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 |
AT&T Inc. | COM | 00206R102 | 26,421 | 842,500 | SH | DFND | 1 | 0 | 842,500 | 0 | |
AT&T Inc. | COM | 00206R102 | 1,493 | 47,623 | SH | SOLE | 0 | 47,623 | 0 | 0 | |
Advanced Emissions Solutions Inc. | COM | 00770C101 | 9,248 | 800,000 | SH | DFND | 1 | 0 | 800,000 | 0 | |
Alcentra Capital Corp | COM | 01374T102 | 1,588 | 211,717 | SH | DFND | 1 | 0 | 211,717 | 0 | |
Alliance Data Systems Corp | COM | 018581108 | 12,791 | 73,100 | SH | DFND | 1 | 0 | 73,100 | 0 | |
Alphabet Inc. | CAP STK CL A | 02079K305 | 3,531 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
American Midstream Partners LP | COM UNITS | 02752P100 | 4,489 | 868,230 | SH | DFND | 1 | 0 | 868,230 | 0 | |
American Midstream Partners LP | COM UNITS | 02752P100 | 30 | 5,775 | SH | SOLE | 0 | 5,775 | 0 | 0 | |
American River Bankshares | COM | 029326105 | 138 | 10,602 | SH | DFND | 1 | 0 | 10,602 | 0 | |
Anadarko Petroleum Corp. | COM | 032511107 | 2,820 | 62,000 | SH | DFND | 1 | 0 | 62,000 | 0 | |
Atlantic Capital Bancshares | COM | 048269203 | 16,940 | 950,093 | SH | DFND | 1 | 0 | 950,093 | 0 | |
BKF Capital Group, Inc. | COM | 05548G201 | 294 | 29,380 | SH | DFND | 1 | 0 | 29,380 | 0 | |
BRT Realty Trust | COM | 055645303 | 2,337 | 168,369 | SH | DFND | 1 | 0 | 168,369 | 0 | |
BMC Stock Holdings Inc. | COM | 05591B109 | 22,319 | 1,263,105 | SH | DFND | 1 | 0 | 1,263,105 | 0 | |
Babcock & Wilcox Enterprises | COM | 05614L100 | 244 | 582,591 | SH | DFND | 1 | 0 | 582,591 | 0 | |
Baker Hughes a GE Company | CL A | 05722G100 | 277 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
The Bancorp Bank | COM | 05969A105 | 3,293 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
Banc of California, Inc. | COM | 05990K106 | 18,414 | 1,330,000 | SH | DFND | 1 | 0 | 1,330,000 | 0 | |
Bank of America Corporation | COM | 060505104 | 193 | 7,000 | SH | SOLE | 0 | 7,000 | 0 | 0 | |
Blackberry Limited | COM | 09228F103 | 6,538 | 648,000 | SH | DFND | 1 | 0 | 648,000 | 0 | |
Blackberry Limited | COM | 09228F103 | 636 | 63,000 | SH | SOLE | 0 | 63,000 | 0 | 0 | |
CBM Bancorp, Inc. | COM | 1248XT104 | 324 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
CIBL, Inc. | COM | 12543Y104 | 376 | 215 | SH | DFND | 1 | 0 | 215 | 0 | |
CIT Group Inc. | COM NEW | 125581801 | 28,662 | 597,500 | SH | DFND | 1 | 0 | 597,500 | 0 | |
CIT Group Inc. | COM NEW | 125581801 | 480 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
Campbell Soup Company | COM | 134429109 | 11,058 | 290,000 | SH | DFND | 1 | 0 | 290,000 | 0 | |
Carbon Natural Gas Co. | COM | 14115T208 | 2,111 | 211,112 | SH | DFND | 1 | 0 | 211,112 | 0 | |
Carter Bank & Trust | COM | 146102108 | 17,105 | 891,327 | SH | DFND | 1 | 0 | 891,327 | 0 | |
Celgene Corp. | COM | 151020104 | 10,377 | 110,000 | SH | DFND | 1 | 0 | 110,000 | 0 | |
Columbia Financial Inc. | COM | 197641103 | 7,835 | 500,000 | SH | DFND | 1 | 0 | 500,000 | 0 | |
Continental Resources Inc. | COM | 212015101 | 4,477 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Continental Resources Inc. | COM | 212015101 | 7,611 | 170,000 | SH | SOLE | 0 | 170,000 | 0 | 0 | |
Crimson Wine Group Ltd. | COM | 22662X100 | 8,938 | 1,086,082 | SH | DFND | 1 | 0 | 1,086,082 | 0 | |
Devon Energy Corp. New | COM | 25179M103 | 1,073 | 34,000 | SH | SOLE | 0 | 34,000 | 0 | 0 | |
Dolby Laboratories Inc. | COM CL A | 25659T107 | 34,186 | 542,900 | SH | DFND | 1 | 0 | 542,900 | 0 | |
Dolby Laboratories Inc. | COM CL A | 25659T107 | 205 | 3,255 | SH | SOLE | 0 | 3,255 | 0 | 0 | |
DowDuPont Inc. | COM | 26078J100 | 15,726 | 295,000 | SH | DFND | 1 | 0 | 295,000 | 0 | |
DowDuPont Inc. | COM | 26078J100 | 3,233 | 60,640 | SH | SOLE | 0 | 60,640 | 0 | 0 | |
elf Beauty Inc. | COM | 26856L103 | 345 | 32,500 | SH | DFND | 1 | 0 | 32,500 | 0 | |
Extraction Oil & Gas, Inc. | COM | 30227M105 | 1,401 | 331,200 | SH | DFND | 1 | 0 | 331,200 | 0 | |
Exxon Mobil Corp. | COM | 30231G102 | 889 | 11,000 | SH | SOLE | 0 | 11,000 | 0 | 0 | |
FMC Corp. | COM NEW | 302491303 | 19,397 | 252,500 | SH | DFND | 1 | 0 | 252,500 | 0 | |
FMC Corp. | COM NEW | 302491303 | 3,073 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | 0 | |
FSB Bancorp | COM | 30289C102 | 3,105 | 181,713 | SH | DFND | 1 | 0 | 181,713 | 0 | |
Farmers & Merchants Bank | COM | 308243104 | 1,665 | 203 | SH | SOLE | 0 | 203 | 0 | 0 | |
Federal Life Group, Inc. | COM | 313533101 | 1 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
Federal Life Group, Inc. | COM | 313533101 | 1 | 100 | SH | SOLE | 0 | 100 | 0 | 0 | |
First Bank | COM | 31931U102 | 2,307 | 200,100 | SH | DFND | 1 | 0 | 200,100 | 0 | |
First of Long Island Corp | COM | 320734106 | 1,864 | 85,000 | SH | DFND | 1 | 0 | 85,000 | 0 | |
Fox Corp A | CL A COM | 35137L105 | 306 | 8,333 | SH | DFND | 1 | 0 | 8,333 | 0 | |
Fox Corp B | CL B COM | 35137L204 | 1,316 | 36,666 | SH | DFND | 1 | 0 | 36,666 | 0 | |
Franklin Resources Inc. | COM | 354613101 | 7,413 | 223,700 | SH | DFND | 1 | 0 | 223,700 | 0 | |
Franklin Resources Inc. | COM | 354613101 | 912 | 27,530 | SH | SOLE | 0 | 27,530 | 0 | 0 | |
GAMCO Investors, Inc. | COM | 361438104 | 1,107 | 54,000 | SH | DFND | 1 | 0 | 54,000 | 0 | |
General Electric Company | COM | 369604103 | 1,998 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
Groupon, Inc. | COM | 399473107 | 8,165 | 2,300,000 | SH | DFND | 1 | 0 | 2,300,000 | 0 | |
Groupon, Inc. | COM | 399473107 | 710 | 200,000 | SH | SOLE | 0 | 200,000 | 0 | 0 | |
Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 140 | 5,000,000 | SH | DFND | 1 | 0 | 5,000,000 | 0 | |
Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 20 | 721,942 | SH | SOLE | 0 | 721,942 | 0 | 0 | |
Gyrodyne, LLC | COM | 403829104 | 1,455 | 80,850 | SH | DFND | 1 | 0 | 80,850 | 0 | |
Gyrodyne, LLC | COM | 403829104 | 84 | 4,658 | SH | SOLE | 0 | 4,658 | 0 | 0 | |
Halliburton Co. | COM | 406216101 | 440 | 15,000 | SH | SOLE | 0 | 15,000 | 0 | 0 | |
Helmerich & Payne Inc. | COM | 423452101 | 5,556 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Hess Corporation | COM | 42809H107 | 4,113 | 68,282 | SH | SOLE | 0 | 68,282 | 0 | 0 | |
Highland Bankshares Inc. | COM | 430893107 | 2,617 | 396,458 | SH | DFND | 1 | 0 | 396,458 | 0 | |
Hugoton Realty Trust TEX Unit Ben Int | UNIT BEN INT | 444717102 | 93 | 190,440 | SH | SOLE | 0 | 190,440 | 0 | 0 | |
ICC Holdings, Inc. | COM | 44931Q104 | 671 | 49,630 | SH | DFND | 1 | 0 | 49,630 | 0 | |
Innoviva, Inc. | COM | 45781M101 | 737 | 52,500 | SH | DFND | 1 | 0 | 52,500 | 0 | |
Intel Corp. | COM | 458140100 | 42,960 | 800,000 | SH | DFND | 1 | 0 | 800,000 | 0 | |
Intel Corp. | COM | 458140100 | 66,051 | 1,230,000 | SH | SOLE | 0 | 1,230,000 | 0 | 0 | |
Investors Bancorp, Inc. | COM | 46146L101 | 15,227 | 1,285,000 | SH | DFND | 1 | 0 | 1,285,000 | 0 | |
Jack in the Box Inc. | COM | 466367109 | 2,699 | 33,302 | SH | DFND | 1 | 0 | 33,302 | 0 | |
Jefferies Financial Group | COM | 47233W109 | 8,456 | 450,000 | SH | DFND | 1 | 0 | 450,000 | 0 | |
Kaiser Aluminum Corp. | COM PAR $0.01 | 483007704 | 5,237 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
Kearny Financial Corp. | COM | 48716P108 | 12,420 | 965,000 | SH | DFND | 1 | 0 | 965,000 | 0 | |
LICT Corp. | COM | 50187G104 | 4,290 | 275 | SH | DFND | 1 | 0 | 275 | 0 | |
Livent Corp. | COM | 53814L108 | 5,526 | 450,000 | SH | DFND | 1 | 0 | 450,000 | 0 | |
Livent Corp. | COM | 53814L108 | 517 | 42,088 | SH | SOLE | 0 | 42,088 | 0 | 0 | |
Luther Bank Corp | COM | 550550107 | 3,081 | 305,000 | SH | DFND | 1 | 0 | 305,000 | 0 | |
MB Bancorp Inc. | COM | 55280E104 | 2,829 | 171,459 | SH | DFND | 1 | 0 | 171,459 | 0 | |
MSB Financial | COM | 55352L101 | 3,139 | 174,897 | SH | DFND | 1 | 0 | 174,897 | 0 | |
The Medicines Company | COM | 584688105 | 5,311 | 190,000 | SH | DFND | 1 | 0 | 190,000 | 0 | |
Mercantil Bank Holding Corp. | CL A NEW | 58734F305 | 5,572 | 400,000 | SH | DFND | 1 | 0 | 400,000 | 0 | |
Meredith Corp. | COM | 589433101 | 19,794 | 358,200 | SH | DFND | 1 | 0 | 358,200 | 0 | |
Meridian Corp. | COM | 58958P104 | 5,415 | 300,190 | SH | DFND | 1 | 0 | 300,190 | 0 | |
Meridian Bancorp, Inc. | COM | 58958U103 | 1,569 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Mid-Southern Bancorp | COM | 59548Q107 | 1,946 | 156,578 | SH | DFND | 1 | 0 | 156,578 | 0 | |
Bunge Limited | COM | 616962105 | 18,840 | 355,000 | SH | DFND | 1 | 0 | 355,000 | 0 | |
Bunge Limited | COM | 616962105 | 2,123 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | 0 | |
News Corp | COM | 65249B109 | 5,785 | 465,000 | SH | DFND | 1 | 0 | 465,000 | 0 | |
NI Holdings Inc. | COM | 65342T106 | 7,159 | 447,447 | SH | DFND | 1 | 0 | 447,447 | 0 | |
Northeast Bancorp | COM | 663904209 | 4,790 | 231,637 | SH | DFND | 1 | 0 | 231,637 | 0 | |
Oaktree Specialty Lending Corp. | COM | 67401P108 | 778 | 150,100 | SH | DFND | 1 | 0 | 150,100 | 0 | |
pdvWireless | COM | 69290R104 | 1,562 | 44,431 | SH | DFND | 1 | 0 | 44,431 | 0 | |
PDL Community Bancorp | COM | 69290X101 | 998 | 71,565 | SH | DFND | 1 | 0 | 71,565 | 0 | |
Papa Murphy's Holdings | COM | 698814100 | 13,264 | 2,531,369 | SH | DFND | 1 | 0 | 2,531,369 | 0 | |
Peapack-Gladstone Financial Corp. | COM | 704699107 | 2,643 | 100,800 | SH | DFND | 1 | 0 | 100,800 | 0 | |
Permian Basin Rlty Trust | UNIT BEN INT | 714236106 | 104 | 13,841 | SH | SOLE | 0 | 13,841 | 0 | 0 | |
Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 9,988 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 272 | 11,081 | SH | SOLE | 0 | 11,081 | 0 | 0 | |
Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 4,140 | 166,130 | SH | DFND | 1 | 0 | 166,130 | 0 | |
Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 2,352 | 94,388 | SH | SOLE | 0 | 94,388 | 0 | 0 | |
Popular, Inc. | COM NEW | 733174700 | 13,851 | 265,700 | SH | DFND | 1 | 0 | 265,700 | 0 | |
Prudential Bancorp Inc. | COM | 74431A101 | 2,254 | 129,896 | SH | DFND | 1 | 0 | 129,896 | 0 | |
Red Hat, Inc. | COM | 756577102 | 2,923 | 16,000 | SH | DFND | 1 | 0 | 16,000 | 0 | |
Regions Financial Corp. | COM | 7591EP100 | 4,484 | 316,878 | SH | DFND | 1 | 0 | 316,878 | 0 | |
SI Financial Group | COM | 78425V104 | 1,508 | 116,824 | SH | DFND | 1 | 0 | 116,824 | 0 | |
S&W Seed Company | COM | 785135104 | 42,733 | 15,945,017 | SH | DFND | 1 | 0 | 15,945,017 | 0 | |
William H. Sadlier, Inc. | COM | 786327106 | 1,125 | 21,217 | SH | DFND | 1 | 0 | 21,217 | 0 | |
San Juan Basin Realty Trust Unit | UNIT BEN INT | 798241105 | 538 | 100,240 | SH | SOLE | 0 | 100,240 | 0 | 0 | |
Sanofi-Aventis SA, CVR | SPONSORED ADR | 80105N113 | 1,456 | 3,235,625 | SH | DFND | 1 | 0 | 3,235,625 | 0 | |
Sanofi-Aventis SA, CVR | SPONSORED ADR | 80105N113 | 157 | 348,043 | SH | SOLE | 0 | 348,043 | 0 | 0 | |
Steel Holdings LP Ltd Prshp Unit | LTD PRTRSHIP U | 85814R107 | 80 | 5,773 | SH | SOLE | 0 | 5,773 | 0 | 0 | |
Tejon Ranch Co. | COM | 879080109 | 8,008 | 455,000 | SH | DFND | 1 | 0 | 455,000 | 0 | |
Teva Pharmaceutical Industries Ltd. | SPONSORED ADS | 881624209 | 1,644 | 104,875 | SH | SOLE | 0 | 104,875 | 0 | 0 | |
Tidewater Warrant Exp 11/24/24 | *W EXP 11/24/202 | 88642R174 | 13 | 7,444 | SH | DFND | 1 | 0 | 7,444 | 0 | |
Trinity Place Holdings Inc. | COM | 89656D101 | 18,326 | 4,581,392 | SH | DFND | 1 | 0 | 4,581,392 | 0 | |
Vornado Realty Trust | SH BEN INT | 929042109 | 7,284 | 108,000 | SH | DFND | 1 | 0 | 108,000 | 0 | |
WABCO Holdings Inc. | COM | 92927K102 | 10,429 | 79,110 | SH | DFND | 1 | 0 | 79,110 | 0 | |
Wabtec Corp | COM | 929740108 | 67 | 913 | SH | DFND | 1 | 0 | 913 | 0 | |
Waterstone Financial Inc. | COM | 94188P101 | 16,448 | 999,246 | SH | DFND | 1 | 0 | 999,246 | 0 | |
Westlake Chemical Corp. | COM | 960413102 | 6,230 | 91,800 | SH | DFND | 1 | 0 | 91,800 | 0 | |
Williams-Sonoma, Inc. | COM | 969904101 | 3,095 | 55,000 | SH | DFND | 1 | 0 | 55,000 | 0 | |
Wright Investors Service Holdings | COM | 982345100 | 372 | 825,691 | SH | DFND | 1 | 0 | 825,691 | 0 | |
York Traditions Bank | COM | 987159100 | 2,469 | 131,000 | SH | DFND | 1 | 0 | 131,000 | 0 | |
TechnipFMC plc | COM | G87110105 | 7,578 | 322,200 | SH | DFND | 1 | 0 | 322,200 | 0 | |
Chubb Limited | COM | h1467j104 | 4,722 | 33,706 | SH | DFND | 1 | 0 | 33,706 | 0 | |
Constellium N.V. | COM | N22035104 | 2,474 | 310,000 | SH | DFND | 1 | 0 | 310,000 | 0 |