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 |
AbbVie Inc. | Common | 00287Y109 | 338 | 3,000 | SH | DFND | 2 | 3,000 | 0 | ||
AbbVie Inc. | Common | 00287Y109 | 563 | 5,000 | SH | DFND | 1 | 5,000 | 0 | ||
African Gold Acquistion Corp. | Common | G0112R108 | 483 | 50,000 | SH | DFND | 2 | 50,000 | 0 | ||
African Gold Acquistion Corp. | Common | G0112R108 | 174 | 18,000 | SH | DFND | 1 | 18,000 | 0 | ||
African Gold Acquistion Corp. Warrants | Common | G0112R124 | 5,175 | 450,000 | SH | DFND | 2 | 450,000 | 0 | ||
African Gold Acquistion Corp. Warrants | Common | G0112R124 | 155 | 13,500 | SH | DFND | 1 | 13,500 | 0 | ||
Alerian MLP | Common | 00162Q452 | 4 | 120 | SH | DFND | 1 | 120 | 0 | ||
Alimera Sciences, Inc. | Common | 016259202 | 348 | 38,226 | SH | DFND | 2 | 38,226 | 0 | ||
Alphabet Inc-Cl C | Common | 02079K107 | 14,035 | 5,600 | SH | DFND | 2 | 5,600 | 0 | ||
ALX Oncology Holdings Inc | Common | 01166B105 | 175 | 3,200 | SH | DFND | 2 | 3,200 | 0 | ||
AllianceBernstein Holdings PL Unit Ltd | Common | 01881G106 | 70 | 1,500 | SH | DFND | 1 | 1,500 | 0 | ||
AllianceBernstein Holdings PL Unit Ltd | Common | 01881G106 | 2,281 | 49,000 | SH | DFND | 1 | 49,000 | 0 | ||
Apollo Global Management, Inc. | Common | 03768E105 | 18,660 | 300,000 | SH | DFND | 2 | 300,000 | 0 | ||
Apple Inc. | Common | 037833100 | 288 | 2,100 | SH | DFND | 1 | 2,100 | 0 | ||
ARC Resources Ltd | Common | 00208D408 | 10 | 1,190 | SH | DFND | 1 | 1,190 | 0 | ||
ARC Resources Ltd | Common | 00208D408 | 1 | 158 | SH | DFND | 1 | 158 | 0 | ||
ASLAN Pharmaceuticals Limited | Common | 04522R101 | 1,578 | 478,186 | SH | DFND | 2 | 478,186 | 0 | ||
AT&T Inc. | Common | 00206R102 | 1 | 50 | SH | DFND | 1 | 50 | 0 | ||
AT&T Inc. | Common | 00206R102 | 576 | 20,000 | SH | DFND | 1 | 20,000 | 0 | ||
Aurinia Pharmaceuticals Inc. | Common | 05156V102 | 2,136 | 164,840 | SH | DFND | 2 | 164,840 | 0 | ||
Avadel Pharmaceuticals plc | Common | 05337M104 | 2,052 | 304,922 | SH | DFND | 2 | 304,922 | 0 | ||
Bank Nova Scotia Halifax | Common | 064149107 | 26 | 400 | SH | DFND | 1 | 400 | 0 | ||
B. Riley Principal 150 Merger Corp. | Common | 05601V103 | 1,686 | 172,963 | SH | DFND | 2 | 172,963 | 0 | ||
B. Riley Principal 150 Merger Corp. | Common | 05601V103 | 29 | 3,000 | SH | DFND | 1 | 3,000 | 0 | ||
B. Riley Principal 150 Merger Corp. | Common | 05601V103 | 10 | 1,000 | SH | DFND | 1 | 1,000 | 0 | ||
B. Riley Principal 150 Merger Corp. Wts | Common | 05601V111 | 663 | 57,654 | SH | DFND | 2 | 57,654 | 0 | ||
B. Riley Principal 150 Merger Corp. Wts | Common | 05601V111 | 11 | 999 | SH | DFND | 1 | 999 | 0 | ||
B. Riley Principal 150 Merger Corp. Wts | Common | 05601V111 | 4 | 333 | SH | DFND | 1 | 333 | 0 | ||
B.Riley Principal 250 Merger Corp. | Common | 05601V103 | 3,490 | 350,000 | SH | DFND | 2 | 350,000 | 0 | ||
Bristol-Myers Squibb Company | Common | 110122108 | 2,901 | 43,409 | SH | DFND | 2 | 43,409 | 0 | ||
Brookline Capital Acq Corp. Warrants | Common | 11374E112 | 23 | 2,000 | SH | DFND | 2 | 2,000 | 0 | ||
Brookline Capital Acquisition Corp. | Common | 11374E104 | 40 | 4,000 | SH | DFND | 2 | 4,000 | 0 | ||
Butterfly Network, Inc. | Common | 124155102 | 663 | 45,760 | SH | DFND | 2 | 45,760 | 0 | ||
Calumet Specialty Products Partners, LP | Common | 131476103 | 21,285 | 3,098,300 | SH | DFND | 2 | 3,098,300 | 0 | ||
Calumet Specialty Products Partners, LP | Common | 131476103 | 378 | 55,000 | SH | DFND | 1 | 55,000 | 0 | ||
Canadian Natural Resources Inc. | Common | 136385101 | 663 | 18,285 | SH | DFND | 1 | 18,285 | 0 | ||
Canadian Natural Resources Inc. | Common | 136385101 | 145 | 4,000 | SH | DFND | 1 | 4,000 | 0 | ||
Capitol Investment Corp. V Warrants | Common | 14064F118 | 958 | 83,333 | SH | DFND | 2 | 83,333 | 0 | ||
Capitol Federal | Common | 14057J101 | 45 | 3,800 | SH | DFND | 1 | 3,800 | 0 | ||
Carparts.com Inc. | Common | 14427M107 | 75 | 3,700 | SH | DFND | 1 | 3,700 | 0 | ||
Cidara Therapeutics, Inc. | Common | 171757107 | 839 | 415,308 | SH | DFND | 2 | 415,308 | 0 | ||
Chemours Co. | Common | 163851108 | 17 | 480 | SH | DFND | 1 | 480 | 0 | ||
Chemours Co. | Common | 163851108 | 15 | 440 | SH | DFND | 1 | 440 | 0 | ||
Coca-Cola | Common | 191216100 | 314 | 5,800 | SH | DFND | 1 | 5,800 | 0 | ||
Coca-Cola | Common | 191216100 | 411 | 7,600 | SH | DFND | 1 | 7,600 | 0 | ||
Coherus Biosciences, Inc. | Common | 19249H103 | 1,378 | 99,655 | SH | DFND | 2 | 99,655 | 0 | ||
Conagra Brands | Common | 205887102 | 364 | 10,000 | SH | DFND | 1 | 10,000 | 0 | ||
Coliseum Acquisition Corp. | Common | G2263T115 | 14,672 | 1,485,000 | SH | DFND | 2 | 1,485,000 | 0 | ||
Colombier Acquisition Corp | Common | 19533H207 | 794 | 80,000 | SH | DFND | 2 | 80,000 | 0 | ||
Constellation Pharmaceuticals, Inc. | Common | 210373106 | 3,107 | 91,909 | SH | DFND | 2 | 91,909 | 0 | ||
Corteva Inc. | Common | 22052L104 | 44 | 982 | SH | DFND | 1 | 982 | 0 | ||
Corteva Inc. | Common | 22052L104 | 490 | 11,051 | SH | DFND | 1 | 11,051 | 0 | ||
Cousins Properties | Common | 222795502 | 123 | 3,357 | SH | DFND | 1 | 3,357 | 0 | ||
CRISPR Therapeutics AG | Common | H17182108 | 324 | 2,000 | SH | DFND | 2 | 2,000 | 0 | ||
CTI BioPharma Corp. | Common | 12648L601 | 150 | 60,000 | SH | DFND | 2 | 60,000 | 0 | ||
Curis, Inc. | Common | 231269200 | 81 | 10,000 | SH | DFND | 2 | 10,000 | 0 | ||
Danimer Scientific, Inc. | Common | 236272100 | 5,010 | 200,000 | SH | DFND | 2 | 200,000 | 0 | ||
Digital Bridge Group | Common | 25401T108 | 87 | 11,000 | SH | DFND | 1 | 11,000 | 0 | ||
Digital Bridge Group | Common | 25401T108 | 12 | 1,466 | SH | DFND | 1 | 1,466 | 0 | ||
Dow Inc. | Common | 260557103 | 95 | 1,494 | SH | DFND | 1 | 1,494 | 0 | ||
Dow Inc. | Common | 260557103 | 672 | 10,624 | SH | DFND | 1 | 10,624 | 0 | ||
Dupont De Nemours Inc. | Common | 26614N102 | 116 | 1,494 | SH | DFND | 1 | 1,494 | 0 | ||
Dupont De Nemours Inc. | Common | 26614N102 | 822 | 10,624 | SH | DFND | 1 | 10,624 | 0 | ||
Eagle Materials | Common | 26969P108 | 32 | 228 | SH | DFND | 1 | 228 | 0 | ||
Eastern Bankshares Inc | Common | 27627N105 | 3,908 | 190,000 | SH | DFND | 2 | 190,000 | 0 | ||
Eastern Bankshares Inc | Common | 27627N105 | 206 | 10,000 | SH | DFND | 1 | 10,000 | 0 | ||
Editas Medicine, Inc. | Common | 28106W103 | 57 | 1,000 | SH | DFND | 2 | 1,000 | 0 | ||
Eiger BioPharmaceuticals, Inc. | Common | 28249U105 | 2,441 | 286,554 | SH | DFND | 2 | 286,554 | 0 | ||
Eli Lilly Inc. | Common | 532457108 | 69 | 300 | SH | DFND | 1 | 300 | 0 | ||
FNB Corporation | Common | 302520101 | 110 | 8,905 | SH | DFND | 1 | 8,905 | 0 | ||
Facebook Inc. | Common | 30303M102 | 344 | 990 | SH | DFND | 1 | 990 | 0 | ||
Fortress Trans & Infrastructure Inv. LLC | Common | 34960P101 | 16,698 | 497,700 | SH | DFND | 2 | 497,700 | 0 | ||
FS Bancorp | Common | 30263Y104 | 151 | 2,117 | SH | DFND | 1 | 2,117 | 0 | ||
FS Bancorp | Common | 30263Y104 | 104 | 1,460 | SH | DFND | 1 | 1,460 | 0 | ||
FS KKR Capital Corp. | Common | 302635206 | 7,529 | 350,000 | SH | DFND | 2 | 350,000 | 0 | ||
FS KKR Capital Corp. | Common | 302635206 | 345 | 16,050 | SH | DFND | 1 | 16,050 | 0 | ||
FS KKR Capital Corp. | Common | 302635206 | 626 | 29,125 | SH | DFND | 1 | 29,125 | 0 | ||
Galapagos NV | Common | 36315X101 | 138 | 2,000 | SH | DFND | 2 | 2,000 | 0 | ||
General Electric | Common | 369604103 | 31 | 2,280 | SH | DFND | 1 | 2,280 | 0 | ||
General Electric | Common | 369604103 | 16 | 1,200 | SH | DFND | 1 | 1,200 | 0 | ||
Gilead Sciences, Inc. | Common | 375558103 | 1,066 | 15,481 | SH | DFND | 2 | 15,481 | 0 | ||
Glass Houses Acquisition Corp. | Common | 37714P103 | 4,815 | 500,000 | SH | DFND | 2 | 500,000 | 0 | ||
Glass Houses Acquisition Corp. Warrants | Common | 37714P111 | 2,875 | 250,000 | SH | DFND | 2 | 250,000 | 0 | ||
Globus Medical, Inc. | Common | 379577208 | 359 | 4,631 | SH | DFND | 2 | 4,631 | 0 | ||
HealthCor Catalio Acquisition Corp. | Common | G44125105 | 39 | 4,000 | SH | DFND | 2 | 4,000 | 0 | ||
Heritage NOLA Bancorp | Common | 42727P108 | 128 | 9,000 | SH | DFND | 1 | 9,000 | 0 | ||
Horizon Acquistion Corporation | Common | G46044106 | 2,090 | 210,100 | SH | DFND | 2 | 210,100 | 0 | ||
Horizon Therapeutics Public Ltd. Company | Common | G46188101 | 2,996 | 32,000 | SH | DFND | 2 | 32,000 | 0 | ||
Ibere Pharmaceuticals | Common | G46843101 | 348 | 36,000 | SH | DFND | 2 | 36,000 | 0 | ||
Ibere Pharmaceuticals Warrants | Common | G46843119 | 207 | 18,000 | SH | DFND | 2 | 18,000 | 0 | ||
Immunovant Inc. | Common | 45258J102 | 1,028 | 97,294 | SH | DFND | 2 | 97,294 | 0 | ||
Independence Holdings | Common | G4761A101 | 93 | 9,500 | SH | DFND | 1 | 9,500 | 0 | ||
Independence Holdings Wts | Common | G4761A127 | 22 | 1,900 | SH | DFND | 1 | 1,900 | 0 | ||
Innoviva, Inc. | Common | 45781M101 | 641 | 47,798 | SH | DFND | 2 | 47,798 | 0 | ||
Inspired Entertainment, Inc. | Common | 45782N108 | 1,275 | 100,000 | SH | DFND | 2 | 100,000 | 0 | ||
International Business Machines | Common | 459200101 | 628 | 4,284 | SH | DFND | 1 | 4,284 | 0 | ||
International Gaming Technologies | Common | G4863A108 | 2,396 | 100,000 | SH | DFND | 2 | 100,000 | 0 | ||
International Gaming Technologies | Common | G4863A108 | 180 | 7,500 | SH | DFND | 1 | 7,500 | 0 | ||
Johnson & Johnson | Common | 478160104 | 837 | 5,080 | SH | DFND | 1 | 5,080 | 0 | ||
Johnson & Johnson | Common | 478160104 | 165 | 1,000 | SH | DFND | 1 | 1,000 | 0 | ||
JP Morgan Chase | Common | 46625H100 | 1,936 | 12,450 | SH | DFND | 1 | 12,450 | 0 | ||
JP Morgan Chase | Common | 46625H100 | 890 | 5,720 | SH | DFND | 1 | 5,720 | 0 | ||
Jumia Technologies AG | Common | 48138M105 | 297 | 9,800 | SH | DFND | 1 | 9,800 | 0 | ||
Kadmon Holdings, Inc. | Common | 48283N106 | 3,244 | 838,190 | SH | DFND | 2 | 838,190 | 0 | ||
Kairos Acquisition Corp. | Common | G52110114 | 3,210 | 330,963 | SH | DFND | 2 | 330,963 | 0 | ||
Kairos Acquisition Corp. | Common | G52110114 | 141 | 14,500 | SH | DFND | 1 | 14,500 | 0 | ||
Kairos Acquisition Corp. Warrants | Common | G52110106 | 1,602 | 139,278 | SH | DFND | 2 | 139,278 | 0 | ||
Kairos Acquisition Corp. Warrants | Common | G52110106 | 83 | 7,250 | SH | DFND | 1 | 7,250 | 0 | ||
Kennedy-Wilson Holdings, Inc. | Common | 489398107 | 4,173 | 210,000 | SH | DFND | 2 | 210,000 | 0 | ||
Kimberly Clark Corporation | Common | 494368103 | 803 | 6,000 | SH | DFND | 1 | 6,000 | 0 | ||
KKR & Co. Inc. | Common | 48251W104 | 5,924 | 100,000 | SH | DFND | 2 | 100,000 | 0 | ||
Legacy Housing Corporation | Common | 52472M101 | 85 | 5,000 | SH | DFND | 1 | 5,000 | 0 | ||
Legacy Housing Corporation | Common | 52472M101 | 68 | 4,000 | SH | DFND | 1 | 4,000 | 0 | ||
Ligand Pharmaceuticals Incorporated | Common | 53220K504 | 9,839 | 75,000 | SH | DFND | 2 | 75,000 | 0 | ||
Live Oak Mobility Aquisition Corp. | Common | 538126103 | 3,529 | 360,152 | SH | DFND | 2 | 360,152 | 0 | ||
Live Oak Mobility Aquisition Corp. Wts | Common | 538126111 | 828 | 72,030 | SH | DFND | 2 | 72,030 | 0 | ||
Longview Acquisition Corp II | Common | 54319Q105 | 626 | 63,900 | SH | DFND | 2 | 63,900 | 0 | ||
Longview Acquisition Corp II Warrants | Common | 54319Q113 | 147 | 12,780 | SH | DFND | 2 | 12,780 | 0 | ||
Marinus Pharmaceuticals, Inc. | Common | 56854Q200 | 1,456 | 81,166 | SH | DFND | 2 | 81,166 | 0 | ||
Macquire Infrastructure Corp | Common | 55608B105 | 126 | 3,300 | SH | DFND | 1 | 3,300 | 0 | ||
Macquire Infrastructure Corp | Common | 55608B105 | 377 | 9,850 | SH | DFND | 1 | 9,850 | 0 | ||
Medicus Science Acquisition, Corp. | Common | G59605108 | 1,930 | 200,000 | SH | DFND | 2 | 200,000 | 0 | ||
Medicus Science Acquisition, Corp. Wts | Common | G5960S124 | 256 | 22,222 | SH | DFND | 2 | 22,222 | 0 | ||
Merck & Co. Inc. | Common | 58933Y105 | 62 | 800 | SH | DFND | 1 | 800 | 0 | ||
Merck & Co. Inc. | Common | 58933Y105 | 39 | 500 | SH | DFND | 1 | 500 | 0 | ||
Medtronics | Common | G5960L103 | 130 | 1,050 | SH | DFND | 1 | 1,050 | 0 | ||
Microsoft Corporation | Common | 594918104 | 108 | 400 | SH | DFND | 1 | 400 | 0 | ||
Microsoft Corporation | Common | 594918104 | 271 | 1,000 | SH | DFND | 1 | 1,000 | 0 | ||
Midwest Holding Inc. | Common | 59833J206 | 6,470 | 165,000 | SH | DFND | 2 | 165,000 | 0 | ||
Mondelez Int'l Inc. | Common | 609207105 | 182 | 2,900 | SH | DFND | 1 | 2,900 | 0 | ||
Mondelez Int'l Inc. | Common | 609207105 | 812 | 13,000 | SH | DFND | 1 | 13,000 | 0 | ||
Occidental Pete Corp | Common | 674599105 | 35 | 1,114 | SH | DFND | 1 | 1,114 | 0 | ||
Occidental Pete Corp | Common | 674599105 | 40 | 1,273 | SH | DFND | 1 | 1,273 | 0 | ||
Occidental Pete Corp Wts exp 8/3/27 | Common | 674599162 | 5 | 212 | SH | DFND | 1 | 212 | 0 | ||
Occidental Pete Corp Wts exp 8/3/27 | Common | 674599162 | 3 | 158 | SH | DFND | 1 | 158 | 0 | ||
Organon & Co. | Common | 68622V106 | 2 | 80 | SH | DFND | 1 | 80 | 0 | ||
Organon & Co. | Common | 68622V106 | 2 | 50 | SH | DFND | 1 | 50 | 0 | ||
Peoples United Financial | Common | 712704105 | 26 | 1,500 | SH | DFND | 1 | 1,500 | 0 | ||
Perrigo Company PLC | Common | G97822103 | 225 | 4,915 | SH | DFND | 2 | 4,915 | 0 | ||
Pershing Square Holdings, Ltd | Common | 71531R109 | 6,259 | 275,000 | SH | DFND | 2 | 275,000 | 0 | ||
Pfizer Inc. | Common | 717081103 | 1,210 | 30,900 | SH | DFND | 1 | 30,900 | 0 | ||
Pfizer Inc. | Common | 717081103 | 3,485 | 89,000 | SH | DFND | 1 | 89,000 | 0 | ||
Poseida Therapeutics, Inc. | Common | 73730P108 | 296 | 29,566 | SH | DFND | 2 | 29,566 | 0 | ||
Protara Therapeutics, Inc. | Common | 74365U107 | 352 | 36,164 | SH | DFND | 2 | 36,164 | 0 | ||
Support.com, Inc. | Common | 86858W200 | 3,345 | 866,700 | SH | Put | DFND | 2 | 866,700 | 0 | |
Support.com, Inc. | Common | 86858W200 | 1,911 | 495,200 | SH | Put | DFND | 2 | 495,200 | 0 | |
Quotient Technology Inc. | Common | 749119103 | 1,351 | 125,000 | SH | DFND | 2 | 125,000 | 0 | ||
Regeneron Pharmaceuticals, Inc. | Common | 75886F107 | 3,351 | 6,000 | SH | DFND | 2 | 6,000 | 0 | ||
Relmada Therapeutics, Inc. | Common | 75955J402 | 192 | 6,000 | SH | DFND | 2 | 6,000 | 0 | ||
Roth CH Acquisition III Co. | Common | 77867Q102 | 987 | 100,000 | SH | DFND | 2 | 100,000 | 0 | ||
Roth CH Acquisition III Co. Warrants | Common | 77867Q110 | 288 | 25,000 | SH | DFND | 2 | 25,000 | 0 | ||
RMR Group Inc. | Common | 74967R106 | 1 | 16 | SH | DFND | 1 | 16 | 0 | ||
Ryman Hospitality Ppty Inc. | Common | 78377T107 | 32 | 400 | SH | DFND | 1 | 400 | 0 | ||
Ryman Hospitality Ppty Inc. | Common | 78377T107 | 948 | 12,000 | SH | DFND | 1 | 12,000 | 0 | ||
Sailpoint Technologies | Common | 78781P105 | 87 | 1,700 | SH | DFND | 1 | 1,700 | 0 | ||
Sculptor Capital Management | Common | 811246107 | 5 | 200 | SH | DFND | 1 | 200 | 0 | ||
Seelos Therapeutics, Inc. | Common | 81577F109 | 191 | 72,367 | SH | DFND | 2 | 72,367 | 0 | ||
Service Ppty Trust | Common | 81761L102 | 13 | 1,000 | SH | DFND | 1 | 1,000 | 0 | ||
Sio Gene Therapies, Inc. | Common | 829399104 | 218 | 80,000 | SH | DFND | 2 | 80,000 | 0 | ||
South Street Corporation | Common | 840441109 | 127 | 1,548 | SH | DFND | 1 | 1,548 | 0 | ||
South Street Corporation | Common | 840441109 | 44 | 534 | SH | DFND | 1 | 534 | 0 | ||
SPDR S&P Biotech ETF | Common | 78464A870 | 108 | 800 | SH | DFND | 2 | 800 | 0 | ||
Starwood Ppty | Common | 85571B105 | 10 | 400 | SH | DFND | 1 | 400 | 0 | ||
Tastemaker Acquisition Corp. | Common | 876545104 | 1,944 | 200,000 | SH | DFND | 2 | 200,000 | 0 | ||
Tastemaker Acquisition Corp. Warrants | Common | 876545112 | 1,150 | 100,000 | SH | DFND | 2 | 100,000 | 0 | ||
Tempest Therapeutics, Inc. | Common | 87978U108 | 155 | 13,833 | SH | DFND | 2 | 13,833 | 0 | ||
TG Therapeutics, Inc. | Common | 88322Q108 | 1,954 | 50,373 | SH | DFND | 2 | 50,373 | 0 | ||
The Kraft Company | Common | 500754106 | 110 | 2,702 | SH | DFND | 1 | 2,702 | 0 | ||
The Kraft Company | Common | 500754106 | 49 | 1,199 | SH | DFND | 1 | 1,199 | 0 | ||
Total SA | Common | 89151E109 | 89 | 1,960 | SH | DFND | 1 | 1,960 | 0 | ||
Total SA | Common | 89151E109 | 23 | 500 | SH | DFND | 1 | 500 | 0 | ||
T-Mobil US Inc. | Common | 872590104 | 101 | 700 | SH | DFND | 1 | 700 | 0 | ||
Trillium Therapeutics Inc. | Common | 89620X506 | 1,927 | 198,699 | SH | DFND | 2 | 198,699 | 0 | ||
Twelve Seas Investment Company II | Common | 90118T106 | 4,825 | 500,000 | SH | DFND | 2 | 500,000 | 0 | ||
Twelve Seas Investment Company II | Common | 90118T106 | 145 | 15,000 | SH | DFND | 1 | 15,000 | 0 | ||
Twelve Seas Investment Company II Warrants | Common | 90118T114 | 1,917 | 166,666 | SH | DFND | 2 | 166,666 | 0 | ||
Twelve Seas Investment Company II Warrants | Common | 90118T114 | 58 | 5,000 | SH | DFND | 1 | 5,000 | 0 | ||
uniQure N.V. | Common | N90064101 | 1,440 | 46,766 | SH | DFND | 2 | 46,766 | 0 | ||
United Therapeutics Corporation | Common | 91307C102 | 2,745 | 15,300 | SH | DFND | 2 | 15,300 | 0 | ||
Up Fintech Holdings | Common | 91531W106 | 398 | 13,736 | SH | DFND | 1 | 13,736 | 0 | ||
Upland Software, Inc. | Common | 91544A109 | 12,351 | 300,000 | SH | DFND | 2 | 300,000 | 0 | ||
Valley National Bancorp | Common | 919794107 | 125 | 9,280 | SH | DFND | 1 | 9,280 | 0 | ||
Valley National Bancorp | Common | 919794107 | 43 | 3,200 | SH | DFND | 1 | 3,200 | 0 | ||
Verizon Communications | Common | 92343V104 | 40 | 720 | SH | DFND | 1 | 720 | 0 | ||
Verizon Communications | Common | 92343V104 | 952 | 16,991 | SH | DFND | 1 | 16,991 | 0 | ||
Verrica Pharmaceuticals, Inc. | Common | 92511W108 | 16 | 1,375 | SH | DFND | 2 | 1,375 | 0 | ||
Viatris Inc. | Common | 92556V106 | 11 | 794 | SH | DFND | 1 | 794 | 0 | ||
Viking Therapeutics, Inc. | Common | 92686J106 | 1,247 | 208,102 | SH | DFND | 2 | 208,102 | 0 | ||
WABTEC | Common | 929740108 | 1 | 11 | SH | DFND | 1 | 11 | 0 | ||
WABTEC | Common | 929740108 | 0 | 6 | SH | DFND | 1 | 6 | 0 | ||
WP Carey | Common | 92936U109 | 448 | 6,000 | SH | DFND | 1 | 6,000 | 0 | ||
Warrior Technologies Acquisition Comp Wt | Common | 936273119 | 144 | 12,500 | SH | DFND | 2 | 12,500 | 0 | ||
Warrior Technologies Acquisition Company | Common | 936273101 | 242 | 25,000 | SH | DFND | 2 | 25,000 | 0 | ||
Xenon Pharmaceuticals Inc. | Common | 98420N105 | 2,617 | 140,551 | SH | DFND | 2 | 140,551 | 0 | ||
Zogenix, Inc. | Common | 98978L204 | 2,155 | 124,688 | SH | DFND | 2 | 124,688 | 0 |