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 | 23,290 | 695,025 | SH | DFND | 1 | 0 | 695,025 | 0 | |
AT&T Inc. | COM | 00206R102 | 1,596 | 47,623 | SH | SOLE | 0 | 47,623 | 0 | 0 | |
Advanced Emissions Solutions Inc. | COM | 00770C101 | 10,112 | 800,000 | SH | DFND | 1 | 0 | 800,000 | 0 | |
Alcentra Capital Corp | COM | 01374T102 | 1,774 | 211,717 | SH | DFND | 1 | 0 | 211,717 | 0 | |
Alliance Data Systems Corp | COM | 018581108 | 11,224 | 80,100 | SH | DFND | 1 | 0 | 80,100 | 0 | |
Alphabet Inc. | CAP STK CL A | 02079K305 | 3,248 | 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 | 130 | 10,602 | SH | DFND | 1 | 0 | 10,602 | 0 | |
Anadarko Petroleum Corp. | COM | 032511107 | 10,584 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
Anterix Inc | COM | 03676C100 | 1,951 | 41,500 | SH | DFND | 1 | 0 | 41,500 | 0 | |
Atlantic Capital Bancshares | COM | 048269203 | 16,266 | 950,093 | SH | DFND | 1 | 0 | 950,093 | 0 | |
Avaya Holdings Corp | COM | 05351X101 | 488 | 41,000 | SH | DFND | 1 | 0 | 41,000 | 0 | |
BKF Capital Group, Inc. | COM | 05548G201 | 285 | 29,380 | SH | DFND | 1 | 0 | 29,380 | 0 | |
BRT Realty Trust | COM | 055645303 | 2,045 | 144,700 | SH | DFND | 1 | 0 | 144,700 | 0 | |
BMC Stock Holdings Inc. | COM | 05591B109 | 9,414 | 444,039 | SH | DFND | 1 | 0 | 444,039 | 0 | |
Baker Hughes a GE Company | CL A | 05722G100 | 246 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
The Bancorp Bank | COM | 05969A105 | 3,635 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
Banc of California, Inc. | COM | 05990K106 | 18,685 | 1,337,500 | SH | DFND | 1 | 0 | 1,337,500 | 0 | |
Bank of America Corporation | COM | 060505104 | 203 | 7,000 | SH | SOLE | 0 | 7,000 | 0 | 0 | |
Blackberry Limited | COM | 09228F103 | 7,460 | 1,000,000 | SH | DFND | 1 | 0 | 1,000,000 | 0 | |
Blackberry Limited | COM | 09228F103 | 470 | 63,000 | SH | SOLE | 0 | 63,000 | 0 | 0 | |
CBM Bancorp, Inc. | COM | 1248XT104 | 345 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
CIBL, Inc. | COM | 12543Y104 | 386 | 215 | SH | DFND | 1 | 0 | 215 | 0 | |
CIT Group Inc. | COM NEW | 125581801 | 31,393 | 597,500 | SH | DFND | 1 | 0 | 597,500 | 0 | |
CIT Group Inc. | COM NEW | 125581801 | 525 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
Campbell Soup Company | COM | 134429109 | 11,620 | 290,000 | SH | DFND | 1 | 0 | 290,000 | 0 | |
Carbon Natural Gas Co. | COM | 14115T208 | 1,056 | 211,112 | SH | DFND | 1 | 0 | 211,112 | 0 | |
Carter Bank & Trust | COM | 146102108 | 16,519 | 836,400 | SH | DFND | 1 | 0 | 836,400 | 0 | |
Celgene Corp. | COM | 151020104 | 12,017 | 130,000 | SH | DFND | 1 | 0 | 130,000 | 0 | |
CIRCOR International Inc. | COM | 17273K109 | 34 | 734 | SH | DFND | 1 | 0 | 734 | 0 | |
Columbia Financial Inc. | COM | 197641103 | 7,550 | 500,000 | SH | DFND | 1 | 0 | 500,000 | 0 | |
Continental Resources Inc. | COM | 212015101 | 4,209 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Continental Resources Inc. | COM | 212015101 | 7,155 | 170,000 | SH | SOLE | 0 | 170,000 | 0 | 0 | |
Corteva, Inc. | COM | 22052L104 | 647 | 21,878 | SH | SOLE | 0 | 21,878 | 0 | 0 | |
Crimson Wine Group Ltd. | COM | 22662X100 | 8,800 | 1,100,000 | SH | DFND | 1 | 0 | 1,100,000 | 0 | |
Devon Energy Corp. New | COM | 25179M103 | 970 | 34,000 | SH | SOLE | 0 | 34,000 | 0 | 0 | |
Dolby Laboratories Inc. | COM CL A | 25659T107 | 35,071 | 542,900 | SH | DFND | 1 | 0 | 542,900 | 0 | |
Dolby Laboratories Inc. | COM CL A | 25659T107 | 210 | 3,255 | SH | SOLE | 0 | 3,255 | 0 | 0 | |
Dow Inc. | COM | 260557103 | 2,367 | 48,000 | SH | DFND | 1 | 0 | 48,000 | 0 | |
Dow Inc. | COM | 260557103 | 997 | 20,212 | SH | SOLE | 0 | 20,212 | 0 | 0 | |
Du Pont E I De Nemours & Co | COM | 26614N102 | 7,207 | 96,000 | SH | DFND | 1 | 0 | 96,000 | 0 | |
Du Pont E I De Nemours & Co | COM | 26614N102 | 1,642 | 21,878 | SH | SOLE | 0 | 21,878 | 0 | 0 | |
Extraction Oil & Gas, Inc. | COM | 30227M105 | 1,434 | 331,200 | SH | DFND | 1 | 0 | 331,200 | 0 | |
Exxon Mobil Corp. | COM | 30231G102 | 843 | 11,000 | SH | SOLE | 0 | 11,000 | 0 | 0 | |
FMC Corp. | COM NEW | 302491303 | 20,945 | 252,500 | SH | DFND | 1 | 0 | 252,500 | 0 | |
FMC Corp. | COM NEW | 302491303 | 3,318 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | 0 | |
FSB Bancorp | COM | 30289C102 | 3,271 | 181,713 | SH | DFND | 1 | 0 | 181,713 | 0 | |
Farmers & Merchants Bank | COM | 308243104 | 1,685 | 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 | 2,349 | 200,100 | SH | DFND | 1 | 0 | 200,100 | 0 | |
First of Long Island Corp | COM | 320734106 | 1,707 | 85,000 | SH | DFND | 1 | 0 | 85,000 | 0 | |
First Midwest Bancorp. | COM | 320867104 | 5,868 | 286,677 | SH | DFND | 1 | 0 | 286,677 | 0 | |
Fox Corporation Class A | CL B COM | 35137L105 | 305 | 8,333 | SH | DFND | 1 | 0 | 8,333 | 0 | |
Fox Corporation Class B | CL A COM | 35137L204 | 1,339 | 36,666 | SH | DFND | 1 | 0 | 36,666 | 0 | |
Franklin Resources Inc. | COM | 354613101 | 7,785 | 223,700 | SH | DFND | 1 | 0 | 223,700 | 0 | |
Franklin Resources Inc. | COM | 354613101 | 958 | 27,530 | SH | SOLE | 0 | 27,530 | 0 | 0 | |
GAMCO Investors, Inc. | COM | 361438104 | 1,035 | 54,000 | SH | DFND | 1 | 0 | 54,000 | 0 | |
General Electric Company | COM | 369604103 | 2,100 | 200,000 | SH | DFND | 1 | 0 | 200,000 | 0 | |
Groupon, Inc. | COM | 399473107 | 8,234 | 2,300,000 | SH | DFND | 1 | 0 | 2,300,000 | 0 | |
Groupon, Inc. | COM | 399473107 | 716 | 200,000 | SH | SOLE | 0 | 200,000 | 0 | 0 | |
Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 96 | 5,000,000 | SH | DFND | 1 | 0 | 5,000,000 | 0 | |
Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 14 | 721,942 | SH | SOLE | 0 | 721,942 | 0 | 0 | |
Gyrodyne, LLC | COM | 403829104 | 1,544 | 80,850 | SH | DFND | 1 | 0 | 80,850 | 0 | |
Gyrodyne, LLC | COM | 403829104 | 89 | 4,658 | SH | SOLE | 0 | 4,658 | 0 | 0 | |
Halliburton Co. | COM | 406216101 | 341 | 15,000 | SH | SOLE | 0 | 15,000 | 0 | 0 | |
Helmerich & Payne Inc. | COM | 423452101 | 5,062 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Hess Corporation | COM | 42809H107 | 2,116 | 33,282 | SH | SOLE | 0 | 33,282 | 0 | 0 | |
Highland Bankshares Inc. | COM | 430893107 | 2,755 | 396,458 | SH | DFND | 1 | 0 | 396,458 | 0 | |
Hugoton Realty Trust TEX Unit Ben Int | UNIT BEN INT | 444717102 | 69 | 190,440 | SH | SOLE | 0 | 190,440 | 0 | 0 | |
ICC Holdings, Inc. | COM | 44931Q104 | 688 | 49,630 | SH | DFND | 1 | 0 | 49,630 | 0 | |
Innoviva, Inc. | COM | 45781M101 | 764 | 52,500 | SH | DFND | 1 | 0 | 52,500 | 0 | |
Intel Corp. | COM | 458140100 | 38,698 | 808,400 | SH | DFND | 1 | 0 | 808,400 | 0 | |
Intel Corp. | COM | 458140100 | 58,933 | 1,231,100 | SH | SOLE | 0 | 1,231,100 | 0 | 0 | |
Investors Bancorp, Inc. | COM | 46146L101 | 14,411 | 1,292,500 | SH | DFND | 1 | 0 | 1,292,500 | 0 | |
Ironwood Pharmaceuticals | COM CL A | 46333X108 | 91 | 8,358 | SH | DFND | 1 | 0 | 8,358 | 0 | |
Jack in the Box Inc. | COM | 466367109 | 2,710 | 33,302 | SH | DFND | 1 | 0 | 33,302 | 0 | |
Jefferies Financial Group | COM | 47233W109 | 8,990 | 467,500 | SH | DFND | 1 | 0 | 467,500 | 0 | |
Kaiser Aluminum Corp. | COM PAR $0.01 | 483007704 | 1,952 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
Kearny Financial Corp. | COM | 48716P108 | 8,306 | 625,000 | SH | DFND | 1 | 0 | 625,000 | 0 | |
LICT Corp. | COM | 50187G104 | 4,510 | 275 | SH | DFND | 1 | 0 | 275 | 0 | |
Livent Corp. | COM | 53814L108 | 3,633 | 525,000 | SH | DFND | 1 | 0 | 525,000 | 0 | |
Livent Corp. | COM | 53814L108 | 291 | 42,088 | SH | SOLE | 0 | 42,088 | 0 | 0 | |
Luther Bank Corp | COM | 550550107 | 3,321 | 305,000 | SH | DFND | 1 | 0 | 305,000 | 0 | |
MB Bancorp Inc. | COM | 55280E104 | 2,778 | 171,459 | SH | DFND | 1 | 0 | 171,459 | 0 | |
MSB Financial | COM | 55352L101 | 2,678 | 174,897 | SH | DFND | 1 | 0 | 174,897 | 0 | |
The Medicines Company | COM | 584688105 | 4,577 | 125,500 | SH | DFND | 1 | 0 | 125,500 | 0 | |
Mercantil Bank Holding Corp. | CL A NEW | 58734F305 | 7,607 | 385,939 | SH | DFND | 1 | 0 | 385,939 | 0 | |
Meredith Corp. | COM | 589433101 | 19,282 | 350,200 | SH | DFND | 1 | 0 | 350,200 | 0 | |
Meridian Corp. | COM | 58958P104 | 5,073 | 300,190 | SH | DFND | 1 | 0 | 300,190 | 0 | |
Meridian Bancorp, Inc. | COM | 58958U103 | 1,789 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Mid-Southern Bancorp | COM | 59548Q107 | 2,036 | 161,485 | SH | DFND | 1 | 0 | 161,485 | 0 | |
Bunge Limited | COM | 616962105 | 5,571 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Bunge Limited | COM | 616962105 | 2,228 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | 0 | |
News Corp | COM | 65249B109 | 6,273 | 465,000 | SH | DFND | 1 | 0 | 465,000 | 0 | |
NI Holdings Inc. | COM | 65342T106 | 8,236 | 467,662 | SH | DFND | 1 | 0 | 467,662 | 0 | |
Northeast Bancorp | COM | 663904209 | 6,389 | 231,637 | SH | DFND | 1 | 0 | 231,637 | 0 | |
Oaktree Specialty Lending Corp. | COM | 67401P108 | 814 | 150,100 | SH | DFND | 1 | 0 | 150,100 | 0 | |
PDL Community Bancorp | COM | 69290X101 | 1,023 | 71,565 | SH | DFND | 1 | 0 | 71,565 | 0 | |
PG&E Corporation | COM | 69331C108 | 970 | 42,301 | SH | DFND | 1 | 0 | 42,301 | 0 | |
Peapack-Gladstone Financial Corp. | COM | 704699107 | 2,834 | 100,800 | SH | DFND | 1 | 0 | 100,800 | 0 | |
Permian Basin Rlty Trust | UNIT BEN INT | 714236106 | 84 | 13,841 | SH | SOLE | 0 | 13,841 | 0 | 0 | |
Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 9,923 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 270 | 11,081 | SH | SOLE | 0 | 11,081 | 0 | 0 | |
Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 4,148 | 166,130 | SH | DFND | 1 | 0 | 166,130 | 0 | |
Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 2,357 | 94,388 | SH | SOLE | 0 | 94,388 | 0 | 0 | |
Popular, Inc. | COM UNIT RP IN | 733174700 | 13,153 | 242,500 | SH | DFND | 1 | 0 | 242,500 | 0 | |
Positive Phyisicians Holdings Inc | COM | 73740G106 | 6 | 450 | SH | DFND | 1 | 0 | 450 | 0 | |
Positive Phyisicians Holdings Inc | COM | 73740G106 | 6 | 450 | SH | SOLE | 0 | 450 | 0 | 0 | |
Prudential Bancorp Inc. | COM | 74431A101 | 2,458 | 129,896 | SH | DFND | 1 | 0 | 129,896 | 0 | |
Red Hat, Inc. | COM | 756577102 | 4,225 | 22,500 | SH | DFND | 1 | 0 | 22,500 | 0 | |
Red Lion Hotels Corp | COM | 756764106 | 826 | 116,216 | SH | DFND | 1 | 0 | 116,216 | 0 | |
Regions Financial Corp. | COM | 7591EP100 | 4,734 | 316,878 | SH | DFND | 1 | 0 | 316,878 | 0 | |
S&W Seed Company | COM | 785135104 | 42,095 | 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 | 384 | 100,240 | SH | SOLE | 0 | 100,240 | 0 | 0 | |
Sanofi-Aventis SA, CVR | SPONSORED ADR | 80105N113 | 1,683 | 3,235,625 | SH | DFND | 1 | 0 | 3,235,625 | 0 | |
Sanofi-Aventis SA, CVR | SPONSORED ADR | 80105N113 | 181 | 348,043 | SH | SOLE | 0 | 348,043 | 0 | 0 | |
South Plains Financial, Inc. | COM | 83946P107 | 667 | 40,400 | SH | DFND | 1 | 0 | 40,400 | 0 | |
Steel Holdings LP Ltd Prshp Unit | LTD PRTRSHIP U | 85814R107 | 81 | 5,773 | SH | SOLE | 0 | 5,773 | 0 | 0 | |
Tejon Ranch Co. | COM | 879080109 | 7,548 | 455,000 | SH | DFND | 1 | 0 | 455,000 | 0 | |
Teva Pharmaceutical Industries Ltd. | SPONSORED ADR | 881624209 | 968 | 104,875 | SH | SOLE | 0 | 104,875 | 0 | 0 | |
Tidewater Warrant Exp 11/24/24 | *W EXP 11/24/202 | 88642R174 | 8 | 7,444 | SH | DFND | 1 | 0 | 7,444 | 0 | |
Trinity Place Holdings Inc. | COM | 89656D101 | 26,499 | 6,708,538 | SH | DFND | 1 | 0 | 6,708,538 | 0 | |
Vornado Realty Trust | SH BEN INT | 929042109 | 6,923 | 108,000 | SH | DFND | 1 | 0 | 108,000 | 0 | |
WABCO Holdings Inc. | COM | 92927K102 | 16,244 | 122,500 | SH | DFND | 1 | 0 | 122,500 | 0 | |
Wabtec Corp | COM | 929740108 | 66 | 913 | SH | DFND | 1 | 0 | 913 | 0 | |
Waterstone Financial Inc. | COM | 94188P101 | 16,548 | 970,000 | SH | DFND | 1 | 0 | 970,000 | 0 | |
Westlake Chemical Corp. | COM | 960413102 | 6,376 | 91,800 | SH | DFND | 1 | 0 | 91,800 | 0 | |
Wright Investors Service Holdings | COM | 982345100 | 330 | 825,691 | SH | DFND | 1 | 0 | 825,691 | 0 | |
York Traditions Bank | COM | 987159100 | 2,810 | 144,100 | SH | DFND | 1 | 0 | 144,100 | 0 | |
TechnipFMC plc | COM | G87110105 | 8,358 | 322,200 | SH | DFND | 1 | 0 | 322,200 | 0 | |
Chubb Limited | COM | h1467j104 | 4,965 | 33,706 | SH | DFND | 1 | 0 | 33,706 | 0 | |
Constellium N.V. | COM | N22035104 | 3,112 | 310,000 | SH | DFND | 1 | 0 | 310,000 | 0 |