The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
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