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 |
ADVAXIS INC | *W EXP 10/22/201 | 007624117 | 2 | 15,150 | SH | DFND | 12,8 | 15,150 | 0 | 0 | |
AERPIO PHARMACEUTICALS INC | COM | 00810B105 | 1,870 | 450,676 | SH | DFND | 12,8 | 450,676 | 0 | 0 | |
AMERI HLDGS INC | *W EXP 11/08/202 | 02362F112 | 21 | 125,503 | SH | DFND | 12,8 | 125,503 | 0 | 0 | |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 10,149 | 9,000,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
APPLIED DNA SCIENCES INC | *W EXP 11/21/201 | 03815U110 | 9 | 31,407 | SH | DFND | 12,8 | 31,407 | 0 | 0 | |
APPLIED DNA SCIENCES INC | COM NEW | 03815U201 | 623 | 494,463 | SH | DFND | 12,8 | 494,463 | 0 | 0 | |
ARCADIA BIOSCIENCES INC | COM NEW | 039014204 | 984 | 119,333 | SH | DFND | 12,8 | 119,333 | 0 | 0 | |
AURYN RES INC | COM | 05208W108 | 1,067 | 978,630 | SH | DFND | 12,8 | 978,630 | 0 | 0 | |
BENITEC BIOPHARMA LTD | *W EXP 08/14/202 | 082053117 | 6 | 50,000 | SH | DFND | 12,8 | 50,000 | 0 | 0 | |
BIONDVAX PHARMACEUTICALS LTD | *W EXP 05/15/202 | 09073Q113 | 92 | 72,800 | SH | DFND | 12,8 | 72,800 | 0 | 0 | |
CATABASIS PHARMACEUTICALS IN | COM | 14875P107 | 2,571 | 2,680,752 | SH | DFND | 12,8 | 2,680,752 | 0 | 0 | |
CEL SCI CORP | COM PAR NEW | 150837607 | 737 | 801,006 | SH | DFND | 12,8 | 801,006 | 0 | 0 | |
CELLECT BIOTECHNOLOGY LTD | *W EXP 08/03/202 | 15116C110 | 25 | 12,570 | SH | DFND | 12,8 | 12,570 | 0 | 0 | |
CELLECTAR BIOSCIENCES INC | *W EXP 04/08/202 | 15117F138 | 39 | 207,500 | SH | DFND | 12,8 | 207,500 | 0 | 0 | |
CHECK CAP LTD | *W EXP 05/03/202 | M2361E161 | 93 | 136,364 | SH | DFND | 12,8 | 136,364 | 0 | 0 | |
CHF SOLUTIONS INC | COM NEW | 12542Q508 | 640 | 347,895 | SH | DFND | 12,8 | 347,895 | 0 | 0 | |
CYTORI THERAPEUTICS INC | *W EXP 05/28/202 | 23283K139 | 8 | 259,200 | SH | DFND | 12,8 | 259,200 | 0 | 0 | |
EGALET CORP | NOTE 5.500% 4/0 | 28226BAB0 | 1,572 | 4,500,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
ENERGY FUELS INC | *W EXP 09/20/202 | 292671179 | 0 | 277,777 | SH | DFND | 12,8 | 277,777 | 0 | 0 | |
EROS INTL PLC | SHS NEW | G3788M114 | 12,483 | 960,238 | SH | DFND | 12,8 | 960,238 | 0 | 0 | |
EYEGATE PHARMACEUTICALS INC | *W EXP 08/05/202 | 30233M115 | 1 | 12,900 | SH | DFND | 12,8 | 12,900 | 0 | 0 | |
FIBROCELL SCIENCE INC | COM PAR | 315721407 | 317 | 117,099 | SH | DFND | 12,8 | 117,099 | 0 | 0 | |
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 177 | 14,895 | SH | DFND | 12,8 | 14,895 | 0 | 0 | |
HELIOS & MATHESON ANALYTICS | COM NEW | 42327L200 | 2,487 | 8,023,500 | SH | DFND | 12,8 | 8,023,500 | 0 | 0 | |
IMMUNE PHARMACEUTICALS INC | COM NEW | 45254C200 | 47 | 251,029 | SH | DFND | 12,8 | 251,029 | 0 | 0 | |
IMMURON LTD | *W EXP 05/12/202 | Q4867H223 | 47 | 15,041 | SH | DFND | 12,8 | 15,041 | 0 | 0 | |
INSPIREMD INC | *W EXP 03/14/202 | 45779A135 | 1 | 48,000 | SH | DFND | 12,8 | 48,000 | 0 | 0 | |
INVIVO THERAPEUTICS HLDGS CO | COM PAR | 46186M407 | 266 | 156,655 | SH | DFND | 12,8 | 156,655 | 0 | 0 | |
KINDRED BIOSCIENCES INC | COM | 494577109 | 480 | 45,057 | SH | DFND | 12,8 | 45,057 | 0 | 0 | |
KURA ONCOLOGY INC | COM | 50127T109 | 1,387 | 76,200 | SH | DFND | 12,8 | 76,200 | 0 | 0 | |
LIMONEIRA CO | COM | 532746104 | 639 | 25,946 | SH | DFND | 12,8 | 25,946 | 0 | 0 | |
MYND ANALYTICS INC | *W EXP 06/29/202 | 62857N111 | 3 | 13,700 | SH | DFND | 12,8 | 13,700 | 0 | 0 | |
NOVAN INC | COM | 66988N106 | 1,191 | 405,131 | SH | DFND | 12,8 | 405,131 | 0 | 0 | |
NOVAVAX INC | COM | 670002104 | 4,443 | 3,315,597 | SH | DFND | 12,8 | 3,315,597 | 0 | 0 | |
ONCONOVA THERAPEUTICS INC | *W EXP 07/11/202 | 68232V116 | 2 | 173,112 | SH | DFND | 12,8 | 173,112 | 0 | 0 | |
PLX PHARMA INC | COM | 72942A107 | 116 | 29,282 | SH | DFND | 12,8 | 29,282 | 0 | 0 | |
PROFIRE ENERGY INC | COM | 74316X101 | 939 | 277,721 | SH | DFND | 12,8 | 277,721 | 0 | 0 | |
QUICKLOGIC CORP | COM | 74837P108 | 67 | 58,043 | SH | DFND | 12,8 | 58,043 | 0 | 0 | |
RECON TECHNOLOGY LTD | SHS | G7415M108 | 493 | 354,572 | SH | DFND | 12,8 | 354,572 | 0 | 0 | |
RESHAPE LIFESCIENCES INC | COM NEW | 761123405 | 38 | 16,574 | SH | DFND | 12,8 | 16,574 | 0 | 0 | |
RXI PHARMACEUTICALS CORP NEW | *W EXP 12/16/202 | 74979C121 | 55 | 221,056 | SH | DFND | 12,8 | 221,056 | 0 | 0 | |
SCYNEXIS INC | COM | 811292101 | 388 | 236,531 | SH | DFND | 12,8 | 236,531 | 0 | 0 | |
SEACOR MARINE HLDGS INC | COM | 78413P101 | 411 | 17,809 | SH | DFND | 12,8 | 17,809 | 0 | 0 | |
SEANERGY MARITIME HLDGS CORP | *W EXP 11/10/202 | Y73760145 | 97 | 1,180,400 | SH | DFND | 12,8 | 1,180,400 | 0 | 0 | |
SENSEONICS HLDGS INC | NOTE 5.250% 2/0 | 81727UAA3 | 2,130 | 1,500,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
SIGMA LABS INC | *W EXP 02/15/202 | 826598112 | 75 | 214,500 | SH | DFND | 12,8 | 214,500 | 0 | 0 | |
SOLIGENIX INC | *W EXP 11/14/202 | 834223117 | 17 | 61,000 | SH | DFND | 12,8 | 61,000 | 0 | 0 | |
TAPIMMUNE INC | COM PAR | 876033408 | 2,358 | 250,000 | SH | DFND | 12,8 | 250,000 | 0 | 0 | |
TELLURIAN INC NEW | COM | 87968A104 | 3,780 | 454,294 | SH | DFND | 12,8 | 454,294 | 0 | 0 | |
TIMKENSTEEL CORP | NOTE 6.000% 6/0 | 887399AA1 | 16,088 | 10,455,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
TROVAGENE INC | COM PAR | 897238408 | 237 | 307,445 | SH | DFND | 12,8 | 307,445 | 0 | 0 | |
VASCULAR BIOGENICS LTD | COM | M96883109 | 4,173 | 1,896,902 | SH | DFND | 12,8 | 1,896,902 | 0 | 0 | |
VERITONE INC | COM | 92347M100 | 4,397 | 261,422 | SH | DFND | 12,8 | 261,422 | 0 | 0 |