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 | 15,304 | 525,000 | SH | DFND | 1 | 0 | 525,000 | 0 | |
AT&T Inc. | COM | 00206R102 | 1,388 | 47,623 | SH | SOLE | 0 | 47,623 | 0 | 0 | |
Advanced Emissions Solutions Inc. | COM | 00770C101 | 4,040 | 614,852 | SH | DFND | 1 | 0 | 614,852 | 0 | |
Alphabet Inc. | CAP STK CL A | 02079K305 | 3,486 | 3,000 | SH | SOLE | 0 | 3,000 | 0 | 0 | |
Amazon.Com Inc. | COM | 023135106 | 6,824 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
Anterix Inc | COM | 03676C100 | 2,052 | 44,931 | SH | DFND | 1 | 0 | 44,931 | 0 | |
Arconic Inc. | COM | 03965L100 | 721 | 44,900 | SH | DFND | 1 | 0 | 44,900 | 0 | |
Atlantic Capital Bancshares | COM | 048269203 | 11,278 | 950,093 | SH | DFND | 1 | 0 | 950,093 | 0 | |
BCB Bancorp, Inc. | COM | 055298103 | 10,867 | 1,020,408 | SH | DFND | 1 | 0 | 1,020,408 | 0 | |
BKF Capital Group, Inc. | COM | 05548G201 | 286 | 29,380 | SH | DFND | 1 | 0 | 29,380 | 0 | |
Baker Hughes Company | COM | 05722G100 | 53 | 5,000 | SH | SOLE | 0 | 5,000 | 0 | 0 | |
The Bancorp Bank | COM | 05969A105 | 2,474 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
Banc of California, Inc. | COM | 05990K106 | 10,700 | 1,337,500 | SH | DFND | 1 | 0 | 1,337,500 | 0 | |
Bank of America Corporation | COM | 060505104 | 85 | 4,000 | SH | SOLE | 0 | 4,000 | 0 | 0 | |
Blackberry Limited | COM | 09228F103 | 4,977 | 1,205,000 | SH | DFND | 1 | 0 | 1,205,000 | 0 | |
Blackberry Limited | COM | 09228F103 | 260 | 63,000 | SH | SOLE | 0 | 63,000 | 0 | 0 | |
CIBL, Inc. | COM | 12543Y104 | 376 | 215 | SH | DFND | 1 | 0 | 215 | 0 | |
CIT Group Inc. | COM NEW | 125581801 | 11,402 | 660,600 | SH | DFND | 1 | 0 | 660,600 | 0 | |
CIT Group Inc. | COM NEW | 125581801 | 173 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
Carbon Natural Gas Co. | COM | 14115T208 | 728 | 211,112 | SH | DFND | 1 | 0 | 211,112 | 0 | |
Carter Bank & Trust | COM | 146102108 | 5,009 | 545,693 | SH | DFND | 1 | 0 | 545,693 | 0 | |
Columbia Financial Inc. | COM | 197641103 | 5,237 | 363,695 | SH | DFND | 1 | 0 | 363,695 | 0 | |
Continental Resources Inc. | COM | 212015101 | 229 | 30,000 | SH | SOLE | 0 | 30,000 | 0 | 0 | |
Crescent Capital BDC | COM | 225655109 | 448 | 46,471 | SH | DFND | 1 | 0 | 46,471 | 0 | |
Crimson Wine Group Ltd. | COM | 22662X100 | 6,509 | 1,113,596 | SH | DFND | 1 | 0 | 1,113,596 | 0 | |
Devon Energy Corp. New | COM | 25179M103 | 235 | 34,000 | SH | SOLE | 0 | 34,000 | 0 | 0 | |
Dolby Laboratories Inc. | COM CL A | 25659T107 | 29,273 | 540,000 | SH | DFND | 1 | 0 | 540,000 | 0 | |
Dolby Laboratories Inc. | COM CL A | 25659T107 | 176 | 3,255 | SH | SOLE | 0 | 3,255 | 0 | 0 | |
Dow Inc. | COM | 260557103 | 591 | 20,212 | SH | SOLE | 0 | 20,212 | 0 | 0 | |
Du Pont E I De Nemours & Co | COM | 26614N102 | 689 | 20,212 | SH | SOLE | 0 | 20,212 | 0 | 0 | |
Exxon Mobil Corp. | COM | 30231G102 | 418 | 11,000 | SH | SOLE | 0 | 11,000 | 0 | 0 | |
FLIR Systems Inc. | COM | 302445101 | 3,926 | 123,114 | SH | DFND | 1 | 0 | 123,114 | 0 | |
FLIR Systems Inc. | COM | 302445101 | 122 | 3,822 | SH | SOLE | 0 | 3,822 | 0 | 0 | |
FMC Corp. | COM NEW | 302491303 | 7,515 | 92,000 | SH | DFND | 1 | 0 | 92,000 | 0 | |
FFBW Inc. | COM | 30260M103 | 2,091 | 265,000 | SH | DFND | 1 | 0 | 265,000 | 0 | |
FSB Bancorp | COM | 30289C102 | 2,642 | 187,130 | SH | DFND | 1 | 0 | 187,130 | 0 | |
Facebook Inc. | COM | 30303M102 | 1,734 | 10,395 | SH | SOLE | 0 | 10,395 | 0 | 0 | |
Farmers & Merchants Bank | COM | 308243104 | 1,218 | 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 | 1,389 | 200,100 | SH | DFND | 1 | 0 | 200,100 | 0 | |
First of Long Island Corp | COM | 320734106 | 1,475 | 85,000 | SH | DFND | 1 | 0 | 85,000 | 0 | |
First Midwest Bancorp. | COM | 320867104 | 1,892 | 142,962 | SH | DFND | 1 | 0 | 142,962 | 0 | |
Franklin Resources Inc. | COM | 354613101 | 5,090 | 305,000 | SH | DFND | 1 | 0 | 305,000 | 0 | |
Franklin Resources Inc. | COM | 354613101 | 626 | 37,530 | SH | SOLE | 0 | 37,530 | 0 | 0 | |
GAMCO Investors, Inc. | COM | 361438104 | 694 | 63,124 | SH | DFND | 1 | 0 | 63,124 | 0 | |
Groupon, Inc. | COM | 399473107 | 196 | 200,000 | SH | SOLE | 0 | 200,000 | 0 | 0 | |
Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 83 | 5,000,000 | SH | DFND | 1 | 0 | 5,000,000 | 0 | |
Gulf Coast Ultra Deep Rty Trust Unit | UNIT BEN INT | 40222T104 | 12 | 721,942 | SH | SOLE | 0 | 721,942 | 0 | 0 | |
Gyrodyne, LLC | COM | 403829104 | 1,180 | 80,850 | SH | DFND | 1 | 0 | 80,850 | 0 | |
Gyrodyne, LLC | COM | 403829104 | 68 | 4,658 | SH | SOLE | 0 | 4,658 | 0 | 0 | |
HarborOne Bancorp | COM NEW | 41165F101 | 210 | 27,882 | SH | DFND | 1 | 0 | 27,882 | 0 | |
Helmerich & Payne Inc. | COM | 423452101 | 1,565 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Hess Corporation | COM | 42809H107 | 942 | 28,282 | SH | SOLE | 0 | 28,282 | 0 | 0 | |
Hexcel Corp | COM | 428291108 | 1,860 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
Hugoton Realty Trust TEX Unit Ben Int | UNIT BEN INT | 444717102 | 20 | 190,440 | SH | SOLE | 0 | 190,440 | 0 | 0 | |
ICC Holdings, Inc. | COM | 44931Q104 | 547 | 49,630 | SH | DFND | 1 | 0 | 49,630 | 0 | |
Intel Corp. | COM | 458140100 | 45,645 | 843,400 | SH | DFND | 1 | 0 | 843,400 | 0 | |
Intel Corp. | COM | 458140100 | 65,649 | 1,213,025 | SH | SOLE | 0 | 1,213,025 | 0 | 0 | |
Investors Bancorp, Inc. | COM | 46146L101 | 10,427 | 1,305,000 | SH | DFND | 1 | 0 | 1,305,000 | 0 | |
Ironwood Pharmaceuticals | COM CL A | 46333X108 | 404 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
Jefferies Financial Group | COM | 47233W109 | 4,105 | 300,328 | SH | DFND | 1 | 0 | 300,328 | 0 | |
Kaiser Aluminum Corp. | COM PAR $0.01 | 483007704 | 589 | 8,500 | SH | DFND | 1 | 0 | 8,500 | 0 | |
Kearny Financial Corp. | COM | 48716P108 | 1,289 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
LICT Corp. | COM | 50187G104 | 4,125 | 275 | SH | DFND | 1 | 0 | 275 | 0 | |
Las Vegas Sands Corp. | COM | 517834107 | 178 | 4,195 | SH | SOLE | 0 | 4,195 | 0 | 0 | |
Livent Corp. | COM | 53814L108 | 1,647 | 313,663 | SH | DFND | 1 | 0 | 313,663 | 0 | |
Livent Corp. | COM | 53814L108 | 221 | 42,088 | SH | SOLE | 0 | 42,088 | 0 | 0 | |
Luther Bank Corp | COM | 550550107 | 2,797 | 305,000 | SH | DFND | 1 | 0 | 305,000 | 0 | |
MSB Financial | COM | 55352L101 | 404 | 32,995 | SH | DFND | 1 | 0 | 32,995 | 0 | |
Madison Square Garden Co. | CL A | 55825T103 | 129 | 612 | SH | SOLE | 0 | 612 | 0 | 0 | |
Amerant Bancorp Inc. | CL A | 58734F305 | 4,519 | 293,601 | SH | DFND | 1 | 0 | 293,601 | 0 | |
Meridian Corp. | COM | 58958P104 | 4,102 | 299,890 | SH | DFND | 1 | 0 | 299,890 | 0 | |
Meridian Bancorp, Inc. | COM | 58958U103 | 1,122 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Mid-Southern Bancorp | COM | 59548Q107 | 2,169 | 169,485 | SH | DFND | 1 | 0 | 169,485 | 0 | |
Bunge Limited | COM | 616962105 | 4,148 | 101,100 | SH | DFND | 1 | 0 | 101,100 | 0 | |
Bunge Limited | COM | 616962105 | 1,641 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | 0 | |
News Corp | COM | 65249B109 | 4,173 | 465,000 | SH | DFND | 1 | 0 | 465,000 | 0 | |
NI Holdings Inc. | COM | 65342T106 | 7,170 | 528,791 | SH | DFND | 1 | 0 | 528,791 | 0 | |
Northeast Bancorp | COM | 663904209 | 2,701 | 231,637 | SH | DFND | 1 | 0 | 231,637 | 0 | |
Oaktree Specialty Lending Corp. | COM | 67401P108 | 226 | 69,800 | SH | DFND | 1 | 0 | 69,800 | 0 | |
PDL Community Bancorp | COM | 69290X101 | 871 | 84,804 | SH | DFND | 1 | 0 | 84,804 | 0 | |
Peapack-Gladstone Financial Corp. | COM | 704699107 | 2,614 | 145,650 | SH | DFND | 1 | 0 | 145,650 | 0 | |
Permian Basin Rlty Trust | UNIT BEN INT | 714236106 | 39 | 13,841 | SH | SOLE | 0 | 13,841 | 0 | 0 | |
Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 2,152 | 407,500 | SH | DFND | 1 | 0 | 407,500 | 0 | |
Plains All American Pipeline | UNIT LTD PARTN | 726503105 | 59 | 11,081 | SH | SOLE | 0 | 11,081 | 0 | 0 | |
Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 932 | 166,130 | SH | DFND | 1 | 0 | 166,130 | 0 | |
Plains GP Holdings LP | LTD PARTNR INT A | 72651A207 | 530 | 94,388 | SH | SOLE | 0 | 94,388 | 0 | 0 | |
Popular, Inc. | COM UNIT RP IN | 733174700 | 10,965 | 313,296 | SH | DFND | 1 | 0 | 313,296 | 0 | |
Positive Phyisicians Holdings Inc | COM | 73740G106 | 5 | 450 | SH | DFND | 1 | 0 | 450 | 0 | |
Positive Phyisicians Holdings Inc | COM | 73740G106 | 5 | 450 | SH | SOLE | 0 | 450 | 0 | 0 | |
Provident Bancorp Inc | COM NEW | 74383L105 | 496 | 57,500 | SH | DFND | 1 | 0 | 57,500 | 0 | |
Prudential Bancorp Inc. | COM | 74431A101 | 1,874 | 126,596 | SH | DFND | 1 | 0 | 126,596 | 0 | |
QualComm Inc. | COM | 747525103 | 50 | 732 | SH | SOLE | 0 | 732 | 0 | 0 | |
Red Lion Hotels | COM | 756764106 | 1,825 | 1,250,000 | SH | DFND | 1 | 0 | 1,250,000 | 0 | |
Ruth's Hospitality Group, Inc. | COM | 783332109 | 242 | 36,258 | SH | DFND | 1 | 0 | 36,258 | 0 | |
S&W Seed Company | COM | 785135104 | 32,754 | 15,977,491 | SH | DFND | 1 | 0 | 15,977,491 | 0 | |
William H. Sadlier, Inc. | COM | 786327106 | 845 | 21,217 | SH | DFND | 1 | 0 | 21,217 | 0 | |
San Juan Basin Realty Trust Unit | UNIT BEN INT | 798241105 | 211 | 100,240 | SH | SOLE | 0 | 100,240 | 0 | 0 | |
SIGA Technologies | COM | 826917106 | 5,764 | 1,205,900 | SH | DFND | 1 | 0 | 1,205,900 | 0 | |
Skyworks Solutions Inc. | COM | 83088M102 | 173 | 1,936 | SH | SOLE | 0 | 1,936 | 0 | 0 | |
Spirit AeroSystems Holdings | COM CL A | 848574109 | 2,393 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
Steel Holdings LP Ltd Prshp Unit | LTD PRTRSHIP U | 85814R107 | 31 | 5,773 | SH | SOLE | 0 | 5,773 | 0 | 0 | |
Tallgrass Energy, LP | CLASS A SHS | 874696107 | 82 | 5,000 | SH | DFND | 1 | 0 | 5,000 | 0 | |
Taubman Centers, Inc. | COM | 876664103 | 9,004 | 215,000 | SH | DFND | 1 | 0 | 215,000 | 0 | |
Tejon Ranch Co. | COM | 879080109 | 6,401 | 455,231 | SH | DFND | 1 | 0 | 455,231 | 0 | |
Tidewater Warrant Exp 11/24/24 | *W EXP 11/24/202 | 88642R174 | 1 | 7,444 | SH | DFND | 1 | 0 | 7,444 | 0 | |
Tiffany & Co. | COM | 886547108 | 3,238 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
Trinity Place Holdings Inc. | COM | 89656D101 | 12,210 | 6,708,538 | SH | DFND | 1 | 0 | 6,708,538 | 0 | |
US Foods Holding Co | COM | 912008109 | 390 | 22,026 | SH | SOLE | 0 | 22,026 | 0 | 0 | |
Univar Solutions Inc. | COM | 91336L107 | 1,707 | 159,200 | SH | DFND | 1 | 0 | 159,200 | 0 | |
Vericity, Inc. | COM | 92347D100 | 688 | 86,338 | SH | DFND | 1 | 0 | 86,338 | 0 | |
Vornado Realty Trust | SH BEN INT | 929042109 | 7,148 | 197,393 | SH | DFND | 1 | 0 | 197,393 | 0 | |
WABCO Holdings Inc. | COM | 92927K102 | 16,544 | 122,500 | SH | DFND | 1 | 0 | 122,500 | 0 | |
Waterstone Financial Inc. | COM | 94188P101 | 12,395 | 852,506 | SH | DFND | 1 | 0 | 852,506 | 0 | |
Westlake Chemical Corp. | COM | 960413102 | 3,054 | 80,000 | SH | DFND | 1 | 0 | 80,000 | 0 | |
Wright Investors Service Holdings | COM | 982345100 | 355 | 825,691 | SH | DFND | 1 | 0 | 825,691 | 0 | |
York Traditions Bank | COM | 987159100 | 2,052 | 144,100 | SH | DFND | 1 | 0 | 144,100 | 0 | |
Allergan PLC | SHS | G0177J108 | 1,328 | 7,500 | SH | DFND | 1 | 0 | 7,500 | 0 | |
Nielsen Holdings PLC | SHS EUR | G6518L108 | 903 | 72,000 | SH | DFND | 1 | 0 | 72,000 | 0 | |
Sirius International Insurance Group | COM | G8196D101 | 1,527 | 179,595 | SH | DFND | 1 | 0 | 179,595 | 0 | |
TechnipFMC plc | COM | G87110105 | 3,690 | 547,500 | SH | DFND | 1 | 0 | 547,500 | 0 | |
Chubb Limited | COM | h1467j104 | 2,513 | 22,500 | SH | DFND | 1 | 0 | 22,500 | 0 |