46434G103 | 18 | 363 | SH | DFND | 2 | 363 | 0 | 0 | ||
iShares Core S&P Small-Cap ETF | Common | 464287804 | 30 | 313 | SH | DFND | 2 | 313 | 0 | 0 | ||
iShares iBoxx $ High Yield Corporate Bond | Common | 464288513 | 2 | 32 | SH | DFND | 2 | 32 | 0 | 0 | ||
iShares JPMorgan USD Emerging Markets Bond | Common | 464288281 | 1 | 17 | SH | DFND | 2 | 17 | 0 | 0 | ||
ishares MSCI EAFE Growth Index Fund | Common | 464288885 | 24 | 252 | SH | DFND | 2 | 252 | 0 | 0 | ||
iShares MSCI Eurozone | Common | 464286608 | 2 | 55 | SH | DFND | 2 | 55 | 0 | 0 | ||
iShares MSCI Germany | Common | 464286806 | 4 | 150 | SH | DFND | 2 | 150 | 0 | 0 | ||
iShares MSCI United Kingdom | Common | 46435G334 | 4 | 116 | SH | DFND | 2 | 116 | 0 | 0 | ||
iShares MSCI United Kingdom Small-Cap | Common | 46429B416 | 8 | 246 | SH | DFND | 2 | 246 | 0 | 0 | ||
ishares Msci Value Index Fund | Common | 464288877 | 3 | 63 | SH | DFND | 2 | 63 | 0 | 0 | ||
iShares New York Muni Bond | Common | 464288323 | 13 | 242 | SH | DFND | 2 | 242 | 0 | 0 | ||
iShares Russell 2000 Growth | Common | 464287648 | 27 | 118 | SH | DFND | 2 | 118 | 0 | 0 | ||
iShares Russell 2000 Value | Common | 464287630 | 12 | 86 | SH | DFND | 2 | 86 | 0 | 0 | ||
iShares Russell Mid-Cap Growth | Common | 464287481 | 63 | 695 | SH | DFND | 2 | 695 | 0 | 0 | ||
iShares Russell Mid-Cap Value | Common | 464287473 | 29 | 273 | SH | DFND | 2 | 273 | 0 | 0 | ||
IVERIC bio, Inc. | Common | 46583P102 | 1,581 | 65,000 | SH | DFND | 2 | 65,000 | 0 | 0 | ||
Jazz Pharmaceuticals PLC | Common | G50871105 | 3,279 | 22,411 | SH | DFND | 2 | 22,411 | 0 | 0 | ||
Johnson & Johnson | Common | 478160104 | 434 | 2,800 | SH | DFND | 2 | 2,800 | 0 | 0 | ||
JPMorgan Chase & Co. | Common | 46625H100 | 2,735 | 20,985 | SH | DFND | 2 | 20,985 | 0 | 0 | ||
Kimberly-Clark Corporation | Common | 494368103 | 805 | 6,000 | SH | DFND | 2 | 6,000 | 0 | 0 | ||
Kiwetinohk Energy Corp. | Common | 49836K102 | 1,405 | 160,000 | SH | DFND | 2 | 160,000 | 0 | 0 | ||
Kyndryl Holdings Inc. | Common | 50155Q100 | 6 | 428 | SH | DFND | 2 | 428 | 0 | 0 | ||
Leap Therapeutics, Inc. | Common | 52187K101 | 190 | 557,939 | SH | DFND | 2 | 557,939 | 0 | 0 | ||
Legacy Housing Corporation | Common | 52472M101 | 148 | 6,500 | SH | DFND | 2 | 6,500 | 0 | 0 | ||
Ligand Pharmaceuticals Incorporated | Common | 53220K504 | 2,942 | 40,000 | SH | DFND | 2 | 40,000 | 0 | 0 | ||
Ligand Pharmaceuticals Incorporated | Common | 53220K504 | 5,517 | 75,000 | SH | DFND | 2 | 75,000 | 0 | 0 | ||
Linde PLC | Common | G5494J103 | 25 | 70 | SH | DFND | 2 | 70 | 0 | 0 | ||
Lululemon Athletica Inc. | Common | 550021109 | 14 | 39 | SH | DFND | 2 | 39 | 0 | 0 | ||
Madrigal Pharmaaceuticals, Inc. | Common | 558868105 | 3,392 | 14,000 | SH | DFND | 2 | 14,000 | 0 | 0 | ||
Medtronic, Inc. | Common | 585055106 | 24 | 300 | SH | DFND | 2 | 300 | 0 | 0 | ||
Microsoft Corporation | Common | 594918104 | 463 | 1,600 | SH | DFND | 2 | 1,600 | 0 | 0 | ||
Midwest Holding Inc. | Common | 59833J206 | 6,167 | 390,241 | SH | DFND | 2 | 390,241 | 0 | 0 | ||
Mondelez International Inc. | Common | 50075N104 | 976 | 14,000 | SH | DFND | 2 | 14,000 | 0 | 0 | ||
Morgan Stanley Group Inc. | Common | 617446448 | 26 | 293 | SH | DFND | 2 | 293 | 0 | 0 | ||
Nike Inc. | Common | 654106103 | 11 | 91 | SH | DFND | 2 | 91 | 0 | 0 | ||
Nvidia Corp | Common | 67066G104 | 36 | 128 | SH | DFND | 2 | 128 | 0 | 0 | ||
Occidental Petroleum Corporation | Common | 674599105 | 66 | 1,055 | SH | DFND | 2 | 1,055 | 0 | 0 | ||
Occidential Pertro Wts exp. 8/3/27 | Common | 674599162 | 4 | 194 | SH | DFND | 2 | 194 | 0 | 0 | ||
OmniAb Inc. | Common | 68218J103 | 3,998 | 1,086,505 | SH | DFND | 2 | 1,086,505 | 0 | 0 | ||
Ovintiv Inc. | Common | 69047Q102 | 1,263 | 35,000 | SH | DFND | 2 | 35,000 | 0 | 0 | ||
Paccar Inc | Common | 693718108 | 11 | 148 | SH | DFND | 2 | 148 | 0 | 0 | ||
Pfizer Inc. | Common | 717081103 | 3,980 | 97,537 | SH | DFND | 2 | 97,537 | 0 | 0 | ||
Poseida Therapeutics, Inc. | Common | 73730P108 | 434 | 140,921 | SH | DFND | 2 | 140,921 | 0 | 0 | ||
Quanta Services Inc. | Common | 74762E102 | 29 | 176 | SH | DFND | 2 | 176 | 0 | 0 | ||
QualTek Services Inc. - Warrants | Common | 74760R113 | 288 | 25,000 | SH | DFND | 2 | 25,000 | 0 | 0 | ||
Ryman Hospitality Properties, Inc. | Common | 78377T107 | 1,113 | 12,400 | SH | DFND | 2 | 12,400 | 0 | 0 | ||
Salesforce, Inc. | Common | 79466L302 | 15 | 77 | SH | DFND | 2 | 77 | 0 | 0 | ||
Sanofi | Common | 80105N113 | 3,048 | 56,000 | SH | DFND | 2 | 56,000 | 0 | 0 | ||
Schlumberger Limited | Common | 806857108 | 14 | 292 | SH | DFND | 2 | 292 | 0 | 0 | ||
Sculptor Cap Mgmt CL A | Common | 811246107 | 2 | 200 | SH | DFND | 2 | 200 | 0 | 0 | ||
Seagen Inc. | Common | 81181c104 | 1,012 | 5,000 | SH | DFND | 2 | 5,000 | 0 | 0 | ||
Seres Therapeutics, Inc. | Common | 81750R102 | 1,786 | 315,000 | SH | DFND | 2 | 315,000 | 0 | 0 | ||
South State Corporation | Common | 840441109 | 76 | 1,068 | SH | DFND | 2 | 1,068 | 0 | 0 | ||
SPRD Sec SER TR Bloomberg Emer Mkts Loc BD etf | Common | 78464A391 | 3 | 147 | SH | DFND | 2 | 147 | 0 | 0 | ||
Starwood Property Trust, Inc. | Common | 85571B105 | 7 | 400 | SH | DFND | 2 | 400 | 0 | 0 | ||
SVB Financial Group | Common | 78486Q101 | 0 | 48 | SH | DFND | 2 | 48 | 0 | 0 | ||
Target Corporation | Common | 87612E106 | 27 | 166 | SH | DFND | 2 | 166 | 0 | 0 | ||
Tastemaker Acquisition Corp. Warrants | Common | 876545112 | 1,150 | 100,000 | SH | DFND | 2 | 100,000 | 0 | 0 | ||
The Chemours Company | Common | 163851108 | 7 | 240 | SH | DFND | 2 | 240 | 0 | 0 | ||
The Kraft Heinz Company | Common | 500754106 | 93 | 2,399 | SH | DFND | 2 | 2,399 | 0 | 0 | ||
The Mosaic Company | Common | 61945C103 | 1,606 | 35,000 | SH | DFND | 2 | 35,000 | 0 | 0 | ||
The Procter & Gamble Company | Common | 742718109 | 5 | 35 | SH | DFND | 2 | 35 | 0 | 0 | ||
The Walt Disney Company | Common | 254687106 | 12 | 116 | SH | DFND | 2 | 116 | 0 | 0 | ||
Thermo Fisher Scientific Inc. | Common | 883556102 | 26 | 45 | SH | DFND | 2 | 45 | 0 | 0 | ||
TotalEnergies SE - ADR | Common | 89151E109 | 94 | 1,600 | SH | DFND | 2 | 1,600 | 0 | 0 | ||
Twelve Seas Investment Company II Warrants | Common | 90118T114 | 1,917 | 166,666 | SH | DFND | 2 | 166,666 | 0 | 0 | ||
United Healthcare Corp. | Common | 91324p102 | 27 | 57 | SH | DFND | 2 | 57 | 0 | 0 | ||
United Rental, Inc. | Common | 911363109 | 31 | 78 | SH | DFND | 2 | 78 | 0 | 0 | ||
Valley National Bancorp | Common | 919794107 | 59 | 6,400 | SH | DFND | 2 | 6,400 | 0 | 0 | ||
Vertex Pharmaceuticals, Inc. | Common | 92532F100 | 2,205 | 7,000 | SH | DFND | 2 | 7,000 | 0 | 0 | ||
Viking Therapeutics, Inc. | Common | 92686J106 | 3,333 | 200,164 | SH | DFND | 2 | 200,164 | 0 | 0 | ||
Vulcan Materials Co | Common | 929160109 | 18 | 103 | SH | DFND | 2 | 103 | 0 | 0 | ||
W.P. Carey Inc. | Common | 92936U109 | 465 | 6,000 | SH | DFND | 2 | 6,000 | 0 | 0 | ||
Wabtec Corporation | Common | 929740108 | 1 | 6 | SH | DFND | 2 | 6 | 0 | 0 | ||
Wal-Mart Stores, Inc. | Common | 931142103 | 33 | 225 | SH | DFND | 2 | 225 | 0 | 0 | ||
Wells Fargo & Company | Common | 949746101 | 16 | 438 | SH | DFND | 2 | 438 | 0 | 0 | ||
Xenon Pharmaceuticals Inc. | Common | 98420N105 | 1,432 | 40,000 | SH | DFND | 2 | 40,000 | 0 | 0 | ||
XOMA Corporation | Common | 98419J206 | 286 | 13,527 | SH | DFND | 2 | 13,527 | 0 | 0 | ||
Zimmer Biomet Holdings Inc | Common | 98956P102 | 25 | 190 | SH | DFND | 2 | 190 | 0 | 0 |