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 |
|
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 |
ABEONA THERAPEUTICS INC | COM | 00289Y107 | 17,094 | 5,227,371 | SH | DFND | 12,8 | 5,227,371 | 0 | 0 | |
ACHIEVE LIFE SCIENCE INC | COM NEW | 004468203 | 620 | 1,169,940 | SH | DFND | 12,8 | 1,169,940 | 0 | 0 | |
AMERI HLDGS INC | *W EXP 11/08/202 | 02362F112 | 4 | 98,700 | SH | DFND | 12,8 | 98,700 | 0 | 0 | |
AMPIO PHARMACEUTICALS INC | COM | 03209T109 | 324 | 556,492 | SH | DFND | 12,8 | 556,492 | 0 | 0 | |
AMYRIS INC | COM NEW | 03236M200 | 6,426 | 2,079,661 | SH | DFND | 12,8 | 2,079,661 | 0 | 0 | |
ARTELO BIOSCIENCES INC | *W EXP 06/25/202 | 04301G128 | 19 | 65,000 | SH | DFND | 12,8 | 65,000 | 0 | 0 | |
ATRECA INC | CL A COM | 04965G109 | 1,284 | 83,001 | SH | DFND | 12,8 | 83,001 | 0 | 0 | |
BENITEC BIOPHARMA LTD | *W EXP 08/14/202 | 082053117 | 4 | 50,000 | SH | DFND | 12,8 | 50,000 | 0 | 0 | |
BIOCRYST PHARMACEUTICALS | COM | 09058V103 | 514 | 148,952 | SH | DFND | 12,8 | 148,952 | 0 | 0 | |
BIONDVAX PHARMACEUTICALS LTD | *W EXP 05/15/202 | 09073Q113 | 189 | 72,800 | SH | DFND | 12,8 | 72,800 | 0 | 0 | |
CASSAVA SCIENCES INC | COM | 14817C107 | 2,352 | 452,246 | SH | DFND | 12,8 | 452,246 | 0 | 0 | |
CHECK CAP LTD | *W EXP 05/03/202 | M2361E161 | 16 | 136,364 | SH | DFND | 12,8 | 136,364 | 0 | 0 | |
CHINA CERAMICS CO LTD | SHS | G2113X134 | 136 | 199,817 | SH | DFND | 12,8 | 199,817 | 0 | 0 | |
CONTANGO OIL & GAS COMPANY | COM NEW | 21075N204 | 2,569 | 700,000 | SH | DFND | 12,8 | 700,000 | 0 | 0 | |
CREATIVE REALITIES INC | *W EXP 11/09/202 | 22530J119 | 1 | 15,000 | SH | DFND | 12,8 | 15,000 | 0 | 0 | |
ENERGY FUELS INC | *W EXP 09/20/202 | 292671179 | 0 | 277,777 | SH | DFND | 12,8 | 277,777 | 0 | 0 | |
EXICURE INC | COM | 30205M101 | 3,473 | 1,214,323 | SH | DFND | 12,8 | 1,214,323 | 0 | 0 | |
FARMMI INC | SHS | G33277107 | 117 | 156,075 | SH | DFND | 12,8 | 156,075 | 0 | 0 | |
FLEXSHOPPER INC | *W EXP 09/28/202 | 33939J113 | 58 | 38,443 | SH | DFND | 12,8 | 38,443 | 0 | 0 | |
GOLDEN MINERALS CO | COM | 381119106 | 317 | 1,021,257 | SH | DFND | 12,8 | 1,021,257 | 0 | 0 | |
HEXO CORP | COM | 428304109 | 3,703 | 2,328,835 | SH | DFND | 12,8 | 2,328,835 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 105 | 272,454 | SH | DFND | 12,8 | 272,454 | 0 | 0 | |
MANNKIND CORP | COM NEW | 56400P706 | 4,780 | 3,705,310 | SH | DFND | 12,8 | 3,705,310 | 0 | 0 | |
MEDIGUS LTD | *W EXP 07/23/202 | 58471G128 | 6 | 63,286 | SH | DFND | 12,8 | 63,286 | 0 | 0 | |
NABRIVA THERAPEUTICS PLC | SHS | G63637105 | 4,576 | 3,466,899 | SH | DFND | 12,8 | 3,466,899 | 0 | 0 | |
NORTHERN DYNASTY MINERALS LT | COM NEW | 66510M204 | 1,404 | 3,280,759 | SH | DFND | 12,8 | 3,280,759 | 0 | 0 | |
PLUS THERAPEUTICS INC | *W EXP 05/28/202 | 72941H111 | 1 | 259,200 | SH | DFND | 12,8 | 259,200 | 0 | 0 | |
REGULUS THERAPEUTICS INC | COM NEW | 75915K200 | 344 | 385,973 | SH | DFND | 12,8 | 385,973 | 0 | 0 | |
REPLIMUNE GROUP INC | COM | 76029N106 | 5,891 | 410,528 | SH | DFND | 12,8 | 410,528 | 0 | 0 | |
SAVARA INC | COM | 805111101 | 917 | 204,666 | SH | DFND | 12,8 | 204,666 | 0 | 0 | |
SCYNEXIS INC | COM | 811292101 | 586 | 643,682 | SH | DFND | 12,8 | 643,682 | 0 | 0 | |
SENSEONICS HLDGS INC | NOTE 5.250% 2/0 | 81727UAA3 | 1,493 | 1,500,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
SIGMA LABS INC | *W EXP 02/15/202 | 826598112 | 23 | 48,100 | SH | DFND | 12,8 | 48,100 | 0 | 0 | |
TIMKENSTEEL CORP | NOTE 6.000% 6/0 | 887399AA1 | 10,726 | 10,455,000 | PRN | DFND | 12,8 | 0 | 0 | 0 | |
VASCULAR BIOGENICS LTD | COM | M96883109 | 801 | 667,752 | SH | DFND | 12,8 | 667,752 | 0 | 0 | |
VERB TECHNOLOGY CO INC | *W EXP 03/14/202 | 92337U112 | 108 | 240,000 | SH | DFND | 12,8 | 240,000 | 0 | 0 |